contracts. “insurance” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of Capital Clause 4
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
Investment Scheme for non-retail investors (NRI CIS) ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) Asia Region Funds Passport (ARFP) Foreign ETF Name of CIS operator: Tel/Fax
Summary of Rules on Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People’s Republic of China and Thailand (HK-TH MRF) 1. Offerings for sale of Hong Kong Covered
subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in any Clause of this Chapter permits to do so; (3
characteristics of eligible service provider shall be subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in
Investors from the Provisions of Public Offering for Sale of Securities dated 12 August 2012 shall be repealed. Chapter 1 General Provisions _________________________ Division 1 Scope of the provisions
in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is the