/1) “ connected person ”: (a) in the part relating to offeror means “ connected person ” in accordance with the Notification of the Capital Market Supervisory Board concerning Subscription
contract creating conflict of interest to the fund, Except that management company appoint other person to manage an investment independently by not taking part of such decision to invest. In this regard
relationships shall be deemed a part of the common person group of the private sector in Paragraph 1; 1. a natural person or juristic person holding the shares of, or partnership in, the private operator, either
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
appointment of an authorised person of CIS Operator ( issued by CIS Operator ) [ ] 6. Master fund’s prospectus and fact sheet/ product highlight sheet (required only for an application of a feeder ETF) 7. A fee
person within the firm, including CEO? Does the firm communicate to the person who take care of performance evaluation to consider the deficiencies found as part of evaluation? Does the firm communicate to
the representative of Hong Kong Covered Management Company (issued by Hong Kong Covered Management Company) [ ] 5. Evidence on the appointment of an authorised person of Hong Kong Covered Management
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
. Evidence on the appointment of a local representative in Thailand as the agent of CIS Operator ( issued by CIS Operator ) [ ] 5. Evidence on the appointment of an authorised person of CIS Operator ( issued