6SRQVRUVKLS RI D FROODERUDWLYH VWXG\ E\ DQ LQWHUHVW ZKLFK PD\ LQFOXGH WKH UHIHUHH ZKLFK VWDQGV WR
SURILW IURP WKH UHVXOWV VXFK VSRQVRUVKLS XVXDOO\ LQYROYLQJ WKH SULYLOHJH JUDQWHG E\ WKH LQYHVWLJDWRU
WR SHUPLW WKH VSRQVRU WR UHYLHZ DQG FRPPHQW XSRQ WKH UHVXOWV SULRU WR $2$& HYDOXDWLRQ
$ YROXQWHHU DVNHG WR UHYLHZ D PDQXVFULSW VXEPLWWHG IRU SXEOLFDWLRQ ZKHQ WKH PDQXVFULSW FRQWDLQV
LQIRUPDWLRQ ZKLFK LV FULWLFDO RI D SURSULHWDU\ RU RWKHU LQWHUHVW RI WKH UHYLHZHU
7KH IRUHJRLQJ DUH LQWHQGHG DV LOOXVWUDWLYH DQG VKRXOG QRW EH LQWHUSUHWHG WR EH DOO LQFOXVLYH H[DPSOHV
RI FRQIOLFWV RI LQWHUHVW $2$& YROXQWHHUV PD\ ILQG WKHPVHOYHV LQYROYHG LQ
'R V DQG 'RQ¶WV
'R DYRLG WKH DSSHDUDQFH DV ZHOO DV WKH IDFW RI D FRQIOLFW RI LQWHUHVW
'R PDNH ZULWWHQ GLVFORVXUH RI DQ\ PDWHULDO LQWHUHVW ZKLFK PD\ FRQVWLWXWH D FRQIOLFW RI LQWHUHVW RU WKH
DSSHDUDQFH RI D FRQIOLFW RI LQWHUHVW
'R QRW DFFHSW SD\PHQW RU JLIWV IRU VHUYLFHV UHQGHUHG DV D YROXQWHHU RI WKH $VVRFLDWLRQ ZLWKRXW GLVFORVLQJ
VXFK SD\PHQW RU JLIWV
'R QRW YRWH RQ DQ\ LVVXH EHIRUH DQ $2$& GHFLVLRQ PDNLQJ ERG\ ZKHUH \RX KDYH WKH DSSHDUDQFH RI RU DQ
DFWXDO FRQIOLFW RI LQWHUHVW UHJDUGLQJ WKH UHFRPPHQGDWLRQ RU GHFLVLRQ EHIRUH WKDW ERG\
'R QRW SDUWLFLSDWH LQ DQ $2$& GHFLVLRQ PDNLQJ ERG\ ZLWKRXW ZULWWHQ GLVFORVXUH RI DFWXDO RU SRWHQWLDO
FRQIOLFWV RI LQWHUHVW LQ WKH LVVXHV EHIRUH WKDW ERG\
'R QRW DFFHSW D SRVLWLRQ RI UHVSRQVLELOLW\ DV DQ $2$& YROXQWHHU ZLWKRXW GLVFORVXUH ZKHUH WKH GLVFKDUJH
RI WKH DFFHSWHG UHVSRQVLELOLW\ ZLOO EH RU PD\ DSSHDU WR EH LQIOXHQFHG E\ SURSULHWDU\ RU RWKHU FRQIOLFWLQJ
LQWHUHVWV
3URFHGXUHV
(DFK YROXQWHHU HOHFWHG RU DSSRLQWHG WR DQ $2$& SRVLWLRQ RI UHVSRQVLELOLW\ VKDOO EH VHQW DW WKH WLPH RI
HOHFWLRQ RU DSSRLQWPHQW D FRS\ RI WKLV SROLF\ DQG VKDOO EH DGYLVHG RI WKH UHTXLUHPHQW WR DGKHUH WR WKH
SURYLVLRQV KHUHLQ DV D FRQGLWLRQ IRU DFWLYH SDUWLFLSDWLRQ LQ WKH EXVLQHVV RI WKH $VVRFLDWLRQ (DFK
YROXQWHHU DW WKH WLPH RI KLV RU KHU HOHFWLRQ RU DSSRLQWPHQW VKDOO LQGLFDWH LQ ZULWLQJ RQ D IRUP SURYLGHG
IRU WKLV SXUSRVH E\ $2$& WKDW KH RU VKH KDV UHDG DQG DFFHSWV WKLV SROLF\
(DFK \HDU DW WKH VSULQJ PHHWLQJ RI WKH $2$& %RDUG RI 'LUHFWRUV WKH ([HFXWLYH 'LUHFWRU VKDOO VXEPLW D
UHSRUW FHUWLI\LQJ WKH UHTXLUHPHQWV RI WKLV SROLF\ KDYH EHHQ PHW LQFOXGLQJ WKH QDPHV DQG SRVLWLRQV RI DQ\
HOHFWHG RU DSSRLQWHG YROXQWHHUV ZKR KDYH QRW DW WKDW WLPH LQGLFDWHG LQ ZULWLQJ WKDW WKH\ KDYH DFFHSWHG WKH
SROLF\
$Q\RQH ZLWK NQRZOHGJH RI VSHFLILF LQVWDQFHV LQ ZKLFK WKH SURYLVLRQV RI WKLV SROLF\ KDYH QRW EHHQ
FRPSOLHG ZLWK VKDOO UHSRUW WKHVH LQVWDQFHV WR WKH %RDUG RI 'LUHFWRUV YLD WKH 2IILFH RI WKH ([HFXWLYH
'LUHFWRU DV VRRQ DV GLVFRYHUHG
$GRSWHG 0DUFK
5HYLVHG 0DUFK
5HYLVHG 2FWREHU