fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a

investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

managed CISs: _________________ Total assets under management (latest available figures): in Home Economy ___________________________________ offered cross-border ___________________________________ Total

_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available

them are managed by the same mutual fund management company , which is prohibited by section 126(3) of the Securities and Exchange Act B.E. 2535 (1992) ; and (3) be according to conditions as prescribed

identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

. Tor Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September

Exchange Commission No. Kor Thor. 9/2556 Re: Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order _____________________________ By virtue of Section 9

: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company