TA Alternative Absolute Return Fund

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Sophisticated Investor Pre-Qualification Declaration

In accordance with the Guidelines on Unlisted Capital Market Products under the Lodge and Launch Framework, only a “Sophisticated Investor” may invest in certain capital market products. A “Sophisticated Investor” refers to at least one of the following categories:

A. Accredited Investor

(i) A unit trust scheme, private retirement scheme or prescribed investment scheme.
(ii) Bank Negara.
(iii) A licensed person or a registered person.
(iv) An exchange holding company, a stock exchange, a derivatives exchange, an approved clearing house, a central depository, or a recognized market operator.
(v) A corporation that is licensed, registered or approved to carry on any regulated activity or capital market services by an authority in Labuan or outside Malaysia which exercises functions corresponding to the functions of the SC.
(vi) A bank licensee or an insurance licensee as defined under the Labuan Financial Services and Securities Act 2010 [Act 704].
(vii) An Islamic bank licensee or a takaful licensee as defined under the Labuan Islamic Financial Services and Securities Act 2010 [Act 705].
(viii) A chief executive officer or a director of any person referred to in subparagraphs (iii), (iv), (v), (vi) and (vii) above.
(ix) A closed-end fund approved by the SC.

B. High-Net Worth Entity

A company that is registered as a trust company under the Trust Companies Act 1949 and has assets under its management exceeding RM10 million or its equivalent in foreign currencies.
A corporation that:
- is a public company under the Companies Act 2016 which is approved by the SC to be a trustee under the CMSA and has assets under its management, exceeding RM10 million or its equivalent in foreign currencies; or
- is carrying on the regulated activity of fund management solely for the benefit of its related corporations and has assets under its management exceeding RM10 million or its equivalent in foreign currencies.
A corporation with total net assets exceeding RM10 million or its equivalent in foreign currencies based on the last audited accounts.
A partnership with total net assets exceeding RM10 million or its equivalent in foreign currencies.
A statutory body established under any laws whose function or mandate is investment in capital market products.
A pension fund approved by the Director General of Inland Revenue under the Income Tax Act 1967.

C. High-Net Worth Individual

An individual:
- whose total net personal assets exceeding RM3 million or its equivalent in foreign currencies, provided that the net value of the primary residence of the individual contributes not more than RM1 million of the total net assets;
- whose total net joint assets with:
  - his or her spouse; or
  - his or her child,
  - exceeding RM3 million or its equivalent in foreign currencies, provided that the net value of the primary residence of the individual with his or her spouse or child contributes not more than RM1 million of the total net assets;
- who has a gross annual income exceeding RM300,000 or its equivalent in foreign currencies in the preceding 12 months;
- who jointly with his or her spouse or child, has a gross annual income exceeding RM400,000 or its equivalent in foreign currencies in the preceding 12 months;
- whose total net personal investment portfolio or total net joint investment portfolio with his or her spouse or child, in any capital market products exceeding RM1 million or its equivalent in foreign currencies;
- who holds any of the following qualifications and has 5 consecutive years of relevant working experience in finance, economics, actuarial science or accounting:
  - holds a Bachelor’s or Master’s degree related to Finance, Economics or Actuarial Science;
  - holds a Bachelor’s or Master’s degree in Accounting; or
  - holds a Master of Business Administration;
- who holds the following membership in the associations as set out below:
  - Active Member of Chartered Financial Analyst (CFA) Institute;
  - Chartered Banker of Asian Institute of Chartered Bankers (AICB);
  - Ordinary Member of Financial Markets Association Malaysia (FMAM);
  - Chartered Accountant, C.A(M) of Malaysian Institute of Accountants (MIA);
  - Ordinary Member of Malaysia Association of Tax Accountants (MATA);
  - Accredited Angel Investor of Malaysian Business Angel Network (MBAN);
  - Certified Member of Financial Planning Association of Malaysia (FPAM); or
  - Ordinary Member of Malaysian Financial Planning Council (MFPC); or
- who has 5 consecutive years of working experience in a capital market intermediary relating to product development, corporate finance, deal advisory, investment management, sales and trading, investment research and advisory, financial analysis, or the provision of training in investment products

D. Consideration ≥ RM250,000

An individual who acquires unlisted capital market products where the consideration is not less than RM250,000 or its equivalent in foreign currencies for transaction whether such amount is paid for in cash or otherwise.
A company/corporation/institution who acquire unlisted capital market products where the consideration is not less than RM250,000 or its equivalent in foreign currencies for transaction whether such amount is paid for in cash or otherwise.

A “wholesale fund” means a unit trust scheme established where the units are to be issued, offered for subscription or purchase, or for which invitations to subscribe for or purchase the units are to be made, exclusively to Sophisticated Investors. Please note that this Declaration is not the only term relating to investments into a Wholesale Fund.

Declaration & Confirmation

I have read and understood this Sophisticated Investor Pre-Qualification Declaration and hereby confirm I am a Sophisticated Investor. I further confirm that this Declaration is accurate and am prepared to furnish documentary evidence to establish its accuracy.

If any information is found false or misleading, or if requests for further documentation are not met, TA Investment Management Berhad may reject any of my applications and/or instructions, including transactional-related activities.

I agree to indemnify and keep TA Investment Management Berhad indemnified in respect of any costs, expenses, fines, penalties, or any other losses, which it may suffer or incur in the event of this Declaration is untrue or incorrect in any way.

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