. Investment consultant's scope of duty is to contact and provide investors with investment advice or planning while investors are responsible to make their own investment decision. The SEC therefore urges all
(if any): _______________________________________________________________________ Part I: Declaration I/We certify the following: 1. I/We am/are under supervision of Home Regulator which has the
: Website: Contact person: Email: CIS operator is under the supervision of: Name of local representative: Contact person: Email: Name of local intermediary: Contact person: Email: Warnings: An investor
/are under supervision of Home Regulator which has the authority to impose sanctions or to order the CIS Operator of the ARFP Passport Fund to act or refrain from acting in case there is an action which
been approved to establish or registered or person responsible for undertaking of foreign collective investment scheme (CIS operator) is under the supervision of such agency. Clause 2. This Notification
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another
business is under direct supervision of another regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices