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Title：
Regulations Governing Offshore Funds
CH
Amended Date：
2023.12.14
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Legislative History
Chinese
Title：
Regulations Governing Offshore Funds(2009.06.06)
Date：
2022.12.28
2018.07.13
2015.10.13
2014.05.29
2010.09.03
2009.06.06
2008.10.14
2008.02.05
2007.06.15
2006.05.16
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 registration as a juristic personand 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.