| 1 |
In order to protect the interests of investors, please place "Warnings" on the front cover of the "Investor Brochure" in a larger typeface than what is used for the rest of the context.
Warnings:
- The Funds have been approved by or are in agreement with the Financial Supervisory Commission with respect to their effectiveness. However, this does not indicate that there is no risk in investing in the Funds. Past performance of the fund management company does not guarantee a minimum return from the Funds. Investors should read the prospectus carefully before investing.
- If there are any false statements or omissions in the Investor Brochure, the general agent and its responsible person shall be held liable in accordance with the applicable laws.
- Offshore funds are issued and offered according to foreign laws and rules and its prospectus, financial reports, annual reports and performance records are produced in accordance with foreign laws and rules. Investors should exercise their own judgment.
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| 2 |
Please include the following information in introductions to the general agent, offshore fund institution, management institution, custodian, general distributor and other related institutions. If any parties listed above are related parties, please describe their relationship.
- Name.
- Business place.
- Name of responsible person.
- Company profile.
- Type and size of the Funds.
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| 3 |
Produce an introduction to the "Offshore Fund Management Institution and Fund Status" in Chinese containing the following information:
- History of the offshore fund management institution and background of its shareholders.
- Name, establishment date, and type of the Funds.
- Credit rating of the custodian.
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| 4 |
How to subscribe, redeem and transfer the Funds:
- Minimum subscription amount.
- Payment method;
- Non-omnibus Account: When an investor subscribes for the Funds in his name, his account number for remittance, related charges for the remittance, and cut-off time for the remittance for orders placed on the same day would be required.
- Omnibus Account: When investors agree to subscribe for shares in the name of the general agent or sales agent, the designated account number for remittance, related charges for the remittance, and cut-off time for the remittance for orders placed on the same day of securities firm, trust enterprise, or securities central depository enterprise, as the case may be, would be required in accordance with Article 34 of the Rules Governing Offshore Funds.
- Please illustrate the cut-off time for subscriptions on each business day, determination and processing procedures for applications received after the cut-off time according to the general agent and the type of its sales agents (such as security brokers, banks, etc.).
- Processing procedures for subscriptions, redemption and transfer of the Funds refers to the whole trading procedure for domestic investors to subscribe, redeem and transfer the Funds through offshore fund institutions, general agents and sales agents, as well as the number of days required to complete such procedures. (Please illustrate in the form of a flowchart)
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| 5 |
Procedures for refund in the event that a Fund is not established.
- Procedures for refund and the responsibility of the general agent or sales agents to provide assistance with the request for refund in the event that a Fund is not established.
- Except for in the circumstances where the offshore fund institution, general agent or sales agents are not allowed to request for remuneration, they shall bear their own costs and expenses incurred in connection with the Funds.
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| 6 |
The illustration of rights, obligations and responsibilities of the general agent and offshore fund institution;
This refers to matters in connection with the rights of investors when subscribing, redeeming and transferring shares of the Funds and with rights, obligations and responsibilities of the general agent and offshore fund institution.
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| 7 |
Illustration of the information services to be provided by the general agent:
- Relevant information for the offering and sale of the Funds should be announced within two days after the Funds have been approved or reported for their effectiveness.
- Net Asset Value per share/unit of the Funds should be announced on each business day.
- Updates or amendments to the prospectus should be announced within ten days from the update or amendment, as the case may be.
- Make timely announcements of the annual financial report of the Funds and its summary Chinese translation.
- Make timely announcements when there are annual general meetings of the beneficiaries or shareholders or any other major events relating to the investors' rights.
- Special circumstances which will restrict the subscription, redemption and transfer of the Funds.
- Regulatory changes in the country where the fund issuer is located that will have a material impact on interests of the investors or operation of the Funds.
- Matters arising from the Funds that are offered or sold or from other funds managed by the management institution or its business group that will have a material impact on the interests of the investors or the net asset value of the Funds.
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| 8 |
Please illustrate the dispute resolutions between the offshore fund institution, general agent, sales agents, and investors.
- Resolutions and jurisdiction for disputes between the Funds and investors as stipulated by the offshore fund institution.
- The general agent will act as a service agent for all documents and litigation arising in the territory of the Republic of China for the offshore fund institution.
- The general agent or sales agents shall assist in protecting the investors' interests with respect to matters which the general agent or sales agents are not held accountable for.
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| 9 |
Please illustrate any assistance available for protecting the investors' interest.
- Handling procedures for disputes or litigation between the investors and the general agent/sales agents. (Please illustrate in the form of a flowchart)
- Handling procedures for disputes or overseas litigation between the investors and the offshore fund institutions. (Please illustrate in the form of a flowchart)
- Investors may seek assistance by the following methods when there is any dispute with the general agent or sales agents arising from the offering or selling of offshore funds:
- File a complaint with the Financial Supervisory Commission or Securities Investment Trust & Consulting Association of R.O.C.
- File an application for mediation with the Securities and Futures Investors Center.
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| 10 |
To illustrate each fee that the investors will be responsible for, and the amount of each fee or its basis of calculation.
The fees the investors will be responsible for shall be listed according to its type which includes all the expenses payable by the investors so that the investors may quickly understand the type and content of the fee.
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| 11 |
Illustration of investment risk. Risk of investing in the Funds shall include the following:
The risks of investing in the Funds shall include: loss of investment principal, fluctuation of price, currency fluctuation, political risk, etc..
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| 12 |
Illustration of websites where investors may obtain relevant information.
Investors may inquire about the net asset value, basic information, financial reports, prospectus, investor brochure, sales agents and other relevant information of the Funds at the Fund Clear website. The website for Fund Clear is at www.fundclear.com.tw
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| 13 |
Illustration of the type of certificates which authenticate the rights of investors.
- Investors who subscribe for the Funds in his own name.
- Investors who agree to subscribe in the name of the general agent or sales agents.
Please illustrate the issuer of the certificate, the way it is issued, the format and name of the certificate, and the application procedure for re-issuance.
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| 14 |
Other matters as required by the competent authorities.
(The English translation has been provided by courtesy of Lexcel Partners, Attorneys-at-Law at the engagement by the Securities Investment Trust & Consulting Association.)
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