held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the
held shares of the management company exceeding five percent of the total outstanding shares of the management company (2) Such person has held shares of the person under (1) exceeding thirty percent of
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the
house requires its member to secure the performance of derivatives trading, and the calculation of the margin value shall be complied with the rules prescribed by the derivatives clearing house . Clause 4
of the country), hereby certify follows; 1. My immediate family member, including spouse (or equivalent) and dependent, and I do not hold any share of my audit clients and or its related entities. 2
or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund
exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a
number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify