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Fund Awards 2022 – Premier Hub
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MPF Awards 2022 – Winners List
FORUM
Gatekeepers Forum
Sustainable Wealth Forum
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參賽編號
*
Submission ID
區域
*
Region
類別
*
Category
其他參賽編號
Other submission ID
資料複製
同時將資料應用於其他企業責任與實力問卷 Also apply this submission for other Corporate Responsibility and Strength entries
支柱能力5:企業責任與實力
Pillar 5: Corporate Responsibility and Strength
公司名稱
*
Name of firm
1. 公司層面對於積極議合/盡職治理的承諾。請選擇描述您的管理方法的陳述[i] 可選擇多個適用項:
Firm-level Commitment to active engagement/stewardship. Please select the statement(s) that describe your approach to stewardship[i]. You may choose more than one statement where applicable:
我們有一個清晰、明確、公開可用的政策/框架來負責任地投資我們所有的基金策略,包括非 ESG、非 SRI基金策略 (We have a clearly articulated, explicit, publicly available policy/framework on investing responsibly across ALL our strategies, including non-ESG, non-SRI strategies)
我們還沒有明確的盡職治理政策/框架/原則,但我們正努力在未來 12 個月內完成 (We do NOT yet have an explicit, clearly spelled out stewardship policy/framework/principle, but we are in the process of finalizing one within the next 12 months)
我們沒有明確的盡職治理政策/框架——也沒有對此的相關計劃——但我們盡可能負責任地投資於我們所有的戰略,包括非 ESG、非 SRI 戰略 (We do NOT have an explicit stewardship policy/framework -- and do NOT have plans for one -- but we invest responsibly whenever possible across ALL our strategies, including non-ESG, non-SRI strategies )
我們只負責任地投資於我們的 ESG、SRI 和/或永續基金策略。我們不會對其他基金策略進行負責任投資 (We invest responsibly ONLY in our ESG, SRI, and/or sustainable strategies. We do not practice responsible investing in other strategies )
我們簽署了一項或多項盡職治理原則,但我們目前沒有製定盡職治理政策/框架的具體計劃 (We are signatories to one or more stewardship principles, but we have no concrete plans to institute a stewardship policy/framework at our firm at the moment)
我們不是盡職治理原則/守則的簽署方;我們沒有盡職治理政策,但我們渴望在未來 1-2 年內朝這個方向邁進 (We are not signatories to stewardship principles/codes; we have no stewardship policies, but we are keen to move in that direction within the next 1-2 years)
我們認為盡職治理不適合我們的商業模式,我們已經向相關監管機構和/或投資者解釋了原因 (We think stewardship is NOT suitable for our business model, and we have explained why to the relevant regulatory authorities and/or investors)
目前我們認為盡職治理對我們公司並不重要,我們認為沒有必要解釋原因 (We do NOT think stewardship is important to our firm at this time, and we do not feel it's necessary to explain why)
我們公司沒有盡職治理相關職位 (Our firm does NOT have a position on stewardship)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
2. 貴公司目前使用哪個ESG框架作為基準和/或報告?
Which ESG materiality framework are you currently using for benchmarking and/or using for reporting?
全球報告倡議組織 (The Global Reporting Initiative (GRI))
永續會計準則委員會 (The Sustainability Accounting Standards Board (SASB))
國際整合性報導委員會 (International Integrated Reporting Council (IIRC))
勞動力信息披露倡議 (The Workforce Disclosure Initiative (WDI))
氣候相關財務信息披露工作組 (The Task Force on Climate-Related Financial Disclosures (TCFD))
氣候披露標準委員會 (The Climate Disclosure Standards Board (CDSB) SASB)
歐洲永續財務披露規範 (EU Sustainable Finance Disclosure Regulation (SFDR) )
聯合國永續發展目標 (SDG indicators)
我們當地監管機構的指導方針 (My local regulators' guideline)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
3. 研究工具:貴公司目前使用哪個ESG數據提供商或工具評估ESG表現和議題?(多選)
Tools: Which ESG data tool(s)/provider(s) are you currently using for assessing ESG performance and issues?
BlueOnion
Bloomberg
MSCI
Morningstar’s Sustainalytics
ISS
RepRisk
Clarity A.I.
TruValue
其他(請說明)(Others (please specify))
其他(請說明)
(Others (please specify))
4. 貴公司是以下永續計劃的簽署人/會員嗎?
Are you a Signatory/Member of the following sustainable programs?
是的 (Yes)
不,我們不是任何其他類似倡議的簽署方,但我們正在申請成為負責任投資倡議的簽署方 (No, we are not a signatory of any other similar initiatives, but we are in the process of applying to be a signatory of a responsible investing initiative/s)
不,我們不是任何其他類似倡議的簽署方,但我們計劃在未來12個月至少簽署一項負責任投資倡議 (No, we are not a signatory of any other similar initiatives, but we plan to be a signatory to at least one responsible investing initiative within the next 12 months)
不,我們沒有計劃在不久的將來簽署任何負責任的投資計劃 (No, we have no plans to become a signatory of any responsible investing initiatives in the near future)
其他回答(請說明) (Other responses (please specify))
已選:是的 - 請選擇有關永續計劃
Selected: Yes - Please select relevant sustainable programs.
聯合國永續發展目標 (United Nations Sustainable Development Goals (UN SDG))
聯合國責任投資原則 (Principle Responsible Investment (PRI))
聯合國全球契約 (United Nations Global Compact (UNGC))
碳排放披露計劃 (Carbon Disclosure Project (CDP))
聯合國環境金融倡議 (United Nations Environment Programme Finance Initiative (UNEP FI))
氣候相關財務披露工作組 (Task Force on Climate-Related Financial Disclosures (TCFD))
全球報告倡議組織 (Global Reporting Initiative (GRI))
永續會計準則委員會 (Sustainability Accounting Standards Board (SASB)
國際整合性報導委員會 (International Integrated Reporting Council (IIRC))
請說明其他永續計劃
Please specify other sustainable programs.
5. 公司層面的負責任投資政策:我們制定了明確的負責任投資政策來管理我們組織的盡職治理政策[iv]
Firm-level Responsible Investment Policy: Our firm has a clear responsible investment policy set out to govern our organization's stewardship policy [iv]:
關鍵盡職治理目標 (Key stewardship objectives)
ESG 因素的優先排序方法以及與議合議題和目標的聯繫 (Prioritization approach of ESG factors and their link to engagement issues and targets)
基於實體(例如,公司或政府)的優先排序方法 (Prioritization approach depending on entity (e.g., company or government))
應對氣候相關風險和機遇的具體方法 (A specific approach to climate-related risks and opportunities)
盡職治理工具在整個組織使用情況,包括超出範圍的工具以及不同工具的使用時間和使用方式以及由誰使用(例如,專家團隊、投資團隊、服務提供商、外部投資經理或類似人員) (Stewardship tool usage across the organization, including tools that are out of scope and when and how different tools are used and by whom (e.g., specialist teams, investment teams, service providers, external investment managers, or similar))
特定內部團隊(例如,專家團隊、投資團隊或類似團隊)的盡職治理工具使用 (Stewardship tool usage for specific internal teams (e.g., specialist teams, investment teams, or similar))
特定外部團隊(例如,服務提供商、外部投資經理或類似人員)的盡職治理工具使用 (Stewardship tool usage for specific external teams (e.g., service providers, external investment managers, or similar))
盡職治理合作的方法 (Approach to collaboration on stewardship)
升級策略 (Escalation strategies)
利益衝突 (Conflicts of interest)
關於如何實施盡職治理政策以及哪些要素是強制性的,包括如何以及何時可以否決該政策的詳細信息 (Details on how the stewardship policy is implemented and which elements are mandatory, including how and when the policy can be overruled)
如何在整個組織內傳達盡職治理工作和結果以為投資決策提供依據,反之亦然 (How stewardship efforts and results should be communicated across the organization to feed into investment decision-making and vice versa)
我們的盡職治理政策沒有包含上述任何要素 (None of the above elements are captured in our stewardship policy)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
5. 貴公司的盡職治理政策覆蓋了管理資產的多少百分比?
What percentage of your assets under management does your stewardship policy cover?
資產管理規範覆蓋:
AUM coverage:
(A) 上市股票
Listed equity
Please enter a number from
0
to
100
.
(B) 固定收益
Fixed income
Please enter a number from
0
to
100
.
(C) 私募股權
Private equity
Please enter a number from
0
to
100
.
(D) 房地產
Real estate
Please enter a number from
0
to
100
.
(E) 基礎設施
Infrastructure
Please enter a number from
0
to
100
.
(F) 對沖基金
Hedge funds
Please enter a number from
0
to
100
.
7. 公司層面負責任投資政策披露 [iv]:貴公司哪些負責任投資政策要素是公開的,並提供連結:
Firm-level Responsible Investment Policy Disclosure [iv]: Indicate which of your responsible investment policy elements are publicly available and provide links:
負責任投資的整體方法 (The overall approach to responsible investment)
關於環境議題的遵循守則(Guidelines on environmental factors)
關於社會議題的遵循守則 (Guidelines on social factors)
關於治理議題的遵循守則 (Guidelines on governance factors)
盡職治理的方法 (Approach to stewardship)
實現永續性成果的方法 (Approach to sustainability outcomes)
排除方法 (Approach to exclusions)
描述如何實施 ESG 納入特定資產類別的準則 (Asset class-specific guidelines that describe how ESG incorporation is implemented)
負責任投資的定義及其與我們的受託責任的關係 (Definition of responsible investment and how it relates to our fiduciary duty )
負責任投資的定義及其與我們的投資目標的關係 (Definition of responsible investment and how it relates to our investment objectives)
負責任投資治理結構 (Responsible investment governance structure)
與負責任投資相關的內部報告和驗證 (Internal reporting and verification related to responsible investment)
與負責任投資相關的外部報告揭露 (External reporting related to responsible investment)
管理與負責任投資相關的利益衝突管理 (Managing conflicts of interest related to responsible investment)
此處未列出的其他負責任投資方面 (Other responsible investment aspects not listed here)
我們的負責任投資政策不公開 (Our responsible investment policy elements are not publicly available)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
8. 治理監督 [iv]:在貴公司的董事會、首席級長官、投資委員會和/或部門負責人中,誰對負責任投資進行正式監督和問責?
Governance Oversight [iv]: Who, in your organization's board, chief-level staff, investment committee, and/or head of a department have formal oversight and accountability for responsible investment?
董事會/或受託人 (Board and/or trustees)
首席級別長官 (Chief-level staff (e.g., Chief Executive Officer (CEO), Chief Investment Officer (CIO), or Chief Operating Officer (COO)))
投資委員會 (Investment committee)
其他首席級長官 (Other chief-level staff)
部門主管 (Head of a department)
上述角色都沒有對負責任投資進行監督或問責 (None of the above roles have oversight and accountability for responsible investment)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
9. 公司治理實施 [iv]:在貴公司中,哪些內部或外部角色負責實施負責任投資?
Governance Implementation [iv]: In your organization, which internal or external roles have responsibility for implementing responsible investment?
董事會/或受託人 (Board and/or trustees)
首席級長官 (Chief-level staff (e.g., Chief Executive Officer (CEO), Chief Investment Officer (CIO), or Chief Operating Officer (COO)))
投資委員會 (Investment committee)
其他首席級長官 (Other chief-level staff)
部門主管 (Head of a department)
投資組合經理 (Portfolio managers)
投資分析師 (Investment analysts)
專門負責的投資人員 (Dedicated responsible investment staff)
投資者關係 (Investor relations)
外部經理或服務提供商 (External managers or service providers)
我們沒有負責實施負責任投資的角色 (We do not have roles with responsibility for implementing responsible investment)
10. 企業風險管理:請選擇對於貴公司所有適用的選項
Corporate Risk Management: Please select all statements that apply to your firm:
投資和非投資員工的年度獎金部分,一定程度上基於滿足投資者的需求的情況。例如維護投資者利益、投資者避免承擔與目標不符的風險、為滿足投資者未滿足的需求進行產品創新以及其他與投資者利益一致的行動等因素,它們在決定獎金方面的權重超過30% (The annual bonus, both for investment and non-investment staff, is based partly on meeting investors' needs. Factors such as defending investors' interests, refraining from taking risks that are out of line with target investors' profiles, product innovation to meet investors' unmet needs, and other actions aligned with investors weight 30% or more in determining bonuses)
如果員工在任何一年的行為與投資者的利益不符,則年度獎金可能會被收回。示例包括但不限於承擔超出目標投資者風險承受能力的風險、為個人利益進行交易而不是投資者的利益、向分銷商/投資者/公眾/監管機構/其他方作出掩蓋基金或基金公司實際情況的陳述,以及其他可能違反對投資者的信託或道德責任的行為 (The annual bonus may be clawed back if a staff member has acted out of alignment with investors' interests during any year. Examples include, but are not limited to, taking risks exceeding target investors' risk profile, trading for personal benefit over investors', making representations to distributors/investors/the public/regulators/other parties that obscure the actual situation of a fund or the firm, among other possible infringements of fiduciary or moral responsibility to investors)
獨立董事領導我們的薪酬委員會,以確保各級員工的客觀性和公平性 (An independent director leads our compensation committee to ensure objectivity and fairness for employees at all levels)
我們的首席執行官、國家/地區負責人或同等職位至少每月審查一次客戶投訴 (Our CEO, country/regional head, or equivalent reviews client complaints at least once a month)
任何規模的非投資決策只能由一個人做出,即首席執行官、董事長、創始人或其他類似的人。其他人不得作出非投資決定 (Non-investment decisions of all magnitude can only be made by ONE person, i.e., the CEO, Chairman, Founder, or another similar individual. No one else may make non-investment decisions)
我們對舉報程序有清晰明確的保護措施 (We have clear, unambiguous procedures AND protections for whistleblowing)
我們的董事會成員包括首席合規官(他不同時兼任首席執行官、董事長或其他已在董事會成員的角色) (Members of our board of directors include the Chief Compliance Officer (who is NOT also concurrently playing the role/s of CEO, Chairman, or another individual who is already on the board))
我們的董事會成員包括我們的首席風險官(他不同時兼任 CEO、董事長或其他已在董事會成員的角色) (Members of our board of directors include our Chief Risk Officer (who is NOT also concurrently playing the role/s of CEO, Chairman, or another individual who is already on the board))
我們的首席合規官或同等職位直接向董事會報告,而不是向首席執行官、首席運營官或其他職能部門報告。 (Our Chief Compliance Officer, or equivalent, reports directly to the board of directors, not to the CEO, COO, or other function.)
我們的首席風險官或同等職位直接向董事會報告,而不是向首席信息官、首席執行官、首席運營官或其他職能部門報告。 (Our Chief Risk Officer, or equivalent, reports directly to the board of directors, not to the CIO, CEO, COO, or other function.)
11. 企業公民:請選擇所有適用於貴公司的選項:
Corporate Citizenship: Please select all statements that apply to your firm:
我們公司為社區和社會中不幸者提供無償專業服務 (Our firm offers pro bono professional services to less fortunate members of our community and society)
我們公司每年至少參加或組織兩次面向兒童、青年和/或婦女的投資者教育(或金融知識)活動/資源——但不展示推銷我們的產品和服務 (Our firm participates in or organizes investor education (or financial literacy) events/resources for children, youth, and/or women at least two times a year -- WITHOUT presenting our products and services)
我們公司有匹配計劃,幫助員工給各種預先批准的慈善活動捐贈 (Our company has a matching program for staff's donations to various pre-approved philanthropic efforts)
我們的員工每年有四天或更長時間的帶薪假期從事志願工作。 (Our employees have four or more paid days off to do volunteer work each year )
當我們的員工收到客戶、供應商或其他業務聯繫人的禮物時,這些禮物會進入一個池子捐贈給慈善機構 (When our staff receive gifts from clients, vendors, or other business contacts, the gifts go into a pool to be donated to charities)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
12. 重大贖回的透明度[i]:這個問題與貴公司對中介機構以及最終投資者的義務有關。 當基金經歷重大贖回時,貴公司何時通知投資者和/或中介機構[ii]? 如果您沒有政策,請僅選擇一個反映您的政策或披露規範的答案:
Transparency about material redemptions[i]: This question relates to your firm's duty of care toward intermediaries and, ultimately, end investors. When a fund experiences material redemptions, when does your firm inform investors and/or intermediaries[ii]? Please select only one answer that reflects your policy or disclosure norm if you do not have a policy:
我們會在24小時內通知投資者/中介機構,包括非工作日 (We inform investors/intermediaries within 24 hours, including non-business days)
我們會在1個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 1 business day)
我們會在2個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 2 business days)
我們會在3-5個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 3 - 5 business days)
我們會在10個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 10 business days)
我們會在1個月內通知投資者/中介機構 (We inform investors/intermediaries within 1 month)
我們只會在定期報告中告訴投資者/中介機構,如月報,季度報告等 (We inform investors/intermediaries only as part of our scheduled reporting, such as monthly factsheets, quarterly reviews, etc.)
我們不會通知投資者/中介機構 (We do not inform investors/intermediaries)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
13. 關鍵人物事件的透明度:當負責基金的關鍵管理人辭職、退休、將被轉移到不同的職責、身體不適、重病、休產假或因其他原因喪失行為能力時,什麼時候你會通知投資者[ii]? 如果沒有相關政策,請僅選擇一個反映您的政策或披露規範的答案:
Transparency about key man events: When the key manager/s responsible for a Fund have resigned, are retiring, will be transferred to a different responsibility, are indisposed, seriously ill, going on maternity leave, or are otherwise incapacitated, when do you inform investors[ii]? Please select only ONE answer that reflects your policy or disclosure norm if you do not have a policy:
我們會在24小時內通知投資者/中介機構,包括非工作日 (We inform investors/intermediaries within 24 hours, including non-business days)
我們會在1個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 1 business day)
我們會在2個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 2 business days)
我們會在3-5個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 3 - 5 business days)
我們會在10個工作日內通知投資者/中介機構 (We inform investors/intermediaries within 10 business days)
我們會在1個月內通知投資者/中介機構 (We inform investors/intermediaries within 1 month)
我們只會在定期報告中告訴投資者/中介機構,如月報,季度報告等 (We inform investors/intermediaries only as part of our scheduled reporting, such as monthly factsheets, quarterly reviews, etc.)
我們不會通知投資者/中介機構 (We do not inform investors/intermediaries)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
14. 風險共擔:貴公司是否有政策要求投資組合經理以外部投資者的身份在與普通投資人相同條款下將個人財富投資到他們管理的基金中?
Skin in the game: Does your firm have a policy requiring the key portfolio managers to invest their personal wealth into the funds they manage, as external investors, with no special concessions on the SAME terms? Please select only ONE answer that reflects your policy or disclosure norm if you do not have a policy:
是的 (Yes)
不,我們不計劃有這樣的政策 (No, and we have no plans to have such a policy)
不,但我們有計劃這樣的政策 (No, but we have firm plans to institute such a policy)
基金經理風險共擔不適用 (The question of skin in the game is not applicable)
已選:是的 - 請選擇相關政策
Selected: Yes - Please select to reflect your policy:
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的10%以下投資於他們管理的基金。 (Our key portfolio managers are required to invest less than 10% of their annual bonus (or equivalent) into the fund/s they manage)
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的10-15%投資於他們管理的基金。 (Our key portfolio managers are required to invest 10-15% of their annual bonus (or equivalent) into the fund/s they manage)
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的16-20%投資於他們管理的基金。 (Our key portfolio managers are required to invest 16-20% (or equivalent) of their annual bonus into the fund/s they manage)
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的21-15%投資於他們管理的基金。 (Our key portfolio managers are required to invest 21-25% (or equivalent) of their annual bonus into the fund/s they manage)
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的26-30%投資於他們管理的基金。 (Our key portfolio managers are required to invest 26-30% (or equivalent) of their annual bonus into the fund/s they manage)
我們的主要投資組合經理被要求將其年度獎金(或同等金額)的31%投資於他們管理的基金。 (Our key portfolio managers are required to invest 31% or more (or equivalent) of their annual bonus into the fund/s they manage)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
15. 資產管理規模變化(3年):在過去3年中,貴公司管理的總資產(AUM)[iii]有何變化?
公式:[(最近季末AUM -三年前AUM)-(同期資產增值)] /三年前AUM AUM change, 3Y: How has your firm's total assets under management (AUM)[iii] changed in the last 3 years? Formula: (AUM in the latest quarter-end - AUM 3 years ago) - (Asset appreciation in same time frame) / AUM 3 years ago
增加0% (Increased 0%)
增加1-5% (Increased 1-5%)
增加6-10% (Increased 6-10%)
增加11-15% (Increased 11-15%)
增加16-20% (Increased 16-20%)
增加21-25% (Increased 21-25%)
增加25-30% (Increased 25-30%)
增加30%以上 (Increased more than 30%)
下降0% (Decreased 0%)
下降1-5% (Decreased 1-5%)
下降6-10% (Decreased 6-10%)
下降11-15% (Decreased 11-15%)
下降16-20% (Decreased 16-20%)
下降21-25% (Decreased 21-25%)
下降25-30% (Decreased 25-30%)
下降30%以上 (Decreased more than 30%)
基金成立少於三年 (Inception period less than 3 years)
16. 銷售通路:此問題適用於貴公司在亞洲(日本除外)分銷的所有基金產品,包括未參與本次評選的基金;請排除獨立全權委託。目前產品通過哪些通路渠道分銷?
Distribution channel mix: This question applies to ALL of your firm's COMINGLED fund products distributed in Asia ex-Japan, including funds not participating in this exercise; please exclude segregated mandates. What channels are the products distributed through currently?
私人銀行 (Private banks)
富裕銀行 (Priority/affluent banks)
零售銀行 (Retail banks)
保險公司 (通過保險公司的基金平台) (Insurers (via the insurer's fund platforms))
財務顧問 (Financial advisors)
線上平台(傳統而非人工智能投顧) (Online platforms (traditional, not artificial intelligence advisors) )
人工智能投顧平台 (Artificial intelligence (AI) advisory platforms)
基金中的基金 (Funds of funds)
直接分配給機構資產所有者(家族理財辦公室、養老基金、保險公司的一般資產、公司、主權財富基金、官方機構、基金會、捐贈基金和其他機構)。請注意,這與混合基金有關,而不是單獨授權。 (Direct distribution to institutional asset owners (family offices, pension funds, insurance companies' general assets, corporates, sovereign wealth funds, official institutions, foundations, endowments, and other institutions). Please note this relates to comingled funds, NOT segregated mandates.)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
17. 銷售通路增長(3 年):此問題涉及貴公司在亞洲(日本除外)分銷的所有混合基金,包括未 參與本次競賽的基金;請排除獨立委託。在過去 3 年中,貴公司開展了多少新的銷售通路 或失去了多少銷售通路?
Distribution channel growth, 3Y: This question relates to ALL your firm's commingled funds distributed in Asia ex-Japan, including funds not participating in this exercise; please exclude segregated mandates. How many new distribution channels were gained or lost in the last 3 years?
獲得0個新的銷售通路 (Gained 0 distribution channels)
獲得1-3個新的銷售通路 (Gained 1-3 distribution channels)
獲得4-6個新的銷售通路 (Gained 4-6 distribution channels)
獲得7-10新的個銷售通路 (Gained 7-10 distribution channels)
獲得10個以上新的銷售通路 (Gained more than 10 distribution channels)
失去0個銷售通路 (Lost 0 distribution channels)
失去1-3個銷售通路 (Lost 1-3 distribution channels)
失去4-6個銷售通路 (Lost 4-6 distribution channels)
失去7-10個銷售通路 (Lost 7-10 distribution channels)
失去10個以上的銷售通路 (Lost more than 10 distribution channels)
基金成立少於三年 (Inception period less than 3 years)
如有附加說明,限250字以內
Additional remarks, if any (maximum 250 words)
18. 法令法規的遵循:貴公司或貴公司高級別管理者在過去 5 年期間是否違反了任何監管、法律或其他法遵規定?
Compliance: Has your firm, or its officers, breached any regulatory, legal or other compliance thresholds in the last 5 years?
是的,但我們希望說明這個行為以及採取的補救措施。限250字以內 (Yes, and we'd like to explain the breach and any remedial, preventative steps taken in maximum 250 words.)
是的,但是我們不便透露該行為和我們採取的措施 (Yes, but we choose NOT to explain the breach and any remedial, preventative steps taken)
沒有,我沒有任何違規 (No, we have not made any breaches)
請說明這個行為以及採取的補救措施。限250字以內
Please explain the breach and any remedial, preventative steps taken in maximum 250 words.
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