the SEC Office; (2) Documents may be submitted and checked for accuracy and completeness until 15.00 hours; and (3) Appointment with the SEC Office for submitting an application must be made at least
written agreement with the CIS operator at least in the following matters: (1) the CIS operator shall deliver the information that has a material impact on foreign collective investment scheme to investors
: ______________________________________________________ 14) Details of contact person at the CIS Operator : Name/Position (at least CEO or equivalent): ___________________________________ Email address
: Name/Position (at least CEO or equivalent): ___________________________________ Email address: ___________________________________________________________ Tel No.: _____________________________ Fax No
management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web site of the management company. In case there is
date of termination of appointment. The management company shall disclose the name of fund managers of each mutual fund in a report or document sent to unit holders at least once a year and in the web
and relevant employees at least once a year about the following law, regulations, and documents: (1) the law on securities and exchange2, and any regulations issued by virtue of such law; (2) the codes
governing offer for sale of newly issued securities to directors or employees. Clause 11 Terms and conditions of warrants shall contain at least the following particulars: (1) details of warrants, at least
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for