Exchange Commission have suggested investment in the offered units of the CIS; nor contain any assurance in relation to the value or returns on the offered units of the CIS; nor shall certify the accuracy
represents that the Securities and Exchange Commission, the Capital Market Supervisory Board or the Office of Securities and Exchange Commission have suggested investment in the offered units of the CIS; nor
) Secretary-General Office of the Securities and Exchange Commission . Original proposed guideline Comment/question From company The SEC Office’s comment Backup and IT Contingency Plan. Preparing readiness in
.: _________________________ (please use an enclosure if there is more than one participating dealer) Part E: Representative of the CIS Operator 19) Name of proposed representative in Thailand
or person who is proposed to be an executive or person with power of control of a company or subsidiary: O yes (please specify in detail) name……………………relationship……………………... O being an executive of the
” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager
.: _________________________ Representative 18) Name of proposed representative in Thailand: _______________________________________________________________________ 19) Is such representative regulated by or acceptable to the
support the offerings of Hong Kong funds, including Exchange Traded Fund (ETF), in Thailand. In this regard, the SEC plans to conduct a public hearing on the proposed revisions and will clarify the
proposed to the client ; (3) channel for providing [or accessing to] the service and for communication; (4) rights, duties, liabilities and conditions in part of the client , or an obligation binding the