Checklist for Registration Statement for an offer for sale of units of foreign collective investment scheme Form 69 – CIS material update [ ] 1. The Update Statements [ ] Any documents relevant to

as from the date of submission of complete and accurate application, other documents and evidence. In considering the application, the Office may summon the applicant to give statements or submit

of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the

the certificate of registration of juristic person / establishment of a body of persons; 1.2 a copy of the financial statements or the profit and loss statements, in case of a body of persons, for the

/254 7 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange

the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information

paragraph, the liquidator shall also submit the following documents to the unitholders: (1) a copy of financial statements for the period from the dissolution date of the mutual fund to no more than five

the registration certificate of juristic person / documents related to establishment of a group of persons; (7) Copy of the financial statements for the three most recent financial years or a copy of

exclusive) payable in the form of: [ ] [ ] · Bank draft / Corporate cheque / Cash · Receipt of money transfer [ ] 8. Other supporting documents ( please specify

past three years and the latest quarter or such shorter period that the company has been in operation: Specify the information in the consolidated financial statements, with only key figures and