Sales results of the foreign CIS units that have been offered in Thailand : Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Sales results of the foreign CIS units that have been offered in Thailand: Balance at the end of the previous calendar year on 31 December 20________ ……..…………………… units Subscription

Clause 9 of the Notification of the Securities and Exchange Commission No. KorKhor. 42/2547 Re: Rules, Conditions and Procedures for Brokerage, Dealing and Underwriting of Investment Units dated 3 August

selling ” means selling securities without possessing securities. “ ETF units ” means investment units of ETMF or units of foreign ETF . “ units of foreign ETF ” means shares of investment company or unit

units of the ETF fund and securities which are components of the underlying index of the ETF fund; (13) “ETF fund” means an ETF fund pursuant to the Notification of the Office of the Securities and

No. KorKhor. 2/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds By

between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary

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

Office of the Securities and Exchange Commission Governing Appointment of Representatives for Sale or Acceptance of Redemption of Investment Units and Marketing Representatives of Private Funds B.E.2551

investment units of the ETF fund and securities which are components of the underlying index of the ETF fund; (13) “ETF fund” means an ETF fund pursuant to the Notification of the Office of the Securities and