You are on page 1of 4

5HSXEOLFRIWKH3KLOLSSLQHV

&RQJUHVVRIWKH3KLOLSSLQHV
0HWUR0DQLOD

7HQWK&RQJUHVV

7KLUG5HJXODU6HVVLRQ

%HJXQ DQG KHOG LQ 0HWUR 0DQLOD RQ 0RQGD\ WKH WZHQW\HLJKWK GD\ RI -XO\ QLQHWHHQ
KXQGUHGDQGQLQHW\VHYHQ

>5(38%/,&$&712@

$1 $&7 (;3$1',1* 7+( '(),1,7,21 2) 7+( &5,0( 2) 5$3(
5(&/$66,)<,1* 7+( 6$0( $6 $ &5,0( $*$,167 3(56216 $0(1',1*
)257+(385326($&712$6$0(1'('27+(5:,6(.12:1$6
7+(5(9,6('3(1$/&2'($1')2527+(5385326(6


6(&7,21 6KRUW 7LWOH ± 7KLV$FWVKDOOEHNQRZQDV³7KH $QWL5DSH/DZRI


´

6(&5DSHDVD&ULPH$JDLQVW3HUVRQV±7KHFULPHRIUDSHVKDOOKHUHDIWHUEH
FODVVLILHG DV D &ULPH $JDLQVW 3HUVRQV XQGHU 7LWOH (LJKW RI $FW 1R  DV DPHQGHG
RWKHUZLVH NQRZQ DV WKH 5HYLVHG 3HQDO &RGH  $FFRUGLQJO\ WKHUH VKDOO EH LQFRUSRUDWHG
LQWR7LWOH(LJKWRIWKHVDPH&RGHDQHZFKDSWHUWREHNQRZQDV&KDSWHU7KUHHRQ5DSH
WRUHDGDVIROORZV

³&KDSWHU7KUHH

³5DSH

³$UWLFOH$5DSH:KHQ$QG+RZ&RPPLWWHG± 5DSH ,V &RPPLWWHG
±

³ %\DPDQZKRVKDOOKDYHFDUQDONQRZOHGJHRIDZRPDQXQGHUDQ\RI
WKHIROORZLQJFLUFXPVWDQFHV

³D 7KURXJKIRUFHWKUHDWRULQWLPLGDWLRQ

³E  :KHQ WKH RIIHQGHG SDUW\ LV GHSULYHG RI UHDVRQ RU RWKHUZLVH
XQFRQVFLRXV

³F %\PHDQVRIIUDXGXOHQWPDFKLQDWLRQRUJUDYHDEXVHRIDXWKRULW\DQG

³G  :KHQ WKH RIIHQGHG SDUW\ LV XQGHU WZHOYH   \HDUV RI DJH RU LV
GHPHQWHGHYHQWKRXJKQRQHRIWKHFLUFXPVWDQFHVPHQWLRQHGDERYHEHSUHVHQW

³   %\ DQ\ SHUVRQ ZKR XQGHU DQ\ RI WKH FLUFXPVWDQFHV PHQWLRQHG LQ
SDUDJUDSK  KHUHRI VKDOO FRPPLW DQ DFW RI VH[XDO DVVDXOW E\ LQVHUWLQJ KLV SHQLV
LQWRDQRWKHUSHUVRQ¶VPRXWKRUDQDORULILFHRUDQ\LQVWUXPHQWRUREMHFWLQWRWKH
JHQLWDORUDQDORULILFHRIDQRWKHUSHUVRQ

³$UWLFOH%3HQDOWLHV±5DSHXQGHUSDUDJUDSKRIWKHQH[WSUHFHGLQJ
DUWLFOHVKDOOEHSXQLVKHGE\UHFOXVLRQSHUSHWXD

³:KHQHYHUWKHUDSHLVFRPPLWWHGZLWKWKHXVHRIDGHDGO\ZHDSRQRUE\
WZRRUPRUHSHUVRQVWKHSHQDOW\VKDOOEHUHFOXVLRQSHUSHWXDWR GHDWK

³:KHQ E\ UHDVRQ RU RQ WKH RFFDVLRQ RI WKH UDSH WKH YLFWLP KDV EHFRPH
LQVDQHWKHSHQDOW\VKDOOEHUHFOXVLRQSHUSHWXDWRGHDWK

³:KHQWKHUDSHLVDWWHPSWHGDQGDKRPLFLGHLVFRPPLWWHGE\UHDVRQRURQ
WKHRFFDVLRQWKHUHRIWKHSHQDOW\VKDOOEHUHFOXVLRQSHUSHWXDWR GHDWK

³:KHQE\UHDVRQRURQWKHRFFDVLRQRIWKHUDSHKRPLFLGHLVFRPPLWWHG
WKHSHQDOW\VKDOOEHGHDWK

³7KHGHDWKSHQDOW\VKDOODOVREHLPSRVHGLIWKHFULPHRIUDSHLVFRPPLWWHG
ZLWKDQ\RIWKHIROORZLQJDJJUDYDWLQJTXDOLI\LQJFLUFXPVWDQFHV

³ :KHQWKHYLFWLPLVXQGHUHLJKWHHQ  \HDUVRIDJHDQGWKHRIIHQGHU
LVDSDUHQWDVFHQGDQWVWHSSDUHQWJXDUGLDQUHODWLYHE\FRQVDQJXLQLW\RUDIILQLW\
ZLWKLQ WKH WKLUG FLYLO GHJUHH RU WKH FRPPRQODZ VSRXVH RI WKH SDUHQW RI WKH
YLFWLP

³  :KHQ WKH YLFWLP LV XQGHU WKH FXVWRG\ RI WKH SROLFH RU PLOLWDU\
DXWKRULWLHVRUDQ\ODZHQIRUFHPHQWRUSHQDOLQVWLWXWLRQ

³ :KHQWKHUDSHLVFRPPLWWHGLQIXOOYLHZRIWKHVSRXVHSDUHQWDQ\RI
WKHFKLOGUHQRURWKHUUHODWLYHVZLWKLQWKHWKLUGFLYLOGHJUHHRIFRQVDQJXLQLW\

³   :KHQ WKH YLFWLP LV D UHOLJLRXV HQJDJHG LQ OHJLWLPDWH UHOLJLRXV
YRFDWLRQRUFDOOLQJDQGLVSHUVRQDOO\NQRZQWREHVXFKE\WKHRIIHQGHUEHIRUHRU
DWWKHWLPHRIWKHFRPPLVVLRQRIWKHFULPH


5HSXEOLF$FW1R  SDJH 
³ :KHQWKHYLFWLPLVDFKLOGEHORZVHYHQ  \HDUVROG

³   :KHQ WKH RIIHQGHU NQRZV WKDW KH LV DIIOLFWHGZLWK+XPDQ,PPXQR
'HILFLHQF\ 9LUXV +,9 $FTXLUHG ,PPXQH 'HILFLHQF\ 6\QGURPH $,'6  RU DQ\
RWKHUVH[XDOO\WUDQVPLVVLEOHGLVHDVHDQGWKHYLUXVRUGLVHDVHLVWUDQVPLWWHGWRWKH
YLFWLP

³  :KHQ FRPPLWWHG E\ DQ\ PHPEHU RI WKH $UPHG )RUFHV RI WKH
3KLOLSSLQHVRUSDUDPLOLWDU\XQLWVWKHUHRIRUWKH3KLOLSSLQH1DWLRQDO3ROLFHRUDQ\
ODZHQIRUFHPHQWDJHQF\RUSHQDOLQVWLWXWLRQZKHQWKHRIIHQGHUWRRNDGYDQWDJHRI
KLVSRVLWLRQWRIDFLOLWDWHWKHFRPPLVVLRQRIWKHFULPH

³ :KHQE\UHDVRQRURQWKHRFFDVLRQRIWKHUDSHWKHYLFWLPKDVVXIIHUHG
SHUPDQHQWSK\VLFDOPXWLODWLRQRUGLVDELOLW\

³ :KHQWKHRIIHQGHUNQHZRIWKHSUHJQDQF\RIWKHRIIHQGHGSDUW\DWWKH
WLPHRIWKHFRPPLVVLRQRIWKHFULPHDQG

³ :KHQWKHRIIHQGHUNQHZRIWKHPHQWDOGLVDELOLW\HPRWLRQDOGLVRUGHU
DQGRUSK\VLFDOKDQGLFDSRIWKHRIIHQGHGSDUW\DWWKHWLPHRIWKHFRPPLVVLRQRI
WKHFULPH

³5DSHXQGHUSDUDJUDSKRIWKHQH[WSUHFHGLQJDUWLFOHVKDOOEHSXQLVKHGE\
SULVLRQPD\RU

³:KHQHYHUWKHUDSHLVFRPPLWWHGZLWKWKHXVHRIDGHDGO\ZHDSRQRUE\
WZRRUPRUHSHUVRQVWKHSHQDOW\VKDOOEHSULVLRQPD\RUWRUHFOXVLRQWHPSRUDO

³:KHQ E\ UHDVRQ RU RQ WKH RFFDVLRQ RI WKH UDSH WKH YLFWLP KDV EHFRPH
LQVDQHWKHSHQDOW\VKDOOEHUHFOXVLRQWHPSRUDO

³:KHQWKHUDSHLVDWWHPSWHGDQGDKRPLFLGHLVFRPPLWWHGE\UHDVRQRURQ
WKH RFFDVLRQ WKHUHRI WKH SHQDOW\ VKDOO EH UHFOXVLRQ WHPSRUDO WR UHFOXVLRQ
SHUSHWXD

³:KHQE\UHDVRQRURQWKHRFFDVLRQRIWKHUDSHKRPLFLGHLVFRPPLWWHG
WKHSHQDOW\VKDOOEHUHFOXVLRQSHUSHWXD

³5HFOXVLRQ WHPSRUDO VKDOO DOVR EH LPSRVHG LIWKHUDSHLVFRPPLWWHGZLWK


DQ\RIWKHWHQDJJUDYDWLQJTXDOLI\LQJFLUFXPVWDQFHVPHQWLRQHGLQWKLVDUWLFOH

³$UWLFOH &  (IIHFW RI 3DUGRQ ± 7KH VXEVHTXHQW YDOLG PDUULDJH
EHWZHHQWKHRIIHQGHUDQGWKHRIIHQGHGSDUW\VKDOOH[WLQJXLVKWKHFULPLQDODFWLRQ
RUWKHSHQDOW\LPSRVHG


5HSXEOLF$FW1R  SDJH 
³,Q FDVH LW LV WKH OHJDO KXVEDQG ZKR LV WKH RIIHQGHU WKH VXEVHTXHQW
IRUJLYHQHVVE\WKHZLIHDVWKHRIIHQGHGSDUW\VKDOOH[WLQJXLVKWKHFULPLQDODFWLRQ
RUWKHSHQDOW\3URYLGHG7KDWWKHFULPHVKDOOQRWEHH[WLQJXLVKHGRUWKHSHQDOW\
VKDOOQRWEHDEDWHGLIWKHPDUULDJHLVYRLGDELQLWLR

³$UWLFOH '  3UHVXPSWLRQV ± $Q\ SK\VLFDO RYHUW DFW PDQLIHVWLQJ


UHVLVWDQFHDJDLQVWWKHDFWRIUDSHLQDQ\GHJUHHIURPWKHRIIHQGHGSDUW\RUZKHUH
WKH RIIHQGHG SDUW\ LV VR VLWXDWHG DV WR UHQGHU KHUKLP LQFDSDEOH RI JLYLQJ YDOLG
FRQVHQW PD\ EH DFFHSWHG DV HYLGHQFH LQ WKH SURVHFXWLRQ RI WKH DFWV SXQLVKHG
XQGHU$UWLFOH$´

6(&   6HSDUDELOLW\ &ODXVH ± ,I DQ\ SDUW VHFWLRQ RU SURYLVLRQ RI WKLV $FW LV
GHFODUHG LQYDOLG RU XQFRQVWLWXWLRQDO WKH RWKHU SDUWV WKHUHRI QRW DIIHFWHG WKHUHE\ VKDOO
UHPDLQYDOLG

6(& 5HSHDOLQJ &ODXVH±$UWLFOHRI$FW1RDVDPHQGHGDQGDOO
ODZV DFWV SUHVLGHQWLDO GHFUHHV H[HFXWLYH RUGHUV DGPLQLVWUDWLYH RUGHUV UXOHV DQG
UHJXODWLRQV LQFRQVLVWHQW ZLWK RU FRQWUDU\ WR WKH SURYLVLRQV RI WKLV $FW DUH GHHPHG
DPHQGHGPRGLILHGRUUHSHDOHGDFFRUGLQJO\

6(&(IIHFWLYLW\±7KLV$FWVKDOOWDNHHIIHFWILIWHHQ  GD\VDIWHUFRPSOHWLRQ
RILWVSXEOLFDWLRQLQWZR  QHZVSDSHUVRIJHQHUDOFLUFXODWLRQ

$SSURYHG


6*' -26('(9(1(&,$-5  6*' (51(67200$&('$


 6SHDNHURIWKH+RXVH    3UHVLGHQWRIWKH6HQDWH 
RI5HSUHVHQWDWLYHV    

7KLV $FW ZKLFK LV D FRQVROLGDWLRQ RI 6HQDWH %LOO 1R  DQG +RXVH %LOO 1R
ZDVILQDOO\SDVVHGE\WKH6HQDWHDQGWKH+RXVHRI5HSUHVHQWDWLYHVRQ-XQH
DQG6HSWHPEHUUHVSHFWLYHO\


6*' 52%(57231$=$5(12  6*' /25(1=2(/(<1(6-5


 6HFUHWDU\*HQHUDO    6HFUHWDU\RIWKH6HQDWH
 +RXVH RI 5HSUHVHQWDWLYHV  


$SSURYHG6HSWHPEHU


6*' ),'(/95$026
3UHVLGHQWRIWKH3KLOLSSLQHV

5HSXEOLF$FW1R  SDJH 

You might also like