reference. 9 Notification of the Capital Market Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency

Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy

Supervisory Board No. Tor Thor. 1/2560 Re: Provision of Services to Clients regarding Investment in Capital Market Products Denominated in Foreign Currency ____________________ By virtue of Section 16/6 and

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

hereby issues the following regulations: Clause 1 Units of foreign collective investment scheme in the type of share is securities having investment characteristic similar with investment units. A person

following business day of the transaction date. Clause 27 For the purpose of sending out confirmation statements under Clause 26: (1) in case of a transaction executed in a foreign country, a confirmation

of Foreign Auditors in the Capital Market. 5. I entirely understand of the code of ethics for professional accountants and I will perform audit works complying with the code. 6. I entirely understand

Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a

clients: (1) derivaitves intermediaries under Thai or foreign law; (2) clients other than (1) who express to the intermediary an intention in writing not to receive such information. Division 2 Specific