Appendix B

Example Due Diligence Questions

QUESTIONNAIRE

Investment Adviser

Request for Information

A. Corporate Background

1. Name and address of firm.

2. Principal contact.

3. When was your firm founded?

4. Is your firm a registered investment adviser? A commodity trading adviser? A commodity pool operator?

5. Is your firm affiliated with a broker-dealer?

6. What is the organizational structure of your firm?

7. Have there been any material organizational changes in the past five years?

8. What is the current number of employees at your firm? Please provide a breakdown by category.

a. Portfolio managers:

b. Research analysts:

c. Client services:

d. Administration:

e. Other:

9. Please provide a breakdown of your firm's assets under management for the following time periods:

Year    Assets   # Accounts

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

2010

10. Please list the number of accounts/assets gained/lost during the following periods: ...

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