Ordinance on Investment Undertakings (Investment Undertakings ...

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Minimum content of the simplified prospectus Annex 2 (article 6) In addition to the content required by the Act and the <strong>Ordinance</strong>, the simplified prospectus must at least contain the following: 1 General information on the investment undertaking 1.1 date of formation; 1.2 State of domicile; 1.3 if applicable, indication of different segments and the arrangements in the case of changes between segments; 1.4 name of the management company; 1.5 any delegations of investment decisions; 1.6 in the case of fixed-term investment undertakings, their term; 1.7 details on the issue and/or redemption of units; 1.8 name of the depositary bank; 1.9 name of the external audit office; 1.10 name of the financial group soliciting for the investment undertaking. 2 Investment information 2.1 short definition of the investment goal or goals; 2.2 investment policy or strategy (instruments, lines of business, geographical areas); 2.3 risk profile and any necessary risk warning; 2.4 any information on results so far, and the warning that previous results do not entail conclusions about future results (also possible as an annex to the prospectus); 70
2.5 profile of the typical investor. 3 Economic information on the investment undertaking 3.1 indication of any tax provisions relevant for the investor (including potential deductions from income); 3.2 information on issue and redemption fees; 3.3 information on the conversion fees between different segments of an investment undertaking; 3.4 information on the additional costs, broken down according to those to be paid by the investor or the investment fund, indication of the TER. 4 Information on the marketing and the trading of units of the investment undertaking 4.1 manner of acquisition of unit certificates; 4.2 manner of disposal of unit certificates; 4.3 type of appropriation of earnings; if applicable, date, type and manner of distribution; 4.4 frequency and location of publication of the net asset value. 5 Additional information 5.1 indication of where the full and simplified prospectuses and the half-yearly and business reports are available upon request; 5.2 competent supervisory authority; 5.3 indication of a contact office where additional information may be obtained if desired; 5.4 date of approval of the current full and simplified prospectuses. 71
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
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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
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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 and 68: *2.1 designation or company name, d
Page 69: 4.2 main activity. 5 Information on
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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