) ________________________________________ 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
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
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
include it as part of the package of this form NRI CIS Application Form To: Secretary-General Securities and Exchange Commission, Thailand Re: Application to offer NRI CIS to non-retail investors in
1 Applicant’s personal record and audit firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of this
) _________________________________________________ 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
ข้อตกลง Principal …………. ราย Agent ……………. ราย 2. มูลค่าหลักประกันต่ำกว่าข้อตกลง Principal …………. ราย Agent ……………. ราย ขอรับรองว่ารายงานนี้ถูกต้องครบถ้วนตรงต่อความเป็นจริง …………………………… (เจ้าหน้าที่ผู้มี
adequacy of firm’s procedures? 2 For firms without designated Ethics Partner, does the principal meet regularly to discuss ethics and document their discussions? 3 Does the firm have documented policies and
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
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