customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into 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
brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
prevention equipment with directly recognition to the owner’s equity 26. retained earnings (deficits) 26.1 Appropriated 26.1.1 legal reserve 26.1.2 others 2.6.2 Unappropriated 27. deducted Treasury stock 28
and lending (SBL); “Central securities depository” means any central securities depository under the law on securities and exchange; “Depositor” means a person approved by the central securities
Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a