hedge fund, to a foreign service provider who is legally permitted to operate investment management business for hedge funds (i.e., hedge fund manager/advisor) under the law of a foreign country wherein

Transitional Provisions and Effective Date of this Notifications _________________ Clause 9 It shall be deemed that derivatives broker limited to gold derivatives who was legally undertaking business under the

derivatives who was legally undertaking business under the Notification of the Securities and Exchange Commission which is repealed by this Notification is a person who obtained precious metal derivatives

: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally

Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that NRI CIS is legally established under the law of

: ______________________________________________________ Home Economy: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that ARFP Passport Fund is legally

) [ ] 2. Evidence demonstrating that Hong Kong Covered Fund is legally established under the law of Hong Kong (issued by the Securities and Futures Commission of Hong Kong) [ ] 3. Evidence on the

without submitting an application for approval under Clause 12 if such person meets the following criteria: (1) being capable of operating investment management business legally under the law of the

criteria: (1) being capable of operating investment management business legally under the law of the jurisdiction where such foreign person operates business; (2) being under the supervision of any of the

persons; 4.1 A fund supervisor registered with the Office; 4.2 A private fund custodian approved by the Office; 4.3 Any person who can operate custodial business legally in the countries where mutual funds