SMART’s failure to prepare and submit the accurate financial statements for Q1/ 2017 ended March 31, 2017 within the period specified by the Capital Market Supervisory Board. SEC Act S.300 Settlement
.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the
under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to
. (UNOFFICIAL TRANSLATION) 8 Clause 17. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units
clear, legible or audible. The provision under the first paragraph shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of
shall apply mutatis mutandis to the footnote of the advertisement. Clause 13. The securities company shall not delegate the function of advertising to a natural person appointed as an agent who sells or
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ Page 7 of 9 Form 35 – ARFP CIS Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the
company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function
delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or
.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other