Regulations Governing Offshore Funds 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 person and to fill out basic information.The master agent and sub-distributor(s) shall put in place internal control systems including effective procedures for know-your-customer, 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.
中文原文 境外基金管理辦法第42條
總代理人及銷售機構代理境外基金之募集及銷售，應充分知悉並評估客戶之投資知識、投資經驗、財務狀況及其承受投資風險程度。
總代理人及銷售機構，對於首次申購之客戶，應要求其提出身分證明文件或法人登記證明文件，並填具基本資料。
總代理人及銷售機構之內部控制制度應包括充分瞭解客戶、銷售行為、短線交易防制、洗錢防制及法令所訂應遵循之作業原則，並由總代理人送交同業公會審查。
總代理人及銷售機構，對於首次申購之客戶，應要求其提出身分證明文件或法人登記證明文件，並填具基本資料。
總代理人及銷售機構之內部控制制度應包括充分瞭解客戶、銷售行為、短線交易防制、洗錢防制及法令所訂應遵循之作業原則，並由總代理人送交同業公會審查。