granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance

to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.

…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB

Securities and Exchange Commission Notification of the Securities and Exchange Commission No. KorNor. 30/2547 Re: Rules, Conditions and Procedures for Establishment and Management of Funds _____________ The

Insurance Company/ Finance Institution Established Under Specific Law Particulars For the SEC Officer □ 1. Supporting documents for consideration under Clause 4 (1) : □ (1) Certificate from the organization

reference. PAGE 13 Notification of the Office of the Securities and Exchange Commission No. Sor Thor. 37/2559 Re: Rules in Detail on Establishment of Information Technology System By virtue of Clause 5(1) in

Exchange Commission Notification of the Office of the Securities and Exchange Commission No. SorThor/Nor/Yor/Khor. 3/2550 Re: Rules, Conditions and Procedures for Establishment of Risk Management System to

Section 121 Securities and Exchange Act B.E. 2535 Section 121. A mutual fund supervisor shall be a commercial bank or a financial institution which has qualifications as specified in the notification

Exchange Commission concerning Maintenance of Capital of Investment Advisors and Derivatives Advisors . “ financial institution ” means: (1) a commercial bank under the Law on Financial Institutions ; (2) a

Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total