. ___________________________ Note: The misconduct of the investment consultants, one of whom was also branch manager, is a violation of Clause 23(2), and a prohibited characteristic of capital market personnel under Clause 31
. _____________________________Remark: * Clause 23(2) and deemed to be the prohibited characteristic of the personnel in the capital market business under Clause 31(1) of the Notification of the Capital Market Supervisory Board No. Tor
Hong Kong. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 4. I/We affirm that the offering
_____________________________________________________________________ 4. I/We affirm that the offering documents/prospectus and the information of the Hong Kong Covered Fund will be disclosed and distributed to the investors of the Hong Kong Covered Fund in Hong Kong
appointed the following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel , it shall be
following person to be an infrastructure fund manager who has qualified and not possessed any prohibited characteristic as stipulated by the Notification concerning personnel, it shall be deemed that the
characteristic of the personnel in the capital market business under Clause 31(2) of the Notification No. TorLorThor. 8/2557 which has been promulgated in replacement of the said four notifications.Clause 3(15) of
guidelines specified by the intermediary in compliance with the aforesaid rules. In this regard, such measures shall at least ensure that the service provider shall not have any characteristic which may cause