case may be; “updated prospectus” means the following prospectuses: (1) prospectus for an open-end mutual fund that shall be prepared during the period specified by the Notification of the Capital Market

be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

evaluate the impact on all aspects of business, as well as ensuring that our operations comply with health and safety protocols, which are regularly updated. We had also enhanced our IT systems and

acknowledgement to create awareness of the IT security in the use of the cloud computing; (7) define clear roles and responsibilities of the cloud provider such as the data backup, the helpdesk services, the

of interest (including, but not limited to, those conflicts of interest identified in Principle 2.6 above) in a complete, timely, clear, concise, specific, and prominent manner. When the actual or

Template updated as of June 2022 For public offering of Asia Region Funds Passport (ARFP) in Thailand LOGO (Form 123-1) Name of the CIS Operator Factsheet Name of the CIS Operator’s local

Template updated as of June 2022 For public offering of Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) in

Template updated as of June 2022 For public offering of ASEAN Collective Investment Schemes (ASEAN CIS) in Thailand LOGO (Form 123-1) Name of the CIS Operator Factsheet Name of the CIS Operator’s

shall provide evidence on securities trading and maintain such evidence in full and updated condition for at least five years from the trading date, provided that the maintenance of such evidence during

Clause 8, as the case may be. Clause 7 In obtaining client information, an intermediary shall notify each client that the true, accurate, updated and complete information handed over to the intermediary as