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
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 Alert
Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator
Page 1 of 9 Form 35 – ARFP CIS Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator
two parts. The first part prescribes the Qualifications of the CIS Operator, Trustee/Fund Supervisor, and requirements relating to Approval, Valuation, and Operational Matter. The second part prescribes
Thai mutual funds Top 5 Unit trust Operator Top 10 Fixed income Issuer Foreign direct investment (MB)Country rating (S&P) , Country AA- , QATAR A+ , CHINA AA , UAE AA+ , USA BBB , INDONESIA BB , VIETNAM