Section 93 Securities and Exchange Act B.E. 2535 Section 93. Any person wishing to act on behalf of a company established to undertake securities business under foreign law by setting up a

: ______________________________________________________ Home Economy: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that ARFP Passport Fund is legally

Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy

sole proprietor, please state the arrangements made to conduct an EQCR 11 Has the firm established policies and procedures setting out the criteria by which all other audits and reviews of historical

offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in

of the investment committee. (2) Prescription of factors for investment decision to be comprised of at least the followings; - Analysis of overview domestic and international economy taking into

, settlement method and setting price, etc.. Moreover, investor should consider the suitability of such investment with the investor owns investment objective and financial. 3. Risk of loss beyond initial margin

economy or the national security or peace and order or the morality of the public, a license for establishment shall be issued and the association related to securities business shall be registered. Clause

well as maintaining the integrity of the capital market and the derivatives trading system as a whole. Clause 3 In setting the organizational structure, operating system and operational control under

-delegation) account for more than 20% of the net asset value of the Hong Kong Covered Fund? Yes No If “Yes”, please specify the name(s) and economy(-ies) of the delegated entity(-ies) and sub-delegated entity