issued by the SEC Office by virtue of this Notification. (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the

service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the

this application. b. Please mark an X in the appropriate box corresponding to your answer c. Send complete and signed form to Accounting Supervision Department The Securities and Exchange Commission

consider and notify, the result of its consideration to derivatives broker within thirty days as from the date of receipt of complete application and supporting documents, except for the case that the system

business undertaking is accurate, complete and current as well as functional and can be monitored effectively. There shall also be an adequate security system to prevent any unauthorized person from

a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies

.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the

company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function

delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or

.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other