customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
ที่เป็นการซื้อขายหน่วยลงทุนแบบไม่เปิดเผยชื่อผู้ถือหน่วยลงทุนของกองทุนรวมภายใต้โครงการระหว่างประเทศดังนี้ ที่อยู่ในความดูแลของตัวแทนในต่างประเทศ (1) โครงการ Cross-border Offers of ASEAN Collective
-border offerings of funds between Hong Kong and Thailand, and signed the Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and Exchange Commission of
prohibited characteristics such as the relevant amount of money and transactions; (c) the person who has taken advantage from the prohibited characteristics. (2) subordinate factors which is the facts that the
behavior indicating unfair practices or taking advantage of the investors in securities or derivatives trading or aids or abets or used to aid or abet the others in connection with such behavior. Part 3
Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes (2) เป็นโครงการจัดการลงทุนต่างประเทศที่มีลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee
units and personnel who have an opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information . Clause 6 A
for Cross-border Public Offers of ASEAN Collective Investment Schemes (“MOU”), and is under supervision of Home Regulator who is a signatory to the MOU. Yes No If “No”, please specify
offences against property; (b) having inappropriate management or not complying with law or orders of lead regulator; (c) acting against the law or to gain an unfair advantage; (4) being a person under the
member country executing the Memorandum of Understanding Concerning Cooperation and Exchange of Information on Cross-border Offers of ASEAN Collective Investment Schemes to Non-retail Investors or the