managed CISs: _________________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered cross-border ___________________________________ Total

Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator: _____________________________________________________ Home

operation of financial asset CIS that are offered to the general public: _______________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered

infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

specify) Full name as per Passport Date of birth (DD/MM/YYYY) Passport number Identification number Country of issue of Passport CPA license number Issued by Country Home address City State Postcode Country

: ……….................... Website /Home Page: ......................................................................................................... Starting date of affiliation

Section 130 Securities and Exchange Act B.E. 2535 Section 130. Upon the dissolution of the mutual fund, the securities company shall appoint a liquidator to collect and distribute assets to the

Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange

reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and