brokerage, securities dealing or underwriting of investment units All mutual fund supervisors No. SEC. Nor Jor. (Wor) 1/2564 Re: Mutual Recognition of Funds between Hong Kong Special Administrative Region of
consultants of the firm? 3 What are the CPD targets set for each staff level? : · Partners · Senior Managers · Manager · Audit Seniors · Audit Trainee · Consultants/Sub-Contractors · Temporary Staff 4 Is there
Checklist for Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Application Form Name of Hong Kong Covered Fund
Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's
prevention equipment with directly recognition to the owner’s equity 26. retained earnings (deficits) 26.1 Appropriated 26.1.1 legal reserve 26.1.2 others 2.6.2 Unappropriated 27. deducted Treasury stock 28
new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence
(ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Name of CIS operator: Tel/Fax: Website
Investment Scheme for non-retail investors (NRI CIS) ( ASEAN Collective Investment scheme for retail investors (retail ASEAN CIS) ( Asia Region Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds
Funds Passport (ARFP) ( Foreign ETF ( Mutual Recognition of Funds between Hong Kong Special Administrative Region of the People's Republic of China and Thailand (HK-TH MRF) Name of CIS operator: Name of
Section 117 Securities and Exchange Act B.E. 2535 Section 117. In the management of a mutual fund, a securities company may set up and manage a mutual fund only when its application to set up the