Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
disclosure checklist for Form 56-1 as a guideline for preparing the information in Part 2.2 to Part 2.4 of Form 69-1 as most of the disclosed information is of similar nature. Contents Page Part 1 Executive
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS full [ ] 1. Fund Fact Sheet/ Product Highlight Sheet (Part I) [ ] [ ] 2. Key
Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS annually update [ ] 1. Fund Fact Sheet / Product Highlight Sheet (Part I
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
companies means investments in subsidiary and associated companies holding by the company and subject to the accounting standard which records such investment by the Equity Method. In case of any holding of
) ________________________________________ Please print this checklist and include it as part of the package of this form Foreign Exchange-Traded Fund (ETF) Application Form To: Secretary-General Securities and Exchange Commission, Thailand
Which May Constitute a Conflict of Interest in the Management of Mutual Funds in the part related to conclusion of transactions for property funds, mutatis mutandis ; (b) related party of a fund which
whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
Securities and Exchange Commission hereby issues the following regulations: Clause 1. Part 3, Page 1 to Page 3 of the Form BorLor. 4/1 attached with the Notification of the Securities and Exchange Commission