Qualifying CIS Operator (as per Appendix I of the Handbook for CIS Operators of ASEAN CISs) [ ] 3* ASEAN CIS Application Form (as per Appendix II of the Handbook for CIS Operators of ASEAN CISs) [ ] 4

service providers relating to derivatives as specified in the notification of the SEC. “derivatives broker” means any person who, in the ordinary course of business, engages or holds himself out to the

company shall also comply as follows: (1) distributing an investment advisory service handbook which is prepared in accordance with Clause 16 to the customer prior to giving the first advice, however, there

..) 3. Income (Loss) before income tax 4. Income tax expenses 5. Income (Loss) after income tax 6. Net profit (Loss) of minority interest 7. Profit (Loss) from ordinary activities 8. Extraordinary Items 9

management; “Connected person” means: (1) Ordinary partnership of which the fund supervisor or its directors, managers or persons with power of management who are responsible for the line of work relating to

, whether or not investment in other assets is also made, which management is conducted as an ordinary course of business, in consideration of a fee or other remuneration, excluding the management of

account of necessary and reasonable cause, in accordance with steps and procedurse specified in the public handbook; (4) submit a notice of result of such implementation to the SEC Office within two

of other companies with a purpose to gain control in such companies rather than to invest for ordinary returns; (8) “Subsidiary company” means (a) Any company whose 75 percent or more of its total

offered for sale 3. Sources of the pricing of the securities being offered for sale 4. Price of the ordinary shares in the secondary market 5. Subscription, distribution and allocation Contents (continued

items) เช่น ค่าเสื่อมราคา (depreciation) หรือค่าตัดจำหน่าย (amortization) เป็นต้น ช. รายการพิเศษ (extra ordinary items) และรายการไม่ปกติ (non-recurring items) (2) การคำนวณขนาดของเงินกองทุน ให้คำนวณขนาดของ