checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
the audit client and no specific element of the remuneration of a member of the audit team is based on this 11 Gifts / Hospitality: Should explain the nature and value of gifts and hospitality that may
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
) ________________________________________ 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
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
include it as part of the package of this form Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form To
) _________________________________________________ Please print this checklist and include it as part of the package of this form Asia Region Funds Passport (ARFP) CIS Application Form To: Secretary-General Securities and Exchange Commission
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