case of abnormal increase in transaction volume of the business operator to the effect that the business operator must arrange sources of short - term finance to allow maintenance of NC, and with respect

sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing

delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing and lending (SBL); “Central securities

Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of

of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of

) Flow 1 : การขออนุมัติ/จัดสรรวงเงินจากส านักงาน ก.ล.ต. (“ส านักงาน”) ส านักงานพิจารณาค าขอและอนญุาตการเสนอขาย ASEAN CIS ในประเทศไทย การควบคุมวงเงิน วงเงินใกล้เต็ม CIS Operator ประสงค ์ จะเสนอขายหน่วยในไทย

Pursuant to the existing regulations on approval for capital market business personnel, if any person who has obtained an approval from SEC but has not performed duties under any business operator

Under the existing regulations, each business operator allows to prepare the customer complaints’ handling report in its own style and classify the type of complaints as it deems appropriate. Such

Business Operator SHARE : Detail Content ​​Useful Information ​ List of Securities Businesses / Derivatives Businesses​ ​ Asset Management Businesses​ ​ Credit Rating Business​​​​ ​​ Investor A​lert

Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator