results not lower than Broadly Implemented or equivalent based on the Objectives and Principles of Securities Regulation of the International Organization of Securities Commissions (IOSCO) regarding

: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify

. 43 FNotification of the Capital Market Supervisory Board No. Tor Nor. 1/2554 Re: Rules, Conditions and Procedures for Establishment and Management of Infrastructure Funds _____________ By virtue of

to undertake the aforesaid business from securities and exchange regulators that are members of the International Organization of Securities Commissions (IOSCO) and must be acceptable to the Office and

intermediaries should study standards and practice guidelines for business continuity management from other related agencies, such as Business Continuity Institute (BCI) or International Organization of Securities

ทรัพย์ในประเทศที่มีหน่วยงานกำกับดูแลที่เป็นสมาชิกของ International Organization of Securities Commission (IOSCO) (“บริษัทหลักทรัพย์ต่างประเทศ”) สามารถเข้ามาติดต่อชักชวนผู้ลงทุนสถาบันตามที่กำหนดในประกาศนี้

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

ได้รับอนุญาต ให้ประกอบธุรกิจหลักทรัพย์จากหน่วยงานกำกับดูแลด้านหลักทรัพย์และตลาดซื้อขายหลักทรัพย์ ในต่างประเทศที่เป็นสมาชิกสามัญของ International Organization of Securities Commission (IOSCO) “ผู้ลงทุน

clients’ assets in convergence with the international standards of the International Organization of Securities Commissions (IOSCO).

International Organization of Securities Commission (IOSCO) and shall be a party of Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (MMOU) in type