which is supervised by a regulator located in a country whose supervisory measures on investment management are recognized by the SEC Office; For the purpose of intermediaries’ compliance with the
; 9) Is the foreign ETF a passively managed fund? Yes No If “Yes”, please specify such passively-managed investment strategy ________________________________________________________________________
fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
, Property Development, A company entered into the service concession arrangement or the Joint Operation and Joint Investment with grantor, Emerging Markets)? If so how are above “normal risk” clients managed
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
by the intermediary . Clause 10 In case of doubt whether or not the assets segregated and managed by the SEC Office are clients’ assets , the SEC Office shall settle such assets with the official
insurance company; (9) mutual fund; (10) private fund managed by a securities company for the investment of ultra-high net worth investors, high net worth investors or investors under (1) to (9) or (11) to
the units of a mutual fund managed in accordance with (1) of Paragraph 1 of Clause 11 and the disposal of the units invested in accordance with Paragraph 2 of Clause 11 shall be kept in a ready manner
_____________________________________________________ ________________________________________________________________________ 16) Number of years the CIS Operator has managed funds : _________________ Total assets under management (latest available