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APPENDIX C NIKKI AM SHELTON HORIZON INVESTMENT FUNDS HORIZON ASIA JAPAN EQUITY FUND PROXY FORM I/We* (name) of (address) a holder (Holder) of (state number of units you own) units in Horizon Asia

How to fill out appendix c nikko am

How to fill out Appendix C Nikko AM:

1. Start by reviewing the purpose of Appendix C Nikko AM. This document is typically required by financial institutions and regulatory bodies to assess the risk profile and compliance of Nikko AM, a specific investment management company.
2. Gather all relevant information about Nikko AM, such as its registered name, legal structure, and key personnel. This may include details about the board of directors, investment managers, and other important stakeholders.
3. Begin filling out the sections of Appendix C, following the provided instructions. This may include providing information about Nikko AM's investment strategies, types of assets managed, and customer profiles.
4. Provide details about the company's risk management practices and policies. This may involve describing the processes in place to identify, monitor, and manage risks associated with various investment activities.
5. Describe Nikko AM's compliance procedures and controls, including any regulatory requirements it adheres to. This may include providing details about the company's compliance framework, policies for preventing conflicts of interest, and procedures for dealing with suspicious activities or potential breaches.
6. Include information about the company's financial condition and any relevant financial statements. This may involve detailing Nikko AM's capital structure, liquidity management practices, and financial performance.
7. Finally, review the completed Appendix C for accuracy and completeness. Ensure that all required information has been provided and that the document reflects the true risk profile and compliance practices of Nikko AM.

Who needs Appendix C Nikko AM:

1. Financial institutions: Banks, credit unions, and other financial institutions often require Appendix C Nikko AM to assess the risk and compliance of their investment management partners. This helps them evaluate the potential risks associated with the investment products and strategies offered by Nikko AM.
2. Regulatory bodies: Government agencies and regulatory bodies responsible for overseeing the financial industry may request Appendix C Nikko AM to evaluate the company's compliance with regulations and its ability to manage risks effectively. This helps ensure the protection of investors and the stability of the financial system.
3. Investors: Institutional and individual investors considering investing in Nikko AM's products may request Appendix C to gain insights into the company's risk management practices, compliance procedures, and overall financial condition. This information can help them make more informed investment decisions.

By following the outlined steps, you can effectively fill out Appendix C Nikko AM while understanding who needs this document and why.

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What is appendix c nikko am?

Appendix C Nikko AM is a regulatory filing required by the financial regulatory authorities.

Who is required to file appendix c nikko am?

Financial institutions and investment firms are required to file Appendix C Nikko AM.

How to fill out appendix c nikko am?

Appendix C Nikko AM can be filled out electronically through the designated regulatory portal.

What is the purpose of appendix c nikko am?

The purpose of Appendix C Nikko AM is to report specific financial information and compliance data to regulatory authorities.

What information must be reported on appendix c nikko am?

Information such as assets under management, investment strategies, and compliance with regulatory requirements must be reported on Appendix C Nikko AM.

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