Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined objective, being broadly based, having index components that qualify as
. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any
Communications with relevant persons (7) Division 7 Cross-border communication (8) Division 8 Companies shall test and assess the BCP (Training, Exercising and Auditing) (9) Division 9 Examples of emergency
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
figures): in Home Jurisdiction ___________________________________ offered cross-border ___________________________________ Total ___________________________________ As at (date) __________________________
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
management (latest available figures): in Hong Kong (HKD) ___________________________________ offered cross-border (HKD) ___________________________________ Total (HKD) ___________________________________ As
cross-border ___________________________________ Total ___________________________________ As at (date) __________________________ Part C: Distribution of ARFP Passport Fund and CIS Operator’s Local
institution’s clients. However, the securities company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to