.: _________________________ Page 6 of 9 Form 35 – ARFP CIS Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of
required; - SEC official considers the clarification of the applicant and discusses the case initially with the supervisor (if any); - The responsible department concludes the consideration and proposes for
ลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee/ Fund Supervisor, and requirements relating to
operator in the category of securities brokerage or investment advisory; (2) derivatives business operator in the category of derivatives agent or derivatives advisory; “ supervisor of investment line of
; (2) derivatives business operator in the category of derivatives agent or derivatives advisory; “supervisor of investment line of work” means a supervisor of the investment line of work under the Law
to mutual fund management, including the responsibilities of the aforementioned manager; (d) The names of the selling agents, investment unit registrar and mutual fund supervisor, as well as the
-year period before the filing date of the application for approval with the SEC Office, and having worked as an audit supervisor or the final audit reviewer before an auditor affixes signature in giving
, and investment supervision and control system of the investment advisory company, persons with power of management and advisors; (2) providing a compliance supervisor of investment advisory company
supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to