”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
registered auditor under the audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact Person of the authority Business Address of the authority
Person of the authority Business Address of the authority Website of the authority Telephone number of the authority E-mail of the authority Is the audit oversight authority you registered with a member of
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
institutions holding securities business licenses, which are under direct supervision of other regulators and are subject to anti-money laundering and terrorist financing regulatory and oversight regimes that
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
: ________________________________________ 12) Home Regulator of the CIS Operator: ________________________________________ 13) Address of principal place of business: _______________________________________
Summary Part 2 The Issuer 2.1 Objectives of the fund 2.2 Business operation 1. Policy and overview of business operation 2. Nature of business operation 3. Risk factors 4. Research and development 5. Assets
. โครงสร้างองค์กร (Organizational Struture) 2. ขอบเขตของการทำธุรกิจและความเสี่ยงที่เกี่ยวข้อง (Business Profile and Risk Profile) 3. ระบบการกำกับดูแลการบริหารความเสี่ยง (Management Oversight) 4. ระบบการบริหาร
company in the following matters: (1) Risk management oversight system. Policy and practices in managing risk arising from the undertaking of fund management business shall be prescribed in writing and the