Commission No. SorThor/Nor. 26/2549 Re: Forms of Financial Statement of a Securities Company ___________ By virtue of Section 106 of the Securities and Exchange, Act B.E. 2535 (1992), and Clause 1 of the

Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund

the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major

/ policy 1.2 Capital of the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6

specialist audits or audit clients in a specialist industry (e.g. financial institution) obtain/maintain the required specialist knowledge Do the firm have special training/or tailor made for specific client

The Derivatives Act The Derivatives Act B.E. 2546 SECTION 28. A derivatives business operator shall prepare and submit financial statements to the SEC Office. Such financial statement shall be made

Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's

reference. PAGE 2 Notification of the Securities and Exchange Commission No. Kor Thor. 8/2549 Re: Preparation and Disclosure of Financial Statements of Derivatives Business Operators By virtue of Section 9

แบบแจ้งการแสดงความเห็นของผู้สอบบัญชีสำหรับรายงานการตรวจสอบ PAGE Conclusion of auditor’s opinion from audit or review of financial statements Name of issuer/offeror For the year ended For the

Section 140 Securities and Exchange Act B.E. 2535 Section 140. The securities company shall prepare an account showing the financial condition of each private fund in the form specified in the