Director [ ] Independent Director and Member of Audit Committee Executive [ ] Executive (please specify title in the company) Date of Appointment : Part 1 : General Information 1.1 First name / Last name (in
disclosure checklist for Form 56-1 as a guideline for preparing the information in Part 2.2 to Part 2.4 of Form 69-1 as most of the disclosed information is of similar nature. Contents Page Part 1 Executive
policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results
Date ......................................... Part 1: Name of an applicant for approval of private fund custodian. Name of applicant (Thai) …………………………………………………………… Name of applicant (English
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I
) ________________________________________ Please print this checklist and include it as part of the package of this form Foreign Exchange-Traded Fund (ETF) Application Form To: Secretary-General Securities and Exchange Commission, Thailand
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Securities and Exchange Commission hereby issues the following regulations: Clause 1. Part 3, Page 1 to Page 3 of the Form BorLor. 4/1 attached with the Notification of the Securities and Exchange Commission