境外基金销售代理契约中英文Word文档格式.docx

境外基金销售代理契约中英文Word文档格式.docx

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ThesampleisprovidedinaccordancewithopinionsfrommembersofSecuritiesInvestmentTrustAssociation,TrustAssociation,andTaiwanSecuritiesAssociation. 

Thesampleisforreferenceonly. 

Asthetypeoftransactionandneedforeachcasemayvaryfromtimetotime,itisadvisabletoadjustthesampleaccordingtodifferencescenarios.

当事人Parties

立契约人 

（以下简称「销售机构」），为根据法律所成立并存续之公司，其登记地址为_____（以下简称「总代理人」），为根据法律所成立并存续之公司，其登记地址为____（以下简称「境外基金机构」），为根据______法律所成立并存续之公司，其登记地址为____。

ThisAgreementisbetween, 

acompanydulyestablishedandexistingunderthelawsoftheR.O.C.witharegisteredofficeat____（hereinafterthe"

SalesAgent"

）,____,acompanydulyestablishedandexistingunderthelawsofR.O.C.witharegisteredofficeat_____（hereinafterthe"

GeneralAgent"

）,and____,acompanydulyestablishedandexistingunderthelawsof___witharegisteredofficeat_____（hereinafterthe"

OffshoreFundInstitution"

）. 

第一条 

销售机构之指定Article1 

AppointmentofSalesAgent

总代理人经境外基金机构委任担任如附件一所示之境外基金（以下简称「境外基金」，得随时依双方书面之约定修改）在境内之总代理人，兹委任销售机构担任该等境外基金之销售机构，[由销售机构透过特定金钱信托契约或受托买卖外国有价证券契约，]在境内为投资人办理该境外基金之募集及销售相关业务。

销售机构兹同意依据相关法令、公开说明书、投资人须知[与境外基金机构签订之投资契约或受托买卖契约]及本契约，在境内为投资人办理该境外基金之募集及销售相关业务。

TheGeneralAgenthasbeenappointedbytheOffshoreFundInstitutions（hereinafterthe"

）toactasthegeneralagentofthe 

offshorefunds 

aslistedinAnnex1（whichmaybeamendedbythePartiesinwritingfromtimetotime）（hereinafter,the"

OffshoreFunds"

）. 

TheGeneralAgentherebyappointstheSalesAgenttoactasthesalesagent,toconductrelevantbusinessofofferingandsalesoftheOffshoreFundsintheR.O.Cforinvestors[throughnon-discretionarymonetarytrustagreementorconsignedtradingagreementforforeignsecuritiesbytheSalesAgent]. 

TheSalesAgentagreestoconductrelevantbusinessofofferingandsalestheOffshoreFundsintheR.O.C.forinvestorsinaccordancewithapplicablelawsandrulesoftheR.O.C.,prospectus,InvestorBrochure[investmentagreementorconsignedtradingagreementithassignedwiththeOffshoreFundInstitution,]andthisAgreement.

第二条　销售机构之义务与责任

Article2　ObligationsandResponsibilitiesoftheSalesAgent

销售机构同意办理下列事项：

TheSalesAgentagreestoberesponsibleforthefollowing:

一、交付总代理人所提供之投资人须知、公开说明书中译本以及其它境外基金之信息予投资人；

ProvideinvestorswiththeInvestorBrochure,Chinesetranslationoftheprospectus,andotherOffshoreFundsinformationprovidedbytheGeneralAgent;

二、除相关法令或本契约另有规定外，将投资人申购、买回或转换境外基金之交易指示，转送总代理人；

UnlessotherwiseprovidedbyapplicablelawsorrulesoftheR.O.C.orinthisAgreement,forwardinvestors’tradinginstructionsforsubscription,redemptionortransferoftheOffshoreFundstotheGeneralAgent;

三、就不可归责销售机构之情事，协助投资人纷争处理与办理投资人权益保护事宜，并协助一切通知事宜；

Assistinvestorsinhandlingdisputeresolution,investorsrightsprotectionandnotificationswithrespecttomatterswhichtheSalesAgentisnotheldaccountablefor;

四、依相关法令向总代理人传输或申报境外基金之特定事项；

ReportortransmittotheGeneralAgentspecificmatterswithrespecttotheOffshoreFundsaccordingtoapplicablelawsandrulesoftheR.O.C.;

五、销售机构从事境外基金之广告、公开说明会及促销时，应事先通知总代理人，并于[ 

]日前将该广告、公开说明会及促销之性质及内容告知总代理人，并同意依证券投资信托暨顾问商业同业公会境外基金广告及营业促销活动行为规范办理；

TheSalesAgentshallnotifytheGeneralAgentbeforeconductinganyadvertising,roadshowsandpromotionactivitiesfortheOffshoreFunds,andshallprovidetheGeneralAgentwiththenatureandcontentofsuchadvertising,roadshowsorpromotionactivities[ 

]daysinadvance. 

TheSalesAgentagreestoconductthesaidactivitiesincompliancewiththeSecuritiesInvestmentTrustandConsultingAssociationGuidelinesGoverningAdvertisementandPromotionalActivitiesforOffshoreFunds.

六、除相关法令或本契约另有规定外，销售机构不得就境外基金之性质、规定或绩效，为公开说明书、已公开信息或总代理人或境外基金机构许可之陈述以外之陈述，亦不得就境外基金、总代理人或境外基金机构之事务为误导、错误、欺骗或隐瞒重大事实之陈述或臆测；

UnlessotherwiseprovidedbyapplicablelawsorrulesoftheR.O.C.orinthisAgreement,theSalesAgentmaynotmakeanystatementsonthenature,termsorperformanceoftheOffshoreFundsbeyondthescopecontainedintheprospectus,informationalreadydisclosedtothepublic,orstatementsbeyondthescopepermittedbytheGeneralAgentorOffshoreFundInstitution,normakestatementsorassumptionsthataremisleading,false,deceptiveorconcealmaterialfactsinrespectoftheOffshoreFunds,theGeneralAgentortheOffshoreFundInstitution;

七、销售机构应于本契约规定之下单截止时间前，将接获之全部交易指示依约定传输给总代理人或境外基金机构。

除本契约另有规定外，只有总代理人或境外基金机构于下单截止时间以前收到之交易指示，得依该交易日之净值计算交易价格；

TheSalesAgentshallforwardallthetradinginstructionsreceivedtotheGeneralAgentorOffshoreFundInstitutionbeforethecut-offtimestipulatedinthisAgreement. 

UnlessotherwiseprovidedinthisAgreement,only