damage to the investors’ interest; (b) not being subject to the order of business suspension or revocation issued by the home regulator; (c) not having had record of violating the laws or regulations under
Page 1 of 7 Form 35 – foreign ETF Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
__________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the
_____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify
Public Offering for Sale of Securities as long as the scheme is in keeping with the following conditions: (1) being subject to supervision of home regulator which has jointly signed with the SEC Office in
(4) shall demonstrate to the Office that: (1)3 being a derivatives business operator in the category of derivatives dealer in accordance with the law of its home country; (2)4 undertaking derivatives
trust (unit trust) having objective to invest in securities or financial instruments; “home regulator” means capital market supervisory agency of country where foreign collective investment scheme has