Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
Fund 13) Units of the Hong Kong Covered Fund will be offered/marketed/distributed in Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand: Asset Management Company
violation The SEC Office issues an administrative order to enforce any regulated person. The SEC Office presents the case to the competent authority. End Administrative Order Issuance Administrative Sanction
licensed or regulated by the SEC Thailand : Management company Licensed bank/ Financial institution Licensed securities company Licensed institution/ Corporation/ Organisation (e.g. insurance company) Other
Thailand by the following intermediaries who are licensed or regulated by the SEC Thailand : Asset Management Company Licensed Bank/ Financial Institution Licensed Securities Company Licensed Institution
. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are intended to be listed or admitted
enforcement mechanism on foreign Professionals who are regulated by more than one regulator and the impact of enforcement actions on foreign Professionals undertaken by one regulator to the other regulator (s
debt securities, highlight the riskiness of securities on the cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt
cover page. IV. MARKETS A. Identity of Exchanges and Regulated Markets. Identify all the exchanges and/or regulated markets on which the debt securities are listed and/or admitted to trading, or are
Electric Public Company Limited (KYE) Parties Seller : Mitsubishi Electric Trading Corporation (MT) 3) Nature of the Transactions Investment in assets of molds and die categories for developing new