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

Unit trust Any other structure acceptable to participating jurisdictions 5) Type of NRI CIS: (more than one answer is possible) Equity Fund Fixed Income Fund Multi-Asset Strategy Fund Money Market Fund

model for hedging. Question and Answer

applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is

) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is possible) General Equity Fund Bond Fund Mixed Fund Feeder Fund

____________________________________________________________________ 9) Is the ARFP Passport Fund intended to be offered publicly in the Home Economy? (Please tick if your answer to question 8 is “No”.) Yes No If “Yes”, please specify the expected date of such public

. ( Answer this question is not required if the company does not invested in the subsidiary or associated companies) 12.5 The company assigns roles and responsibilities that executives and employees are to

ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the following questions: - Who does this? - How often is it done? - Have there been any such situations during

,” describe how the firm monitors its independence 18 Does the firm review unpaid fees from clients to ascertain whether any outstanding amounts may impair the firm’s independence? a. If “yes,” answer the

notified in advance. 8.2.6 All directors and relevant executives should attend the meeting to answer questions from shareholders on company-related matters. 8.2.7 The attending shareholders should be