: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.

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

form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008

involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance

information with the Office in advance so as to ensure that such training course or seminar can be duly counted in the participation hours. The Office will inform the result of consideration within 15 days from

Authorisation Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes (2) เป็นโครงการจัดการลงทุนต่างประเทศที่มีลักษณะตามที่กำหนดใน Part I : Qualifications of the CIS Operator, Trustee

securities business shall be paid in advance before the first day of each calendar year except for the first year of obtaining the license whereby the license fee shall be paid upon receipt of the license at

. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours

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