D. Are you currently registered or qualified with any securities
agency, any securities exchange, association or regulatory body, or any
commodities or futures contract market, association or regulatory body, in
the United States or elsewhere?
E. Whether you are located within or outside of the United
States, do you perform any functions that are similar to those that require
an individual to register or qualify with the SEC, the CFTC, any other
securities agency or regulatory body, any securities exchange or
association, or any commodities or futures contract market, association or
regulatory body?
F. Are you engaged to provide investment advice to any individual
or entity?
您所從事的業務是否包含向任何個人或機構提供投資建議?
( )Yes 是 ( )No 否
否
G. Are you engaged as an asset manager?
您是否是一名資產管理人?
( )Yes 是 ( )No 否
否
H. Do you use the capital of any other individual or entity in the
conduct of your trading?
您是否可使用任何個人或機構的資金從事交易活動?
( )Yes 是 ( )No 否
否
I. Do you conduct trading for the benefit of a corporation,
partnership, or other entity?
您是否可為其他公司、合夥企業或商業機構執行交易活動?
( )Yes 是 ( )No 否
否
J. Have you entered into any agreement to share the profit of
your trading activities or receive compensation for your trading activities?
您是否曾簽訂任何協議同意分享您交易活動所獲得的利益或取得報酬?
( )Yes 是 ( )No 否
否
K. Are you receiving office space, and equipment or other
benefits in exchange for your trading or work as a financial consultant to
any person, firm or business entity?