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
insurance policy issued by life insurance company to the insured as evidence that the insured and the life insurance company have signed a contract of life insurance and a contract of investment in investment
ที่เพียงพอต่อมูลค่าการใช้สิทธิตามตราสารดังกล่าว (fully covered) ไว้ตลอดเวลาที่ได้ลงทุนหรือมีไว้ซึ่งตราสารนั้น - 4 - เหตุผล สำนักงานได้ยกเลิก product limit ในตราสารดังกล่าว (เดิมกำหนด รวมกันไม่เกิน 5
appropriately protected, the intermediary shall identify organizational IT assets and define proper protection roles and responsibilities. Provisions in the Notification No. Sor Thor. 37/2559 Clause 15 An
other training institutes approved by the Office; “Unit-linked life insurance policy” means an insurance policy issued by life insurance company to the insured as evidence that the insured and the life
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
the date of commencement of the business, the value of the insurance for the purpose of maintenance of capital shall be limited to fifty percent of the insured amount. Division 2 Calculation of Capital
its policies? Do professionals have access to guidance materials regarding the applicable independence? 6 Are ethics policies and procedures properly covered in induction, professional training and