| Article 27 |
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| Article 27-1 |
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| Article 28 |
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| Article 29 |
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| Article 30 |
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| Article 31 |
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| Article 32 |
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| Article 33 |
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| Article 34 |
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| Article 35 |
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| Article 36 |
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| Article 37 |
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| Article 38 |
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| Article 39 |
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| Article 40 |
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| Article 41 |
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| Article 42 |
When offering and distributing offshore funds, the master agent and sub-distributor(s) shall gain full knowledge of and evaluate the investment knowledge, investment experience, financial condition, and investment risk tolerance level of their investors.
For an investor making a first-time purchase, the master agent and sub-distributor(s) shall require the investor to produce an identification document or a document evidencing profit-seeking enterprise business registration from the investor and to fill out basic information.
The master agent and sub-distributor(s) shall put in place internal control systems including effective procedures for fully knowing investors, sales conduct, prevention of short-swing trading, prevention of money laundering, and procedural principles to be complied with under laws and regulations, and submit the systems to the SITCA for review through the master agent. |
| Article 43 |
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| Article 44 |
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| Article 45 |
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| Article 46 |
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