funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities
between or amongst funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which
): ______________________________________________________ 2) Home Economy: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal Character of ARFP Passport Fund
applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is
quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor
who makes a dispute resolution, except for the case under Clause 15. The parties shall select the arbitrator from the arbitrator list of the Office by the following methods: (1) the claimant shall
Foreign Auditors in the Capital Market according to the (select only one that apply) Clause 6(1) of the Notification of the Office of the Securities and Exchange Commission No. SorShor 30/2558 Re: Approval
, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
credit rating agency from the possibility for the bank to receive financial support from the Government, if in need. Clause 7/3 3 To select credit rating information under clause 7/2, derivatives broker