Mutual Fund by a Securities Company dated 3 August 2009 shall be repealed. Clause 2 In this Notification: “ ETF ” means ETMF or foreign ETF . “ ETMF ” means exchange-traded fund in form of mutual fund
of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender or purchaser, representing the right of the holder of
Checklist for Foreign Exchange-Traded Fund (ETF) Application Form Name of foreign ETF: ________________________________________________________ Home Economy
number 3. Experience in capital markets Are you currently allowed by law to audit the financial statements of the public interest entities whose shares are traded in the main board of the foreign stock
Institution; (5) the Notification of the Capital Market Supervisory Board concerning Provisions relating to Offer for Sale of Shares Issued by Foreign Company of which Shares are not Traded in Foreign
(collective investment scheme) แบบ exchange-traded fund ที่จัดตั้งขึ้นตามกฎหมายต่างประเทศ (2) “หน่วยของอีทีเอฟต่างประเทศ” หมายความว่า หุ้นของบริษัท (investment company) หรือใบทรัสต์ของกองทรัสต์ (unit trust) ที่
: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company
instruments and investment units; “Securities company” means a company licensed to undertake securities business in the category of securities brokerage or securities dealing excluding a person licensed to
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
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