Company dated 4 January 2000 shall be repealed and replaced by the following texts: “ Clause 16 Securities companies must maintain information and documents related to the custody of clients’ assets not
) an uncooperative client who fails to provide identification document or other document/ information under the normal KYC/CDD process, or a client who produces doubtful evidence or documents which can
website. “I/We have duly examined the information contained in this registration statement and enclosures hereto. I/We hereby certify that all of the aforementioned documents contain the information which
statement and enclosures hereto. I/We hereby certify that all of the aforementioned documents contain the information which is correct, accurate, and complete in all respects. I/We also certify further that
documents contain the information which is correct, accurate, and complete in all respects. I/We also certify further that the said documents neither contain any false or misleading statement in materiality
name / Last name (if any) (in English) Title First Name Last name Date of Change (Please specify all information on change of first name / last name since becoming sui juris and attach documents
form and enclosed all relevant documents in support of this application. Part A: Hong Kong Covered Fund Information 1) Name of Hong Kong Covered Fund: __________________________________________ Class (if
) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification
clients’ assets, payment of interest shall not be deemed as a transaction causing a movement or change in clients’ assets. Clause 16 A securities company shall keep the information and documents relating to
contact, the applicant shall submit information as well as documents and evidence as per the form and procedures as provided via the electronic system of the Office and shall pay the application fee for