brokerage, securities dealing or undertaking of investment units All mutual fund supervisors No. Nor Jor.(Wor) 6/2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border

fund supervisors No. Nor Jor. ( Wor) 6/ 2564 Re: Delivery of copies of notifications and clarificatory notes to the cross-border offering of funds between Hong Kong Special Administrative Region of the

Hotline at 1207.   __________________________ Notes:  * Pursuant to Clause 23(1) and the prohibited characteristics of personnel in the capital market business under Clause 31(1) of the Notification of

borrowers with good track records, as well as existing low-risk customers. Early warning signs were also developed with the use of transactional data for enhanced efficiency in risk monitoring and portfolio

structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or exercising rights of such securities to the SEC Office under the following rules; (1) the report for the redemption

manner that the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of structured notes, convertible bonds, or warrants shall report the redeeming, [converting

the offeror would be able to promptly present to the SEC Office upon request. Clause 4 The issuer of structured notes, convertible bonds, or warrants shall report the redeeming, [converting,] or

or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes

group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes issued by a

มีสัญญาซื้อขายลวงหนาแฝง (Structured Notes) 406 สัญญาซื้อขายลวงหนา (Derivatives) 615 ธุรกรรมการขายโดยมีสัญญาซื้อคืน (REPO) 616 ธุรกรรมการกยมเงน 907 จาํนวนกองทุน 908 มูลคาทรัพยสินสุทธิของกองทุนสวน