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questions.sql
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questions.sql
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INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.1", "Financial instrument", "T", null, "NAME");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.2", "Address", "T", null, "ADDRESS");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.3", "Country of incorporation", "T", null, "COUNTRY");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.4", "Are you a regulated entity", "R", null, "REGULATED_ENTITY");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.4a", "If yes, what is your registration number / regulatory license?", "T", "1.4", "REGULATORY_LICENSE");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.4b", "If yes, what type of licenses do you hold? Please include the name of the regulator", "T", "1.4", "REGULATORY_LICENSE_TYPE");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.4c", "Does the firm’s regulatory structure cover anti–money laundering (AML) and counterterrorism financing (CTF)?", "R", "1.4", "REGULATORY_STRUCTURE_COVER_AML_CTF");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.4d", "If yes, are you a MiFID entity? (Applicable only when registered in EU / EEA.)", "R", "1.4", "MIFID_ENTITY");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.5", "Are you a wholly owned subsidiary of a regulated entity?", "R", null, "WHOLLY_OWNED_SUBSIDIARY");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.6", "List corporate events (mergers or acquisitions) over the past three years that are relevant to the investment fund distribution business.", "T", null, "CORPORATE_EVENTS");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.7", "Ultimate beneficial owner (UBO). Do you have any shareholder directly or indirectly owning 25 percent or more of the entity’s shares or exercising power or control through other means?", "R", null, "UBO");
INSERT INTO api_question (num_q, question, type, parent, alias) VALUES("1.7a", "If yes, please list any natural persons that directly or indirectly hold 25 percent or more of the shares / voting rights of your firm’s shares", "T", "1.7", "UBO_LIST");
INSERT INTO api_question (num_q, question, type, parent) VALUES("1.8", "Please identify the senior managing official (executive director with significant responsibility for managing the legal entity and who has the power to act as its legal representative).", "T", "1.8");
INSERT INTO api_question (num_q, question, type, parent) VALUES("1.9", "Management structure. Please provide the details of your current board of directors. You can satisfy this question by submitting a separate document or website link detailing your current board of directors.", "T", "1.9");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.1", "What is the level of assets that you currently distribute, manage, or make available to trade or introduce in investment funds as per the latest quarter or annual report available?", "R", "2.1");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.2", "Please confirm how you will trade with the fund.", "T", "2.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.3", "Business context. Please select the type(s) of business or distribution activity that best describe(s) your business:", "T", "2.3");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.4", "Please select the applicable types of services you provide to your clients:", "T", "2.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.5", "What type of underlying investors do you typically distribute investment funds to?", "T", "2.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.6", "Can your firm restrict business by jurisdiction or product?", "R", "2.6");
INSERT INTO api_question (num_q, question, type, parent) VALUES("2.6a", "If yes, can you restrict by jurisdiction, product, or any other parameter? Please select all that apply.", "T", "2.6");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.1", "Does your firm have an internal process for the review and approval of new fund products to be distributed?", "R", "3.1");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.2", "Do you distribute or make available investment funds in any jurisdiction other than your domiciled country?", "R", "3.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.2a", "If yes, do you distribute or market investment funds in accordance with the applicable rules and regulations in the country where you are distributing / marketing?", "R", "3.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.3", "Does your firm offer investment funds in some countries other than those where the investment funds are registered for public distribution (e.g., private placement or reverse solicitation)?", "R", "3.3");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.4", "Does your firm sell funds in any jurisdiction in a manner that is subject to limitation on the number of investors to be marketed to and/or investor count is required?", "R", "3.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.5", "Do you have a remuneration policy reasonably designed to ensure members of staff responsible for the distribution of funds act in the best interest of investors, and in compliance with local regulatory requirements?", "R", "3.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.6", "Can you confirm that all fees or nonmonetary benefits collected for your distribution / placement activities of investment funds comply with applicable law and regulations?", "R", "3.6");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.7", "Where required by law, do you disclose to investors any inducements your firm receives from fund manufacturers and all fees and nonmonetary benefits collected for distribution / placement activities?", "R", "3.7");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.8", "Do you reasonably apply a suitability test or other applicable standard of care to determine that investment funds offered to customers meet their needs, risk profile, and objectives?", "R", "3.8");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.9", "Do you have controls in place to distribute investment funds to appropriate and eligible investors including, where applicable, those as defined in the MiFID II manufacturer’s target market communicated via the European MiFID Template (EMT)? *", "R", "3.9");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.10", "If yes, do such controls seek to prevent sales into the negative MiFID II target market?", "R", "3.10");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.11", "Do you have systems, controls, and procedures reasonably designed to prevent investment funds from being offered to noneligible investors?", "R", "3.11");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.12", "Do you provide regular reporting or MiFID target market confirmations to the investment fund manufacturer / sponsor?", "R", "3.12");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.13", "Do you create your own marketing material for the funds you distribute?", "R", "3.13");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.14", "Are investment fund documents provided and made available to end investors / intermediaries as required by applicable law (e.g., KIIDs, prospectuses)?", "R", "3.14");
INSERT INTO api_question (num_q, question, type, parent) VALUES("3.15", "If applicable, in relation to your marketing activities in the European Union for alternative investment funds (AIFs), please confirm that you have procedures to ensure that they will be marketed only in jurisdictions where the management company has obtained an AIFMD marketing passport and that all investors are “professional investors” / “retail investors” as applicable and as defined in the AIFMD (the
2011//61/EU Alternative Investment Fund Managers Directive).", "R", "3.15");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.1", "Do you currently use or intend to use sub-distributors for the distribution of funds?", "R", "4.1");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.2", "What type of sub-distributors do you rely on? Please select all that apply.", "R", "4.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.3", "Do you ensure that all your sub-distributors are regulated for distribution of investment funds and are regulated for the purposes of anti–money laundering?", "R", "4.3");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.4", "Do you enter into formal contracts with sub-distributors stating the respective obligations and compliance requirements? For example, contractual requirements, periodic reporting obligations, and/or monitoring programs.", "R", "4.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.4a", "If yes, does the contract include liability clauses in case of material breach of contractual terms?", "R", "4.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.5", "Do you perform an initial due diligence review on the sub-distributors, including a risk assessment, before appointment?", "R", "4.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.5a", "If no, please explain:", "T", "4.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.6", "Do you perform ongoing monitoring on the sub-distributors to ensure that they are acting in accordance with the relevant agreements, and in compliance with local laws and regulations?", "R", "4.6");
INSERT INTO api_question (num_q, question, type, parent) VALUES("4.7", "Do you require sub-distributors to certify that they meet the regulatory requirements that your firm is subject to for AML / KYC compliance?", "R", "4.7");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.1a", "Has your firm been sanctioned for failure to comply with stipulated regulations or legislation in relation to the distribution activities of investment funds?", "R", "5.1a");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.1a1", "If yes, and the relevant information is publicly available, please provide website links or attach the full details, outlining corrective action taken to address deficiencies:", "T", "5.1a");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.1b", "Has your firm been subjected to any fine, sanction, criminal prosecution, or regulatory investigation due to violations of financial crime laws / regulations that has resulted in an enforcement action or a significant adverse effect to the firm’s business dealings in investment funds?", "R", "5.1b");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.1b1", "f yes, and the relevant information is publicly available, please provide website links, or attach an explanation addressing the details and the impact of an adverse decision on your business, operations, policies, and/or procedures:", "T", "5.1b");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.2", "Have you implemented ongoing training and development programs for your sales teams and other employees reasonably designed to comply with local laws and regulations?", "R", "5.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.3", "Do you have an internal independent audit function and/or an external auditor that assesses the firm’s
sales activities and practices on a regular basis?", "R", "5.3");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.4", "Were any material audit findings by the external auditors in the past three years relevant to the distribution of investment funds?", "R", "5.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.4a", "f yes, were all the audit findings resolved?", "T", "5.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("5.5", "Do you have data protection policies and procedures, including record retention and deletion for investors’ records, in accordance with the applicable law?", "R", "5.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.1", "Do you have an internal risk management function?", "R", "6.1");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.2", "Do you have an internal compliance function?", "R", "6.2");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.3", "o you have tested controls for securing client data?", "R", "6.3");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.4", "Do you have a business continuity plan and disaster recovery plan that meets local regulatory requirements?", "R", "6.4");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.5", "Are your systems and IT infrastructure adequate to safeguard the security, integrity, and confidentiality required for data protection?", "R", "6.5");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.6", "If you outsource any of your primary functions—such as internal audit, risk, compliance, or AML / CTF—to a third party, do you perform oversight and due diligence on those providers?", "R", "6.6");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.7", "Does your firm have an anti-corruption compliance program, including anti-corruption policies and procedures, and does it provide appropriate training to firm employees?", "R", "6.7");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.8", "Do you maintain controls in place to prevent tax evasion?", "R", "6.8");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.9", "o you have internal procedures for handling customer complaints?", "R", "6.9");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.9a", "If yes, do the procedures contain an escalation process to the product manufacturer / sponsor?", "R", "6.9");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.11", "Do you have a process to obtain senior management approval for high risk and PEP client dealings?", "R", "6.11");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.12", "Does your firm have any dealings with customers who appear on a sanctions list?", "R", "6.12");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.12a", "If yes, will your firm notify the funds of such customers to the extent required by law?", "R", "6.12");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.13", "For branches and subsidiaries, do you apply the parent company standards of AML / CTF policies both within and outside the domicile of the ultimate parent company where applicable?", "R", "6.13");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.14", "Will your firm report any suspicious transactions involving shares / units of the funds to the extent required by law?", "R", "6.14");
INSERT INTO api_question (num_q, question, type, parent) VALUES("6.15", "Are all records relating to AML / KYC maintained in accordance with the applicable local law, and will be made available upon request to the extent permitted by law?", "R", "6.15");
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.1", "What is the level of assets that you currently distribute, manage, or make available to trade or introduce in investment funds as per the latest quarter or annual report available?", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.2", "Please confirm how you will trade with the fund", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.3", "Business context. Please select the type(s) of business or distribution activity that best describe(s) your business:", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.4", "Please select the applicable types of services you provide to your clients:", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.5", "What type of underlying investors do you typically distribute investment funds to?", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("2.6a", "f yes, can you restrict by jurisdiction, product, or any other parameter? Please select all that apply", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("4.2", "What type of sub-distributors do you rely on? Please select all that apply", "C", null);
INSERT INTO api_question (num_q, question, type, parent) VALUES ("6.10", "Select all the applicable policies that you have in place:", "C", null);