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

by CIS Operator ) [ ] 6. A document demonstrating that the investment policy and product restrictions of NRI CIS are in accordance with those specified by the Notification of the SEC Thailand relating

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

authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which may cause damages to the interest of members of the Passport

action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6) imposing the intermediary to submit any information

Management Company of the Hong Kong Covered Fund to act or refrain from acting in case there is an action which may cause damages to the interest of the investors of the Hong Kong Covered Fund. Yes No If “No

negotiation on securities investment with clients for at least three months from the date on which such action takes place. In cases where there is a complaint regarding such action and the handling of such

management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or

Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6

operating results, the outcomes including the action plan (if any) related to other environmental management as the Company deems to be in accordance with the environmental policy and guidelines. In addition