each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
such complaint is completed; In cases where the giving of advice or placing of orders under Paragraph 1 has been made via telephone or by electronic mean, a record of audio tape or electronic recording
investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF This form shall be signed either by a CIS Operator or an appointed intermediary of the CIS Operator and shall be submitted to the
Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
/5- 28/7/40 ABN AMRO Hoare Govett Asia (Holdings) Limited บงล. ทิสโก้ จก. (มหาชน) 52-63 ล้าน 35 - 48.46 46,155,219 35.50 35.00 72 บมจ.ไดนาสตี้ เซรามิค (DCC) (18/12/40) 23/12/40- 26/2/41 นายรุ่งโรจน์
Checklist for Asia Region Funds Passport (ARFP) CIS Application Form Name of ARFP Passport Fund: _________________________________________________ Name of CIS Operator
Investment Schemes to Non-retail Investors (2) โครงการ Cross-border Public Offers of ASEAN Collective Investment Schemes (3) โครงการ Asia Region Funds Passport” ข้อ 2 ประกาศนี้ให้ใช้บังคับตั้งแต่วันที่ 1
and factsheet; (3) record any recommendation in form of document or an audio file. In this regard, the intermediary shall request the clients to examine the content of recommendation recorded on
: Type of arrangement: ( ASEAN Collective Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport