consideration and prosecution process or the court proceedings. [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No [ ] Yes [ ] No 4 2. I am a
? Dismisses the case NO. The case is finalized. (in case of the imposition) YES Approve to enforce civil sanctions NO. (in case of the dismissal) EndNO YES Does the alleged willingly undertake the sanctions
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g., in-house, outsource, network firm? 2) How often the firm performs monitoring function? A2 Does
: _________________________________________________________ 4) Legal form of NRI CIS: legal entity1 unit trust any other structure acceptable to participating jurisdictions 5) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
) Page 3 of 8 Form 35 – NRI CIS 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm