: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the
regulations: Clause 1. The Notification of the Securities and Exchange Commission No. SorNor. 21/2543 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents dated 5 June 2000 shall
Securities and Exchange Commission. Clause 3. Applicant for an approval to be a custodian under Clause 4 must be a financial institution in any of the following categories : (1) Commercial bank under the law
paragraph to the client or the provident fund committee and the reasons for choosing such connected person as custodian. Clause 13/1 3 Determining the investment policy of a private fund for investment in the
Office governing rules, conditions and procedures for handling customers’ assets deposited with the custodian mutates mutandis . Clause 6/1. A registered person shall not allow its custody agent to appoint
7749p 1 2 รายชื่อเอกสารหลักฐานประกอบแบบคำขอรับใบอนุญาตประกอบธุรกิจสินทรัพย์ดิจิทัล ชื่อบริษัทผู้ขอรับใบอนุญาต คำชี้แจง * หมายถึงได้จัดเตรียมไว้ประกอบการพิจารณาในตารางคุณสมบัติผู้ขอรับใบอนุญาตประกอบ
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
information relating to ASEAN CIS, the Qualifying CIS Operator and its appointed distributors, representative, trustee and custodian. I/We hereby certify the following: 1. I/We am/are under supervision of Home
Securities and Exchange Act B.E. 2535 (1992) and Clause 1 of the Notification of the Securities and Exchange Commission Re: Rules and Schedules for Report Filing of Securities Companies dated 18 May 1992, the
: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company