this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission
each customer separately from the account of its own, in accordance with the rules specified in the notification of the SEC. In cases where the derivatives business operator has advanced its own asset to
application. b. Please mark an X in the appropriate box corresponding to your answer c. Send completed and signed forms to - Accounting Supervision Department The Securities and Exchange Commission, Thailand
: ______________________________________ 5) Type of ARFP Passport Fund: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund
of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund Feeder Fund Fund of Funds Exchange-Traded Fund Index Fund Capital-Guaranteed
applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is
ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during
, the management company should make enquiry to the employer immediately demanding for a clear answer and monitoring until the employer has arranged for a correct amendment. In cases where the employer
encryption of information transmitted through computer network system, the prevention of distributed denial of service (DDoS) attack, the intrusion from malware, the protection against threats advanced
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4