Cooperation. Investment Management Policy Department Tel: 0-2263-6246 The Hong Kong Monetary Authority, in conjunction with the People’s Bank of China and the Monetary Authority of Macao, launched the Wealth
relating to financial business by an authority in charge. In addition, the management company shall not have records on offences relating to unfair securities trading or mismanagement in the manner of
management company appointed to have authority to invest for the fund; “Underwriter” means any securities company licensed to undertake securities business in the category of securities underwriting
oversight authority Are you currently a registered auditor in your home jurisdiction with an audit oversight authority? Yes No If yes, please state the – Name of the authority Your Registration number Contact
Net Profit Your Responsibility* 1. 2. 3. 4. * Signing Partner, Engagement Partner, Engagement Quality Control Reviewer and etc. 4. Registration with an audit oversight authority 4.1 Are you currently a
grant of approval for the establishment and management of the mutual fund under paragraph one hereof, the Office, upon the approval from the SEC, shall have the authority to set out rules, conditions and
fund” means a mutual fund established and managed by a management company which does not accept the redemption of investment units; (3) “open-ended fund” means a mutual fund established and managed by a
partner or equivalent affiliated with the audit firm; 2. I or a person with equivalent authority in the audit firm, the audit firm, other partners or equivalent, other licensed CPAs, or assistant auditors
derivatives contracts; “Foreign derivatives business operator” means any person undertaking derivatives business under the law of foreign country and under supervision of authority or agency which regulates
: _____________________________________________ Name of Hong Kong Covered Management Company: ___________________________________________________________________________ [ ] 1. Form 69 – CIS full (completed by Hong Kong Covered Management Company