Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate
person; (h) Unitholders which hold investment units exceed 10 percent of total investment units sold of mutual fund, in case of management of mutual fund; (i) Advisor; (j) Other fund which management
and communication technology infrastructure; (h) alternative energy; (i) water management system or irrigation; (j) natural disaster preventive system, including the warning and management systems to
บริษัทหลักทรัพย์ และผู้ประกอบธุรกิจสัญญาซื้อขายล่วงหน้าเป็นกรณีพิเศษ ประกาศ ณ วันที่ 21 มกราคม พ.ศ. 2554 (นายธีระชัย ภูวนาถนรานุบาล) เลขาธิการ สำนักงานคณะกรรมการกำกับหลักทรัพย์และตลาดหลักทรัพย์ H:\ประกาศ
management Ο private fund management Ο other, (please specify)…………….. 1.2. Name of applicant ………………………………………………………………… 1.3 Address of head office
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the economy of its principal place of
: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
operation of financial asset CIS that are offered to the general public: _______________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person