, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and

) “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of

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

of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice

value of securities or the suitability of a securities investment; (11) “ general advice ” means an investment advice given to any person without considering the investment objective, financial status, or

of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to

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

approval of, and registration with, the SEC Office with the objective to promote and develop securities businesses in the category of investment management. Clause 2 This Notification is intended to

supervision of securities business in the category of management of other persons’ funds, whether it be the mutual fund or private fund management, has the common objective to protect and maintain the best

ASEAN country. “ general consultation ” 9 means giving of consultation without considering the appropriateness of investment, the objective of investment, the financial position or the demand of any