______________________________________________________________________ 7) Is the NRI CIS authorised/approved by its Home Regulator? Yes No If “Yes”, is the NRI CIS authorised/approved for the offer to non-retail or retail investors in Home Jurisdiction? Non-retail
/approved by its Home Regulator? Yes No If “Yes”, is the NRI CIS authorised/approved for the offer to non-retail or retail investors in Home Jurisdiction? Non-retail investors Retail investors 7) Has the NRI
of an authorised person of CIS Operator Please print this checklist and include it in the package of this form Page 2 of 5 Form 69 – CIS full Registration Statement for an offer for sale of units of
authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS full Registration Statement for an offer
appointment of an authorised person of CIS Operator Please print this checklist and include it as part of the package of this form Form updated as of June 2021 Page 2 of 5 Form 69 – CIS annually update
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed/ authorised/ approved by its Home Regulator to conduct the activities as specified by section 56 of the Passport Rules
Investment and Securities Analyst (CISA) or any other equivalent certificates as approved by the Office, or 3. Being permitted by a foreign capital market regulator, which is accepted by the Office, to perform
Chartered Financial Analyst (CFA) or Certified Investment and Securities Analyst (CISA) or any other equivalent certificates as approved by the Office, or 3. Being permitted by a foreign capital market
risks to be of significance, which are: accessing to the information and computer system by an unauthorised person, an authorised person is unable to access to the information in the computer system in
effectiveness shall be in accordance with the following criteria: (1) the Hong Kong Covered Management Company has been approved to offer for sale of a Hong Kong Covered Fund under HK- TH MRF to the public in