in order to determine a high quality credit rating. A-7 1.12 A CRA should establish and maintain a review function made up of one or more senior managers with appropriate experience to review the

.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the

under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to

. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units

clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of

shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or

: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Page 7 of 9 Form 35 – ARFP CIS Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the

of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each

........................................ ...................................... ......................................... (Additional details can be submitted as attachments) 3. Internal Management of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners

company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function