Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the

_______________________________________________________________________ 12) Number of years the Hong Kong Covered Management Company has been responsible for the operation of financial asset CIS that are offered to the general public: _______________ Total assets under

_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available

business? Yes No If “No”, please specify ____________________________________________________ _______________________________________________________________________ 16) Number of years the CIS Operator has

: ............................................................................................................ Federation of Accounting Professions Membership No: .................... Expiry Date: ............. 3. Age:............. years Date of Birth

internal audit and regulated by other competent regulators according to the notification of the SEC. The SEC Office has the power to waive the appointment of independent director temporary or permanently

investor contact is given for two years period, the first approval takes effect as from the approval date and the two years period shall be counted from the 1st January of the following year. Clause 8. Any

the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of

case an intermediary being [i] financial institution which is regulated by the Bank of Thailand or the Office of Insurance Commission or [ii] state enterprise under Ministry of Finance’s purview has

including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic