conglomerate does not follow what is stipulated in Clause 3 or that the supervisor of the securities company or the authorized company does not perform duty in compliance with the rules specified in Clause 4

Regulated CIS ________________________________________________________________________ 7) Please state on what date the ARFP Passport Fund is registered with its Home Regulator

” means a person assigned by director of a juristic person to take the highest responsibility in managing such juristic person, no matter what the title is. “Custodian” means private fund custodian

________________________________________________________________________ 5) Please state on what date the Hong Kong Covered Fund is authorised by the Securities and Futures Commission of Hong Kong ________________________________________________________________________ 6

operational approach understandable and practicable on what, when and where to work. 5.2 Methods and channels to communicate among relevant persons either inside or outside companies Companies shall determine

in the interest of investor protection or to ensure the uniformity of operating standards. Clause 9 Apart from what specifically prescribed earlier, the SEC Office shall have the power to prescribe

operational risk โดยอาจตั้งสมมติฐานที่มีผลลบต่อการจัดการสัญญาซื้อขายล่วงหน้า (“worst-case” หรือ “what if” scenarios) เช่น ปริมาณการเข้าทำสัญญาซื้อขายล่วงหน้าเพิ่มขึ้นเป็นเท่าตัว ความผิดพลาดในการคำนวณราคาของระบบ

information for all. 3. Risk factors Identify significant risk factors including the following types: - Operational risk associated with the Company or the group of companies. Identify and clarify what the

person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of

future such as keeping information in what type, it shall keep device and software related to read that type of media. [M] · Labelling clearly at the preserved information media for rapidly search and