advertisement contains a statement that is partially copied or referred from another statement, article or speech made by any persons or past performance, such copied or referred statement shall be true and shall

any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or

and post-approval proceeding in Part 1; (2) the provisions on the proceeding of an established fund in Part 2; (3) the administration and management of a fund in Part 3. Clause 5 A management company

” (partially or non - collateralized derivatives warrant) หมายความว่า ใบสำคัญแสดงสิทธิอนุพันธ์ ประเภทอื่นใดที่มิใช่ใบสำคัญแสดงสิทธิอนุพันธ์ที่มีทรัพย์สินเป็นประกันเต็มจำนวน (๖) “บริษัท” หมายความว่า บริษัทจำกัด

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

_____________________________________________________________________ 5. I/We affirm that the Hong Kong Covered Fund, as detailed in Part A of this application form, and the Hong Kong Covered Management Company, as detailed in Part B, is completely in compliance with

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

; “Office” means the Office of The Securities and Exchange Commission. Clause 4. This notification shall not apply for Thai Trust Fund Company Limited. Provided that, the provisions in Part 1 of Chapter 1

provider, in part that involves with the derivatives broker. Clause 12 . In case where it appears later to the Office that derivatives broker violates or fails to perform in compliance with this notification

securities company. In case where the Office see appropriate, securities company shall arrange for the Office to examine an operation of service provider, in part that involves with the securities company