the applicant to clarify, take action or submit additional documents and evidence within the period of time prescribed by the SEC Office. 4 In cases where the applicant does not proceed in accordance
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and
Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information. “unit” means securities in the category of shares of investment company or trust certificates of
Fund or CISs in Home Economy satisfied those stipulated in section 17 of the Passport Rules (Annex 3) of the Memorandum of Cooperation on the Establishment and Implementation of the Asia Region Funds
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
to impose sanctions or to order the CIS operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
characteristics as described under Clause 12 except for the cases specified under Clause 13 and Clause 14. Clause 11 In the interest of Clause 10(1), any action below shall be deemed that the issuer or the offeror
Covered Funds and Covered Management Companies and related Cooperation (“MoU”)? Yes No If “No”, please specify _____________________________________________________
who have been approved by the SEC Office shall clarify, submit relevant documents or evidence, take action or not take action according to such request. Clause 142 Regarding the filing of the