境外基金銷售代理契約

　　AGENT AGREEMENT OF OFFSHORE FUNDS SALES

　　本契約模板僅供參考，由于交易類型及需求因具體個案有所不同，建議應另依具體情況調(diào)整本范本內(nèi)容。

　　The sample is provided in accordance with opinions from members of Securities Investment Trust Association, Trust Association, and Taiwan Securities Association. The sample is for reference only. As the type of transaction and need for each case may vary from time to time, it is advisable to adjust the sample according to difference scenarios.

　　當事人Parties

　　立契約人 (以下簡稱「銷售機構(gòu)」)，為根據(jù)法律所成立并存續(xù)之公司，其登記地址為_____(以下簡稱「總代理人」)，為根據(jù)法律所成立并存續(xù)之公司，其登記地址為____(以下簡稱「境外基金機構(gòu)」)，為根據(jù)______法律所成立并存續(xù)之公司，其登記地址為____。

　　This Agreement is between, , a company duly established and existing under the laws of the R.O.C. with a registered office at ____(hereinafter the "Sales Agent"), ____, a company duly established and existing under the laws of R.O.C. with a registered office at _____ (hereinafter the "General Agent"), and ____, a company duly established and existing under the laws of ___ with a registered office at _____ (hereinafter the "Offshore Fund Institution").

　　第一條 銷售機構(gòu)之指定Article 1 Appointment of Sales Agent

　　總代理人經(jīng)境外基金機構(gòu)委任擔任如附件一所示之境外基金(以下簡稱「境外基金」，得隨時依雙方書面之約定修改)在境內(nèi)之總代理人，茲委任銷售機構(gòu)擔任該等境外基金之銷售機構(gòu)，[由銷售機構(gòu)透過特定金錢信托契約或受托買賣外國有價證券契約，]在境內(nèi)為投資人辦理該境外基金之募集及銷售相關(guān)業(yè)務。銷售機構(gòu)茲同意依據(jù)相關(guān)法令、公開說明書、投資人須知[與境外基金機構(gòu)簽訂之投資契約或受托買賣契約]及本契約，在境內(nèi)為投資人辦理該境外基金之募集及銷售相關(guān)業(yè)務。

　　The General Agent has been appointed by the Offshore Fund Institutions (hereinafter the "Offshore Fund Institution") to act as the general agent of the offshore funds as listed in Annex 1 (which may be amended by the Parties in writing from time to time) (hereinafter, the "Offshore Funds"). The General Agent hereby appoints the Sales Agent to act as the sales agent, to conduct relevant business of offering and sales of the Offshore Funds in the R.O.C for investors [through non-discretionary monetary trust agreement or consigned trading agreement for foreign securities by the Sales Agent]. The Sales Agent agrees to conduct relevant business of offering and sales the Offshore Funds in the R.O.C. for investors in accordance with applicable laws and rules of the R.O.C., prospectus, Investor Brochure[ investment agreement or consigned trading agreement it has signed with the Offshore Fund Institution,] and this Agreement.

　　第二條　 銷售機構(gòu)之義務與責任

　　Article 2　 Obligations and Responsibilities of the Sales Agent

　　銷售機構(gòu)同意辦理下列事項：

　　The Sales Agent agrees to be responsible for the following:

　　一、交付總代理人所提供之投資人須知、公開說明書譯聲本以及其它境外基金之信息予投資人;

　　Provide investors with the Investor Brochure, Chinese translation of the prospectus, and other Offshore Funds information provided by the General Agent;

　　二、除相關(guān)法令或本契約另有規(guī)定外，將投資人申購、買回或轉(zhuǎn)換境外基金之交易指示，轉(zhuǎn)送總代理人;

　　Unless otherwise provided by applicable laws or rules of the R.O.C. or in this Agreement, forward investors’ trading instructions for subscription, redemption or transfer of the Offshore Funds to the General Agent;

　　三、就不可歸責銷售機構(gòu)之情事，協(xié)助投資人紛爭處理與辦理投資人權(quán)益保護事宜，并協(xié)助一切通知事宜;

　　Assist investors in handling dispute resolution, investors rights protection and notifications with respect to matters which the Sales Agent is not held accountable for;

　　四、依相關(guān)法令向總代理人傳輸或申報境外基金之特定事項;

　　Report or transmit to the General Agent specific matters with respect to the Offshore Funds according to applicable laws and rules of the R.O.C.;

　　五、銷售機構(gòu)從事境外基金之廣告、公開說明會及促銷時，應事先通知總代理人，并于[ ]日前將該廣告、公開說明會及促銷之性質(zhì)及內(nèi)容告知總代理人，并同意依證券投資信托暨顧問商業(yè)同業(yè)公會境外基金廣告及營業(yè)促銷活動行為規(guī)范辦理;

　　The Sales Agent shall notify the General Agent before conducting any advertising, road shows and promotion activities for the Offshore Funds, and shall provide the General Agent with the nature and content of such advertising, road shows or promotion activities [ ] days in advance. The Sales Agent agrees to conduct the said activities in compliance with the Securities Investment Trust and Consulting Association Guidelines Governing Advertisement and Promotional Activities for Offshore Funds.

　　六、除相關(guān)法令或本契約另有規(guī)定外，銷售機構(gòu)不得就境外基金之性質(zhì)、規(guī)定或績效，為公開說明書、已公開信息或總代理人或境外基金機構(gòu)許可之陳述以外之陳述，亦不得就境外基金、總代理人或境外基金機構(gòu)之事務為誤導、錯誤、欺騙或隱瞞重大事實之陳述或臆測;

　　Unless otherwise provided by applicable laws or rules of the R.O.C. or in this Agreement, the Sales Agent may not make any statements on the nature, terms or performance of the Offshore Funds beyond the scope contained in the prospectus, information already disclosed to the public, or statements beyond the scope permitted by the General Agent or Offshore Fund Institution, nor make statements or assumptions that are misleading, false, deceptive or conceal material facts in respect of the Offshore Funds, the General Agent or the Offshore Fund Institution;

　　七、銷售機構(gòu)應于本契約規(guī)定之下單截止時間前，將接獲之全部交易指示依約定傳輸給總代理人或境外基金機構(gòu)。除本契約另有規(guī)定外，只有總代理人或境外基金機構(gòu)于下單截止時間以前收到之交易指示，得依該交易日之凈值計算交易價格;

　　The Sales Agent shall forward all the trading instructions received to the General Agent or Offshore Fund Institution before the cut-off time stipulated in this Agreement. Unless otherwise provided in this Agreement, only the trading instructions received by the General Agent or Offshore Fund Institution in accordance with the prospectus or relevant documents prior to the cut-off time for order placement may be calculated on the basis of the net value of the trading day;

　　八、銷售機構(gòu)應充分知悉并評估客戶之投資知識、投資經(jīng)驗、財務狀況及其承受投資風險程度;及

　　The Sales Agent shall be fully aware of and evaluate investors’ investment knowledge, investment experience, financial status and risk tolerance; and

　　九、其它依相關(guān)法令、主管機關(guān)規(guī)定或當事人約定應辦理之事項。

　　Any other matters as required by the applicable laws or rules of the R.O.C.or the competent authorities, or agreed upon by the Parties.

　　第三條 總代理人之義務與責任

　　Article 3　 Obligations and Responsibilities of the General Agent

　　總代理人同意辦理下列事項：

　　The General Agent agrees to be responsible for the following:

　　一、就境外基金編制投資人須知、公開說明書譯聲本以及其它境外基金之信息，并以書面或電子傳輸之方式將前述文件及最新公開說明書交付銷售機構(gòu);

　　Produce the Investor Brochure, Chinese translations of the prospectus, and other Offshore Funds information, and deliver the same and the most updated prospectus to the Sales Agent by physical delivery or electrical transmission;

　　二、擔任境外基金機構(gòu)在境內(nèi)有關(guān)境外基金募集及銷售之訴訟及一切文件之送達代收人;

　　Act as the service agent for litigation documents and all other documents served on the Offshore Fund Institution in the territory of the R.O.C. in connection with the offering and sales of the Offshore Funds;

　　三、負責與境外基金機構(gòu)連絡(luò)，提供銷售機構(gòu)境外基金之相關(guān)發(fā)行及交易信息;

　　Communicate with the Offshore Fund Institution and provide the Sales Agent with any issuing and transaction information concerning the Offshore Funds;

　　四、除相關(guān)法令或本契約另有規(guī)定外，將銷售機構(gòu)申購、買回或轉(zhuǎn)換境外基金之交易指示，轉(zhuǎn)送境外基金機構(gòu);

　　Unless otherwise provided by applicable laws or rules of the R.O.C. or this Agreement, forward the Sales Agent’s instructions for subscription, redemption or transfer of the Offshore Funds to the Offshore Fund Institution;

　　五、就不可歸責總代理人之情事，協(xié)助辦理投資人權(quán)益保護之相關(guān)事宜;

　　Assist investors in investment rights protection with respect to matters which the General Agent is not held accountable for;

　　六、依相關(guān)法令申報、申請核準、公告及傳輸境外基金之特定事項;

　　Report, apply for approval for, announce, or transmit specific matters in connection with the Offshore Funds in accordance to applicable laws and rules of the R.O.C.;

　　七、協(xié)助銷售機構(gòu)回答投資人有關(guān)境外基金之咨詢;及

　　Assist the Sales Agent in responding to investors' inquiries concerning the Offshore Funds; and

　　八、其它依相關(guān)法令、主管機關(guān)規(guī)定或當事人約定應辦理之事項。

　　Other matters as required by applicable laws or rules of the R.O.C. or the competent authorities, or agreed upon by the Parties.

　　第四條 銷售機構(gòu)之聲明與保證

　　Article 4　 The Sales Agent's Representations and Warranties

　　銷售機構(gòu)茲聲明并保證：The Sales Agent represents and warrants that:

　　一、其符合境外基金管理辦法第十九條所規(guī)定應具備之資格條件(附件二);

　　It has met all the qualification as stipulated in Article 19 of the Rules Governing Offshore Funds (Annex 2);

　　二、其已遵守并將持續(xù)遵守境外基金相關(guān)法令之規(guī)定;

　　It has been in compliance with, and will continue to comply with, all requirements of applicable laws and rules of the R.O.C. relating to offshore funds;

　　三、其已取得必要之授權(quán)得執(zhí)行本契約活動，且將持續(xù)獲得該授權(quán);若有任何授權(quán)遭撤銷，或遭管轄法院、主管機關(guān)采取其它任何行動致影響其執(zhí)行有關(guān)本契約活動者，應立即書面通知總代理人;及

　　It has obtained and will continue to maintain necessary authorizations to carry on the activities contemplated under this Agreement and it shall immediately notify the General Agent in writing of any withdrawal of its authorizations or any other action taken by either the courts of competent jurisdiction or the relevant regulatory authorities which would have an impact on performing the Agreement; and

　　四、其任何履行或不履行任何有關(guān)境外基金之行為，將不致嚴重影響總代理人企業(yè)形象或損害總代理人商譽或權(quán)益，或影響境外基金取得主管機關(guān)授權(quán)。

　　Any performance or non-performance in relation to the Offshore Funds shall not have any adverse impact on the business reputation, or damage the goodwill or interests of the General Agent or on the authorizations of the Offshore Funds' by a competent authority.

　　五、其已依相關(guān)法令建立為辦理境外基金業(yè)務適當之內(nèi)部控制制度(內(nèi)容包括但不限于洗錢防制相關(guān)事宜)。

　　It has established an appropriate internal control system for handling offshore fund business (the content of which includes but not limited to money laundering related matters) according to applicable laws and rules of the R.O.C.

　　第五條 總代理人之聲明與保證

　　Article 5 The General Agent's Representations and Warranties

　　總代理人茲聲明并保證：The General Agent represents and warrants that:

　　一、其已遵守并將持續(xù)遵守境外基金相關(guān)法令之規(guī)定;

　　It has been in compliance with, and will continue to comply with, all requirements of applicable laws and rules of the R.O.C. relating to offshore funds;

　　二、其已取得必要之授權(quán)得執(zhí)行本契約活動，且將持續(xù)獲得該授權(quán);若有任何授權(quán)遭撤銷，或遭管轄法院、主管機關(guān)采取其它任何行動致影響其執(zhí)行有關(guān)本契約活動者，應立即書面通知銷售機構(gòu);及

　　It has obtained and will continue to maintain necessary authorizations to carry on the activities contemplated under this Agreement and it shall immediately notify the Sales Agent in writing of any withdrawal of its authorizations or any other action taken by either the courts of competent jurisdiction or the relevant regulatory authorities which would have an impact on performing the Agreement; and

　　三、其已依相關(guān)法令建立為辦理境外基金業(yè)務適當之內(nèi)部控制制度。

　　It has established an appropriate internal control system for handling offshore fund business according to applicable laws and rules of the R.O.C.

　　第六條　 交易之執(zhí)行Article 6　 Execution of Trade

　　境外基金機構(gòu)、總代理人及銷售機構(gòu)應依據(jù)附件三之交易條件、公開說明書及相關(guān)法令之規(guī)定，申購、買回及轉(zhuǎn)換境外基金，及制作、交付及保存完整且正確之交易紀錄。

　　[如銷售機構(gòu)與境外基金機構(gòu)簽訂投資契約或受托買賣契約，在境內(nèi)透過特定金錢信托契約或受托買賣外國有價證券契約為投資人辦理境外基金之相關(guān)業(yè)務，除法令或本契約另有規(guī)定外，前述相關(guān)事宜應依據(jù)該投資契約或受托買賣契約辦理。]

　　The Offshore Fund Institution, General Agent and Sales Agent shall subscribe for, redeem and transfer the Offshore Funds, and produce, deliver and maintain complete and accurate transaction records with respect thereto in accordance with the terms of dealing set out in Annex 3 hereto, the Prospectus, and applicable laws or rules of the R.O.C.

　　[If the Sales Agent entered into investment agreement or consigned trading agreement with the Offshore Fund Institution and provide offshore fund services to investors through non-discretionary monetary trust agreement or consigned trading agreement for foreign securities, unless otherwise provided herein or by applicable laws or rules, the matters in the preceding paragraph shall be handled in accordance the investment agreement or the consigned trading agreement.]

　　第七條　　責任與損害賠償Article 7　　Liability and Compensation

　　任一方對于其本契約義務之履行或不履行所發(fā)生之過失、詐欺、惡意或故意違約，致他方遭受任何損失、損害、費用、責任、成本或請求時，違約方應向他方負損害賠償責任。

　　Each party shall be liable to the other parties for any loss, damages, expenses, liabilities, costs or claims resulting from its negligence, fraud, bad faith or willful default in the performance or non performance of those duties under this Agreement.

　　第八條 稅及費用Article 8　Tax and Fees

　　一、各當事人應自行負擔相關(guān)稅賦。Each Party shall be responsible for its own applicable taxes.

　　二、若有履行依本契約所生之義務或執(zhí)行交易所生之各項費用，各當事人應依附件四之規(guī)定負擔之。

　　Each Party shall be responsible for all the costs and expenses arising from performance of its respective obligations and execution of transaction under this Agreement in accordance with Annex 4. 依照應行記載事項第四點第二項第五款，載明境外基金機構(gòu)或總代理人給付費用之方式。

　　第九條 報酬Article 9　Remuneration

　　銷售機構(gòu)得依附件五之規(guī)定自[總代理人、境外基金機構(gòu)或其指定之其它機構(gòu)]取得相關(guān)報酬。

　　The Sales Agent shall be entitled to receive from [the General Agent, Offshore Fund Institution, or any other entity designated by the same] fees payable in accordance with Annex 5.

　　第十條 短線交易及擇時交易Article 10　　Short-term Trading and Market Timing Trading

　　總代理人及境外基金機構(gòu)得依相關(guān)法令、公開說明書及投資人須知(得載明境外基金機構(gòu)內(nèi)部控制相關(guān)規(guī)定)，拒絕接受其認為可能有害境外基金之交易活動 (包括但不限于短線交易及擇時交易)。銷售機構(gòu)同意協(xié)助總代理人與境外基金機構(gòu)辨認及拒絕構(gòu)成前述相關(guān)交易活動之申購交易指示，并建立相關(guān)流程、偵測及控制程序。就相關(guān)交易活動之限制，雙方同意依附件六之規(guī)定為之。

　　The General Agent and Offshore Fund Institution may, in accordance with applicable laws and rules of the R.O.C., prospectus and Investor Brochure (which may include the Offshore Fund Institution’s internal control related procedures), refuse to perform the trading activities which they deem potentially harmful to the Offshore Funds (including, without limitation, short-swing trading or market timing trading). The Sales Agent agrees to assist the General Agent in identifying and refusing subscriptions which would constitute the aforesaid trading activities and establish relevant procedures for processing, detecting and controls. With respect to the restrictions to the relevant trading activities, the Parties agree to handle the matters according to Annex 6.

　　第十一條 洗錢防制Article 11　Anti-money Laundering

　　銷售機構(gòu)應依相關(guān)法令、其內(nèi)部控制制度[及附件八]之規(guī)定，執(zhí)行洗錢防制相關(guān)事宜(包括但不限于恐怖行動之防止及偵測)。銷售機構(gòu)確認當其向投資人募集及銷售境外基金時;將依照相關(guān)法令(1)采取必要步驟，以識別投資人之身分，包括但不限于對于首次交易之投資人，應要求其親自辦理開戶等相關(guān)作業(yè)，提出身分證明文件，并落實充分了解客戶等程序;(2)取得并保存驗證程序之證明文件;(3)于主管機關(guān)要求或法院命令時，于規(guī)定之時間內(nèi)備妥文件供該主管機關(guān)或法院檢閱;以及(4)確保其涉及境外基金銷售業(yè)務之經(jīng)理人、員工、受任人和代理人接受充分訓練與教育，以確實落實上述程序。

　　The Sales Agent shall act in accordance with applicable laws and rules of the R.O.C., its internal control system, and Annex 8 in handling anti-money laundering related matters (including but not limited to prevention and detection of terrorism activities). The Sales Agent confirms that, during the course of offering and selling the Offshore Funds to investors, it will according to applicable laws and rules of the R.O.C. (1) take the necessary steps to establish the identity of the investors in accordance with applicable laws and rules, including but not limited to requesting the first time investor to open an account in person and provide identification documents, and implement the Know Your Customer procedures; (2) retain documentary evidence of this verification procedure; (3) make the documentation available to the competent authorities or courts of relevant jurisdiction within the time limit as provided by regulations, if so requested or ordered by the competent authorities or courts of relevant jurisdiction; and (4) ensure that all its officers, employees, delegates and agents involved in the distribution of the Offshore Funds are adequately trained and educated to ensure the above-mentioned procedures.

　　第十二條 對投資人之通知Article 12 Notification to Investors

　　境外基金召開受益人會議或股東會及其它有關(guān)投資人權(quán)利行使之重大事項，總代理人應依相關(guān)法令實時公告并通知銷售機構(gòu)或投資人，并應匯整銷售機構(gòu)及銷售機構(gòu)所屬投資人之意見通知境外基金機構(gòu)。若銷售機構(gòu)系以自己名義為投資人申購境外基金，則于接獲前述通知后，對重大影響投資人權(quán)益之事項，應實時通知所屬之投資人，并應匯整所屬投資人之意見通知境外基金機構(gòu)或經(jīng)總代理人轉(zhuǎn)送境外基金機構(gòu)。[雙方并同意依附件三之規(guī)定辦理相關(guān)事宜。]

　　Where there are beneficiaries'/shareholders' meetings or any other major events relating to the exercise of investors' rights on the Offshore Funds, the General Agent is responsible for the timely announcement and notification to the Sales Agent or investors according to applicable laws and rules of the R.O.C. The General Agent shall consolidate the opinions of the Sales Agent and investors thereof and notify the Offshore Fund Institution. Where the subscription for the Offshore Funds is made in the name of the Sales Agent, the Sales Agent shall be responsible for delivering the timely notice to the investors regarding any issues which may have significant impact on the rights of the investors upon their receipt of the aforesaid notification, consolidating the investors’ opinions and notifying the Offshore Fund Institution directly or notifying the General Agent accordingly so as to initiate the General Agent in communicating with the Offshore Fund Institution. [The Parties also agree to handle the relevant matters according to Annex 3.]依照應行記載事項第四點第二項第七款，載明銷售機構(gòu)以自己名義為投資人申購境外基金，應辦理之受益人會議或股東會會議通知及匯整投資人意見通知境外基金機構(gòu)之應辦事項。

　　第十三條 契約讓與、變更及終止

　　Article 13　Transfer, Amendment and Termination of Agreement

　　一、本契約如有修正必要，應經(jīng)當事人書面同意后修正之。

　　Any amendments to this Agreement must be agreed to in writing by each Party.

　　二、本契約得隨時終止之，惟終止之一方應于終止日三個月前以書面送達其它當事人;本契約之終止不影響各當事人于本契約終止前已生之權(quán)利或義務。契約終止后，于轉(zhuǎn)由其它總代理人或銷售機構(gòu)(視情況而定)辦理前，總代理人或銷售機構(gòu)(視情況而定)應協(xié)助投資人辦理后續(xù)境外基金之買回、轉(zhuǎn)換或其它相關(guān)事宜。

　　This Agreement may be terminated at any time by any Party, provided that the terminating Party notifies the other Parties in writing and delivers such writing notification three (3) months prior to the termination. The termination will not affect the rights or obligations of each Party duly occurring prior to the termination. After termination of this Agreement and before the offshore fund business has been transferred to another general agent or sales agent as appropriate, the General Agent or Sales Agent, as the case may be, shall assist the investors in subsequent Offshore Fund redemption, transfer or other related matters.

　　三、任何一方如有違反本契約之規(guī)定，經(jīng)任何他方通知三十日之期間補正未補正者，該他方得以書面之通知終止本契約，契約終止后，于轉(zhuǎn)由其它總代理人或銷售機構(gòu)辦理前(視情況而定)，總代理人或銷售機構(gòu)(視情況而定)應協(xié)助投資人辦理后續(xù)境外基金之買回、轉(zhuǎn)換或其它相關(guān)事宜。

　　Any Party may terminate this Agreement in writing immediately if the other Parties breach any term of this Agreement and has not cured such breach within thirty (30) days after a written notice thereof. After termination of this Agreement and before the offshore fund business has been transferred to another general agent or sales agent as appropriate, the General Agent or Sales Agent, as the case may be, shall assist the investors in subsequent Offshore Fund redemption, transfer or other related matters.

　　四、除相關(guān)法令許可外，非經(jīng)其它當事人事前書面同意，任何一方不得將其依本契約取得之權(quán)利或義務之全部或一部，讓與其它第三人辦理。

　　Unless otherwise permitted by applicable laws or rules of the R.O.C., no Party may assign its rights or obligations in whole or in part under this Agreement to a third party unless otherwise agreed upon by the other Parties in writing in advance.

　　第十四條 契約生效及其存續(xù)期間Article 14　　Effectiveness and Duration

　　本契約自簽約日起生效，其存續(xù)期間至契約當事人依本契約第十三條之規(guī)定終止。

　　This Agreement shall be effective from the signing date and unless it is otherwise terminated by the Parties according to Article 13 of this Agreement.

　　第十五條 準據(jù)法及仲裁Article 15　　Governing Law and Arbitration

　　本契約以 法律為準據(jù)法。凡因本契約或違反本契約引起之任何糾紛、爭議或歧見，應提請仲裁協(xié)會依該協(xié)會仲裁規(guī)則，以仲裁方式解決。如有提起撤銷仲裁判斷之訴之需要，當事人同意以臺灣臺北地方法院為第一審管轄法院。

　　The Agreement shall be governed by the R.O.C. Law. All disputes, controversies, differences or claims arising out of, relating to or connecting with this Agreement, or breach thereof, shall be settled by arbitration referred to the Arbitration Association of the Republic of China in accordance with the Arbitration Rules of Chinese Arbitration Association, Taipei. If there is a need to file a suit to revoke the arbitration decision, it shall be brought before the Taipei District Court as the court of first instance.

　　第十六條 通知Article 16　　Notification

　　一、除本契約另有規(guī)定外，本契約項下之通知得以親自遞送、郵遞、電子媒體、傳真或其它適當方式為之。但所為通知之事項或內(nèi)容若有涉及任一方之權(quán)益時，應以掛號郵寄或依當事人約定之方式為之。

　　Unless otherwise provided herein, notices may be delivered in person, by mail, through electronic medium, facsimile or other appropriate methods. However, if the notified items or content of the notice concerns the interests of any Party, it shall be delivered by registered mail or by the method agreed upon by the Parties.

　　二、當事人指定之聯(lián)絡(luò)人及通知送達地包括地址、電話、傳真及電子郵件地址詳如下載：

　　The Parties' contact persons and places for delivery including address, telephone, facsimile and e-mail address are as follows：

　　第十七條 其它Article 17　　Miscellaneous

　　一、除相關(guān)法令或本契約另有規(guī)定外，銷售機構(gòu)及其任何經(jīng)理人、董事、員工、受任人或代理人，無論何時均不具總代理人或境外基金機構(gòu)之代理人或員工身分。銷售機構(gòu)不得為總代理人或境外基金機構(gòu)為代任何聲明或保證或給予任何承諾。

　　Unless otherwise provided by applicable laws or rules of the R.O.C. or in this Agreement, neither the Sales Agent nor any of its officers, directors, employees, delegates or agents is or will at any time be, nor hold themselves out as the agent or employee of the General Agent or Offshore Fund Institution. The Sales Agent shall not make any representation or warranty or give any undertaking on behalf of the General Agent or the Offshore Fund Institution.

　　二、除任何主管機關(guān)或管轄法院強制或要求外，不論本契約終止前或終止后，本契約任何一方均不得向非他方同意之任何人，揭露該方于本契約期間持有之任何他方非公開信息或事務，且該方應盡最大努力防止前述揭露情事發(fā)生。

　　No Party hereto shall, unless compelled or requested to do so by any authority or court of competent jurisdiction, either before or after the termination of this Agreement, disclose to any person that is not authorized by the other Parties any un-disclosed information or affairs relating to such other Parties of which the disclosing Party shall come into possession during the duration of this Agreement and shall use its best endeavors to prevent any such disclosure as aforesaid.

　　三、本契約未盡之事宜，當事人應依相關(guān)法令、最新公開說明書及投資人須知辦理。[本契約若有任何規(guī)定與銷售機構(gòu)前為辦理境外基金業(yè)務而與境外基金機構(gòu)簽訂之投資契約或受托買賣契約有歧異，應以本契約之規(guī)定為準。]本契約若有任何規(guī)定與公開說明書有歧異，應以公開說明書之規(guī)定為準。若公開說明書之譯聲本與公開說明書原文有歧異，應以公開說明書原文為準。

　　The Parties shall handle matters not addressed by this Agreement in accordance with applicable laws and rules of the R.O.C., most updated prospectus, and Investor Brochure. [Where there is any inconsistency between the terms of this Agreement and the investment agreement or consigned trading agreement entered into between the Sales Agent and Offshore Fund Institution for the Offshore Funds business, this Agreement shall prevail.] Where there is any inconsistency between the terms of this Agreement and the prospectus, the terms of the prospectus shall prevail. Where there is any inconsistency between the Chinese translation of the prospectus and the original prospectus, the original prospectus shall prevail.

　　四、本契約所使用之復數(shù)用語包含單數(shù)之情況，單數(shù)之用語包含復數(shù)之情況。

　　Whenever used in this Agreement, the plural includes the singular and the singular includes the plural.

　　第十八條 契約之簽訂Article 18　Execution of Agreement

　　本契約作成中英文版壹式參份，由當事人各執(zhí)壹份。倘中英文有歧異時，應以中文契約為準。

　　This Agreement is executed in three counterparts in both Chinese and English versions, with each Party holding one counterpart. In the event of a discrepancy between the two versions, the Chinese version shall prevail.

　　本契約系由當事人于___年___月___日簽署。

　　IN WITNESS WHEREOF, the Parties have executed this Agreement on the __th day of ____.

　　附件一Annex 1 境外基金名稱。

　　附件二Annex 2

　　本公司茲聲明并保證符合下列資格條件：

　　We hereby represent and warrant that we meet the following qualifications:

　　一、最近期經(jīng)會計師查核簽證之財務報告每股凈值不低于面額;

　　The per share net value as provided in the latest CPA-audited financial statements must not be lower than its per share par value;

　　二、最近二年未曾受證券投資信托及顧問法第一百零三條第二款規(guī)定以上、證券交易法第六十六條第二款規(guī)定以上、期貨交易法第一百條第一項第二款規(guī)定以上、第一百零一條第一項規(guī)定、信托業(yè)法第四十四條第一項第二款或第二項第一款或、第二項規(guī)定或銀行法第六十一條之一第一項第一款規(guī)定以上之處分。但金管會命令解除職員職務之處分，不在此限;

　　We have not been sanctioned in the last two years under Item 2 (or more severe), Article 103 of the Securities Investment Trust and Consulting Act, Item 2 (or more severe), Article 66 of the Securities Exchange Act, Item 2 (or more severe), Paragraph 1, Article 100 of the Futures Trading Act, Item 2, Paragraph 1 and Paragraph 2, Article 44 of the Trust Enterprise Act or Item 1, Paragraph 1, Article 61-1 of the Banking Act (or more sever). Except for the removal of position by orders of the Financial Supervisory Commission;

　　三、辦理募集及銷售業(yè)務人員應符合證券投資顧問事業(yè)負責人與業(yè)務人員管理規(guī)則第五條所定業(yè)務人員之資格條件;及

　　The qualifications of business personnel comply with all provisions specified in Article 5 of the Rules Governing the Responsible Person and Associated Persons of Securities Investment Consulting Enterprises; and

　　四、其它依相關(guān)法令經(jīng)主管機關(guān)規(guī)定應具備之條件。

　　Other qualifications as required by applicable laws or rules of the R.O.C. or the competent authorities.