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

derivatives trading positions held by a client; (b) profit or any other interests resulted from derivatives transaction of a client; (c) warehouse receipt, bill of lading, or any other instruments which

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

obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments

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) __________________________