Ordinance on Investment Undertakings (Investment Undertakings ...

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e decided and details of the termination, especially with regard to the rights of the unit-holders; 3.14 if applicable, information on exchanges and markets on which the units are listed or traded; *3.15 arrangements and conditions for the issue, sale, redemption, and payment of units; special conditions for segments, such as changing from one segment to another and the associated costs; *3.16 information on ascertaining and using profit; *3.17 frequency and location of publication of the net asset value; *3.18 definition of the investment goals, the investment policy and strategy and their restrictions, the permissible investment techniques and instruments, especially the use of derivative financial instruments, and taking out loans and their scope; *3.19 profile of the typical investor; *3.20 risk profile and any necessary risk warning; *3.21 any delegations of responsibilities to third parties, especially the delegation of investment decisions; 3.22 information on the valuation of the assets; 3.23 information on determining the selling or issue price and the disbursement or redemption price of the units, especially the method and frequency of price calculation; indication of the costs associated with sale, issue, redemption, or disbursement; indication of the type, location, and frequency of publication of these prices; *3.24 information on the method, amount, and calculation of the payments, fees, and reimbursements to the members of the board of directors and the general management, the depositary bank, or third parties that are charged against the investment company and the investor, broken down according to those to be paid by the investor or the investment company; 3.25 information on the type of the investment fund (transferable securities, other values, real estate); *3.26 any information on results so far, and the warning that previous results do not entail conclusions about future results. 4 Information on the depositary bank *4.1 designation or business name, legal form, State of domicile and head office; 68
4.2 main activity. 5 Information on third parties, payments to whom are charged against the investment undertaking 5.1 name; 5.2 the elements of the agreement between the management company and third parties that are significant for the investor, except for payment arrangements; 5.3 additional significant activities of the third parties; 5.4 expertise of third parties with management and decision-making responsibilities. 6 Additional information 6.1 The full prospectus shall contain information on arrangements for payments to the investor, concerning the redemption of units, and information and publications on an investment undertaking both in relation to the State of domicile and to a third State in which units are distributed; 6.2. designation of the publication media; 6.3 date of approval of the full and the simplified prospectus. *) Substantial changes (contents of the simplified prospectus) must be approved in accordance with article 7 of the Act. In this Annex, the relevant points are marked with an asterisk as an orientation aid. 69
Page 1 and 2:
Ordinance of 23 Au
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tractually governed forward transac
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Article 8 Name 1) The name of an in
Page 7 and 8:
a) the full prospectuses so provide
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5. Business report, half-yearly rep
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Article 20 Business report and half
Page 13 and 14:
Article 23 Quarterly reporting 1) T
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thorize additional cancellation dea
Page 17 and 18: 5) Amendments to the prospectus for
Page 19 and 20: 1. accounting services required by
Page 21 and 22: pecially in the event of insolvency
Page 23 and 24: D. Investment rules 1. Investment u
Page 25 and 26: ments), if they are permissible as
Page 27 and 28: nized international accounting prov
Page 29 and 30: article 39 and article 43, paragrap
Page 31 and 32: ) Special limitations Article 45 In
Page 33 and 34: creditworthiness risk, etc.), an in
Page 35 and 36: term loans for repaying units, up t
Page 37 and 38: Article 55 Special requirements 1)
Page 39 and 40: Article 58 Securing liabilities 1)
Page 41 and 42: considered unsegmented. All documen
Page 43 and 44: Article 68 Forms With respect to se
Page 45 and 46: Article 72 Volume and term 1) If it
Page 47 and 48: Article 78 Special obligations of t
Page 49 and 50: m) a confirmation by the Office of
Page 51 and 52: 4) The organization, in particular
Page 53 and 54: Article 87 b) Equity position If th
Page 55 and 56: V. Supervision of management compan
Page 57 and 58: Article 95 Foreign audit offices A
Page 59 and 60: a) the accounts are being kept prop
Page 61 and 62: a) the accuracy of the business and
Page 63 and 64: ) the information concerning issue,
Page 65 and 66: Minimum content of the full prospec
Page 67: *2.1 designation or company name, d
Page 71 and 72: 2.5 profile of the typical investor
Page 73 and 74: niques and instruments, especially
Page 75 and 76: 2. Off-balance-sheet operations The
Page 77 and 78: 6. Number of units in circulation 6
Page 79 and 80: 1.4.2 buildings on which constructi
Page 81 and 82: 5. Change of net assets For each in
Page 83: account. 83
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Ordinance on Investment Undertakings (Investment Undertakings ...

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