, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under
Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
Checklist for NRI CIS Application Form Name of NRI CIS: ________________________________________________________ Name of CIS Operator: _____________________________________________________ Home
: ______________________________________________________ Home Economy: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that ARFP Passport Fund is legally
persons. Companies should arrange a call tree and a name list of customers, the main service providers and other relevant persons, including contact information, such as an office phone number, home phone
with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC Thailand. Part III Certification of
approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4