take the highest responsibility in Accounting and Finance, the person assigned to take direct responsibility for accounting supervision, the Company’s secretary and the representative for contact and

) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date

of Hong Kong ________________________________________________________________________ 6) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the

shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement

rendering a financial support that will later generate the right to acquire shares of such business, and being 2 involved in the supervision of the business plan, the operation or the improvement of the

Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives Clearing Houses Clause 2 A derivatives clearing and settlement system is a

) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact sheet must be

(DW) issuance. The revision will require DW issuer to provide a so-called ?fact sheet? which is a investor-friendly description of securities? key features, specific characteristics and risks. Fact

, heads of relevant units and employees, to voice their opinions, attend a meeting or provide essential relevant documents. The Committee can also seek independent opinions from professional consultants as

companies. “Office” means the Office of the Securities and Exchange Commission. Clause 2. This Notification shall not apply to financial institutions whose core business is under direct supervision of another