are traded in the aforementioned stock exchange? Yes No If yes, Please specify the years of experience Please provide the name and details of the listed entities that you have been an auditor in the
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
structured CPD for registered auditors? 5 Is there a training policy for other audit issues of Listed Companies? 6 Are these CPD targets communicated to each individual? If yes, how? 7 Are these targets
unitholders of the CIS (if applicable) 1.7 Auditor 1.8 Procedures for offering of the CIS units (B) Prospectus CIS operator must prepare a wrapper in case the prospectus as approved by, registered, or filed
approved by, registered, or filed with the Home Regulator does not contain the information specified in the registration statement listed above and other disclosure requirements stipulated by the SEC
(1) or (2), excluding any provident fund. (16/1)3 “ selling agent ” means a securities company holding a securities underwriting license whereby selling of units is permitted; (17) “ registered capital
Regulated CIS ________________________________________________________________________ 7) Please state on what date the ARFP Passport Fund is registered with its Home Regulator
.: _____________________________ Fax No.: ___________________________ 11) Is the Hong Kong Covered Management Company currently licensed by/registered with the Securities and Futures Commission of Hong Kong to conduct the
regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
investment as specified in the notification of the SEC.” (As amended by Section 3 of the Securities and Exchange Act (No.2) B.E. 2542) "listed securities" means registered or authorized securities for trading