, No. SorNor. 28/2549 Re: Investment and Holding of Assets for a Fund dated 17 July 2006 under Part 2: Rules of Investment Limit of Funds and preceding Chapter 1: Rules of Investment Limits in General
Supervisory Board concerning Investment of Funds (the same rule applies to Thai ETF)? Yes No 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify criteria of acceptable index ( please
where such financial institution operates; (2) being a creation of obligation related to permissible investment of private funds in accordance with the Notification of the Capital Market Supervisory Board
of the former mutual funds or the transferred mutual funds who vote to merge or amalgamate the funds and the unitholders who intend to convert the investment units of such funds into the investment
another party, which shall include the following matters: (a) in case of subcontracting the outsourced function which is investment management of mutual funds, provident funds, derivatives investment
private fund; “Provident fund” means any provident fund under the laws on provident funds; “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company
brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
Investment Schemes to Non-retail Investors (2) โครงการ Cross-border Public Offers of ASEAN Collective Investment Schemes (3) โครงการ Asia Region Funds Passport” ข้อ 2 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 1
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
supervisory standards on collective investment schemes with characteristics similar to mutual funds (Principles 24-27); however, in case of outsourcing the function which is investment management or derivatives