Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
Regulator which has the authority to impose sanctions or to order the Qualifying CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors
Clients of Securities Companies and Derivatives Intermediaries in order that an intermediary shall comply with such Notification by reaching same standard in practice. Clause 2 An intermediary shall provide
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
____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS
Thailand; (m) international financial institutions; (n) juristic persons established under specific laws; (o) government agencies or state enterprises under the law on budget procedures ; (p) Financial
to impose sanctions or to order the CIS Operator to act or refrain from acting in case there is an action which may cause damages to the interest of the investors. Yes No If “No”, please specify
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
established under specific law which are not persons under (9); (7) Bank of Thailand; (8) International financial institutions; (9) Government agencies and state enterprises under the laws on budgetary