.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the
ความเสี่ยง (Risk Management and Control Strategy) ในด้านต่าง ๆ ดังนี้ 5. ระบบควบคุมภายในและการกำกับดูแลการปฏิบัติงาน (Internal Audit and Compliance Functions) 6. มาตรการป้องกันความขัดแย้งทางผลประโยชน์
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Page 7 of 9 Form 35 – ARFP CIS Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the
.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: __________________________ Page 7 of 9 Form 35 – HK-TH MRF Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company
conducted by the mutual fund supervisor. 3.3.6 Delegation of the functions relating to investment management business Objective In the case of delegation of the functions relating to investment management
functions relating to investment management business Objective In the case of delegation of the functions relating to investment management business to the third party, the management company shall remain
functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including relevant standards of business operation; (3/1)( having systems for
, and [ii] the intermediary’s personnel would be able to complete their functions correctly and will not make the intermediary breach or fail to comply with applicable laws and regulations, including