Notification: “Yearly report” means the yearly report under the Notification of the Association of Investment Management Companies governing rules and procedures for preparation of the reports on the management
Derivatives Advisors dated 17 January 2018, and Clause 1(3) of the Notification of the Capital Market Supervisory Board No. Tor Thor. 59/2552 Re: Rules and Periods for Submitting Reports of Securities Companies
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
which can be promptly retrieved and inspected by the Office, and the securities company shall maintain the reports or articles on securities investment analysis for at least two years from the publication
electronic procedures. “securities company reporting system” means the electronic data interchange provided by the Office for filing reports of securities company to the Office. “Office” means the Office of
operator reporting system ” means an electronic data interchange provided by the SEC Office for filing reports to the SEC Office. Clause 3 A business operator shall prepare and file reports of financial
Fund and the SFC agreed to expedite the authorization process of a Hong Kong Feeder Fund investing in a Thai Master Fund. The feeder fund which seeks to be offered for sale to the public in the
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance