system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
mutual fund. Such factors include emotion, personal belief and attitudes toward different channels of savings and investment. For example, some investors prefer low risk, principal guaranteed investment
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
(Thai/English), date of birth, citizenship, sex, marital status, father’s name/mother’s name, (former) titles, (former) surnames, name of spouse, etc. Contact information: Information for contact purposes
the registration statement that contains the update statement (the latest version) (please specify) ______________________________________________ [ ] 2. Certification of Information Accuracy [ ] 3
of Information Accuracy [ ] 3. Evidence on the appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June
in Appendices of the Handbook for CIS Operators of ASEAN CISs. Please print this checklist and include it as part of the package of this form ASEAN CIS Application Form To: Secretary-General Securities
set out in Appendices of the Handbook for CIS Operators of ASEAN CISs. Please print this checklist and include it as part of the package of this form Page 2 of 4 Form 35 – retail ASEAN CIS ASEAN CIS