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  • 1.

    How is fund management regulated in your jurisdiction? Which authorities have primary responsibility for regulating funds, fund managers and those marketing funds?

  • 2.

    Is fund administration regulated in your jurisdiction?

  • 3.

    What is the authorisation or licensing process for funds? What are the key requirements that apply to managers and operators of investment funds in your jurisdiction?

  • 4.

    What is the territorial scope of fund regulation? Can an overseas manager perform management activities or provide services to clients in your jurisdiction without authorisation?

  • 5.

    Is the acquisition of a controlling or non-controlling stake in a fund manager in your jurisdiction subject to prior authorisation by the regulator?

  • 6.

    Are there any regulatory restrictions on the structuring of the fund manager’s compensation and profit-sharing arrangements?

  • 7.

    Does the marketing of investment funds in your jurisdiction require authorisation?

  • 8.

    What marketing activities require authorisation?

  • 9.

    What is the territorial scope of your regulation? May an overseas entity perform fund marketing activities in your jurisdiction without authorisation?

  • 10.

    If a local entity must be involved in the fund marketing process, how is this rule satisfied in practice?

  • 11.

    What restrictions are there on intermediaries earning commission payments in relation to their marketing activities in your jurisdiction?

  • 12.

    What are the main legal vehicles used to set up a retail fund? How are they formed?

  • 13.

    What are the key laws and other sets of rules that govern retail funds?

  • 14.

    Must retail funds be authorised or licensed to be established or marketed in your jurisdiction?

  • 15.

    Who can market retail funds? To whom can they be marketed?

  • 16.

    Are there any special requirements that apply to managers or operators of retail funds?

  • 17.

    What are the investment and borrowing restrictions on retail funds?

  • 18.

    What is the tax treatment of retail funds? Are exemptions available?

  • 19.

    Must the portfolio of assets of a retail fund be held by a separate local custodian? What regulations are in place to protect the fund’s assets?

  • 20.

    What are the main governance requirements for a retail fund formed in your jurisdiction?

  • 21.

    What are the periodic reporting requirements for retail funds?

  • 22.

    Can the manager or operator place any restrictions on the issue, transfer and redemption of interests in retail funds?

  • 23.

    What are the main legal vehicles used to set up a non-retail fund? How are they formed?

  • 24.

    What are the key laws and other sets of rules that govern non-retail funds?

  • 25.

    Must non-retail funds be authorised or licensed to be established or marketed in your jurisdiction?

  • 26.

    Who can market non-retail funds? To whom can they be marketed?

  • 27.

    Do investor-protection rules restrict ownership in non-retail funds to certain classes of investor?

  • 28.

    Are there any special requirements that apply to managers or operators of non-retail funds?

  • 29.

    What is the tax treatment of non-retail funds? Are any exemptions available?

  • 30.

    Must the portfolio of assets of a non-retail fund be held by a separate local custodian? What regulations are in place to protect the fund’s assets?

  • 31.

    What are the main governance requirements for a non-retail fund formed in your jurisdiction?

  • 32.

    What are the periodic reporting requirements for non-retail funds?

  • 33.

    How are separately managed accounts typically structured in your jurisdiction?

  • 34.

    What are the key legal issues to be determined when structuring a separately managed account?

  • 35.

    Is the management or marketing of separately managed accounts regulated in your jurisdiction?

  • 36.

    Are there proposals for further regulation of funds, fund managers or marketers of funds in your jurisdiction?

  • 37.

    Outline any specific requirements for stock-exchange listing of retail and non-retail funds.

  • 38.

    Is it possible to redomicile an overseas vehicle in your jurisdiction?

  • 39.

    Are there any special rules relating to the ability of foreign investors to invest in funds established or managed in your jurisdiction or domestic investors to invest in funds established or managed abroad?

  • 40.

    Are there any special requirements in your jurisdiction relating to funds investing in derivatives?

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