undertaking of any business or bankrupt, a receiver, a liquidator or any other person empowered by law to act in the similar capacity as the aforementioned persons, as the case may be, shall undertake necessary
purpose of considering ability of a client to perform in respect of servicing agreement, an intermediary shall consider received information as prescribed in Clause 31 in order to provide corresponding
“Yes”, please provide the following details: The list of exchanges that foreign ETF is traded on ____________________________________________________________________
Part 1 Business Operation and Operating Results 1. Organizational structure and operation of the group of companies 1.1 Policy and business overview Provide an overview on the background and nature of
function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the
________________________________________________________________________ If “No”, please specify the expected commencement of the offer of NRI CIS ________________________________________________________________________ 9) Please provide the investment objective/policy
assign their authorization to the CFO? 3 Whether the firm has designated a Quality Control partner who takes ultimate responsibility for the firm’s QC system? If yes, Does the firm leadership provide the
________________________________________________________________________ 8) Is the ARFP Passport Fund offered to the general public in the Home Economy? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
) Is the Hong Kong Covered Fund offered to the general public in Hong Kong? Yes No If “Yes”, please provide the following details: a) AUM as at the latest practicable date
Exchange Commission Remark: The reason for issuing this Notification is to allow derivatives business operators licensed by the Office to provide services for additional juristic persons who are well