explanation in person or submit further documents as seen appropriate within a specified period of time. In such case, the period from the date on which the SEC Office gives such instruction to the date on
of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the
inspection and further consideration are needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the thirty days period. The Office may extend the consideration
a period of time in the future as set out in the contract is paid to the other party. 1.2 Risk of Loss in Trading Futures In futures trading, buyers (a party with long position) and sellers (a party
.: _________________________ Part E: Custody of Assets Same as Trustee/Fund Supervisor No [if “No”, please provide further information below] 23) Name of Custodian
further consideration are needed, and the Office notifies such necessities to derivatives broker before the date of expiration of the thirty –day period. The Office may extend the consideration process as
.: _____________________________ In case the ARFP Passport Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF), please state the names of market maker
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
Fax No.: _____________________________ In case the Hong Kong Covered Fund is to be listed on the Stock Exchange of Thailand (SET) or any other organised and regulated exchange in Thailand, e.g. an ETF