ที่เป็นการซื้อขายหน่วยลงทุนแบบไม่เปิดเผยชื่อผู้ถือหน่วยลงทุนของกองทุนรวมภายใต้โครงการระหว่างประเทศดังนี้ ที่อยู่ในความดูแลของตัวแทนในต่างประเทศ (1) โครงการ Cross-border Offers of ASEAN Collective
concerning Investment of Funds. Clause 8 To protect investors and fair treatment for their entitlement, and to ensure the uniformity of operating standards, the SEC Office shall have the power to issue rules
to ensure the uniformity of the operating standards, the Office shall have the authority to issue notification specifying rules, conditions and procedures on the following matters for the management
-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
Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes (2) เป็นโครงการจัดการลงทุนต่างประเทศที่มีลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee
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
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
managed CISs: _________________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered cross-border ___________________________________ Total
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
figures): in Home Jurisdiction ___________________________________ offered cross-border ___________________________________ Total ___________________________________ As at (date) __________________________