Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund
Thailand Concerning Mutual Recognition of Covered Funds and Covered Management Companies and related Cooperation (“HK-TH MRF MoU”) on 20 January 2021. To ensure that business operators have the same
Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
ที่เพียงพอต่อมูลค่าการใช้สิทธิตามตราสารดังกล่าว (fully covered) ไว้ตลอดเวลาที่ได้ลงทุนหรือมีไว้ซึ่งตราสารนั้น - 4 - เหตุผล สำนักงานได้ยกเลิก product limit ในตราสารดังกล่าว (เดิมกำหนด รวมกันไม่เกิน 5
the CPD records? 9 Does the firm maintain the list of persons who didn’t comply with the mandatory and firm’s CPD targets and its plan for correcting the situation? 10 Whether CPD/training is covered in
service, the expenses or income arising from the investment advisory service and the derivatives advisory service shall be included in the calculation for the maintenance of capital under Paragraph 1(2) or
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
lower than 6.25 percent of the outstanding. (6) shares listed on the Stock Exchange of Thailand and included in the SET 100 index calculation; (7) investment units of the Money Market Fund; (8) investment
, prior to the effective date of this Notification, the derivatives broker has existing subordinated liabilities, which are not included in the calculation of the total liabilities under Clause 2, in the
auditing and accounting standards and guidance? Does the audit manual included requirements that are related to quality control of audit engagement? Where are standard audit manuals kept? Do the firm