performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS Operator Please
) [ ] [ ] 2. Key Information (Part II) (A) The registration statement (B) Prospectus [ ] 3. Certification of Information Accuracy (Part III) [ ] 4. Evidence on the appointment of an authorised person of CIS
; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person in the number of exceeding fifty percent of the total
. Evidence on the appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Registration Statement for an offer for sale of units of
Operator ( issued by Qualifying CIS Operator ) [ ] 7. Evidence on the appointment of an authorised person of the Qualifying CIS Operator ( issued by Qualifying CIS Operator ) [ ] 8. Master fund’s prospectus
following manners: (a) a spouse or a minor child of such person; (b) an individual or a company holding majority shares of such person, which means: 1. an individual or a company holding shares of such person
shareholder(s) that have ultimate control of the audit firm? 2 Does the person that has ultimate control in the firm be a CFO or managing partner of the firm? If not, how the ultimate shareholder(s) delegate or
appointment of an authorised person of CIS Operator ( issued by CIS Operator ) [ ] 6. Master fund’s prospectus and fact sheet/ product highlight sheet (required only for an application of a feeder ETF) 7. A fee
“ controlling person ” shall have the same meaning as defined in the Notification of the Securities and Exchange Commission concerning Determination of the Definitions in [Other] Notifications relating to