standardized audit manual, audit policies and procedures on all audit and assurance assignments? And does the firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
: _____________________________________________ 6) Is the foreign ETF subject to supervision of Home Regulator that is a member of International Organization of Securities Commissions (IOSCO)? Yes No If “No”, please specify
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
Capital-Guaranteed Fund Any other type, please specify __________________________________________ 6) Is the ARFP Passport Fund a sub-fund of a Regulated CIS? Yes No If “Yes”, please state the name of the
____________________________________________ 4) Is the Hong Kong Covered Fund a sub-fund of an authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS
authorised CIS? Yes No If “Yes”, please state the name of the authorised CIS ________________________________________________________________________ (name of the Hong Kong Covered Management Company of the
case with the court within 90 days. satisfactory disagree with the appeal agree with the appeal The affected person is entitled to file an appeal to the Administrative court within 90 days. YES NO YES NO
. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any
may cause damages to the interest of the investors. Yes No If “No”, please specify __________________________________________________