. 23/2544 Re: Rules, Conditions and Procedures for Investment Advisors and Appointment of Investment Advisory Agents By virtue of Section 14, the second paragraph of Section 100 and Section 115 of the

Section 115 Securities and Exchange Act B.E. 2535 Section 115. In operating the business of investment advisory service, a securities company shall comply with the rules, conditions and procedures as

Exchange Commission No. SorNor. 5/2551 Re: Investment and Holding of Assets for a Fund (No.3) By virtue of Section 126 (4) of the Securities and Exchanges Act B.E. 2535 (1992) in conjunction with Clause 18

Securities and Exchange Commission No. KorThor. 16/2555 Re: Determination of Types of Securities Having Characteristic Similar with Investment Units _____________ By virtue of Section 14 of the Securities and

strictly for reference. 2 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 34/2556 Re. Arrangement in Operating System of Securities or Derivatives Investment for Business

Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment

: __________________________________ __________________________________________ (full name) __________________________________________ (company) Sales Report Form for the sale of units of foreign collective investment scheme offered in

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

investment scheme offered in Thailand Name of foreign collective investment scheme (CIS): Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective

securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment