approved list of the SEC Office; (15) “fund supervisor” means the supervisor of a fund; (16)2 “common person group” means the persons with one or more of the following relationships: (a) spousal relationship
) “ financial advisor ” means a financial advisor on the approved list of the SEC Office; (15) “ fund supervisor ” means the supervisor of a fund ; (16)2 “ common person group ” means the persons with one or more
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
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 interest of
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 interest of investors based
/approved by its Home Regulator? Yes No If “Yes”, is the NRI CIS authorised/approved for the offer to non-retail or retail investors in Home Jurisdiction? Non-retail investors Retail investors 7) Has the NRI
authorisation or approval, as the case may be, of the relevant Covered Fund. 2. Management Companies Based on their common understanding of their regulatory and supervisory frameworks concerning management
operator] are under supervision of the home regulator that is a member of International Organization of Securities Commissions (IOSCO). (2) having the CIS operator [or ETF operator] that meets the criteria
entities established under foreign law: (1) a foreign government agency or organization; 2 (2) an international organization; (3) a foreign juristic person. “debt securities” means newly issued debt