Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund

Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same

ที่เพียงพอต่อมูลค่าการใช้สิทธิตามตราสารดังกล่าว (fully covered) ไว้ตลอดเวลาที่ได้ลงทุนหรือมีไว้ซึ่งตราสารนั้น - 4 - เหตุผล สำนักงานได้ยกเลิก product limit ในตราสารดังกล่าว (เดิมกำหนด รวมกันไม่เกิน 5

service, the expenses or income arising from the investment advisory service and the derivatives advisory service shall be included in the calculation for the maintenance of capital under Paragraph 1(2) or

period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment

, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the

. Clause 6 In the event that, prior to the effective date of this Notification, the securities company has existing subordinated liabilities, which are not included in the calculation of the total

disclosed the names of the customers or suppliers to other persons such as investors or securities/investment analysts, such information shall be included in the annual registration statement to ensure equal

in the mutual fund management scheme and prospectus, or private fund management agreement, as the case may be, shall be included: (a) type of assets to invest; (b) return of each type of assets; (c