exchange? Yes No If yes, please specify the name and country of the stock exchange Do you have any experience relating to the audit of the financial statements of the public interest entities whose shares

in the firm Address City State Postcode Country E-mail address Telephone number Fax number Does your firm belong to an international network ? Yes No If yes, please state the – Name of the network

: _____________________________________________ 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

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

Fund Any other type, please specify __________________________________________ 6) Is the NRI CIS a sub-fund of an umbrella fund? Yes No If “Yes”, please state the name of the umbrella fund

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

. Yes No If “No”, please specify __________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any

approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no

director or executive’s full name ] Part 2: Characteristics Indicating Untrustworthiness 1st Group Characteristics (1) I am an insolvent person. [ ] Yes [ ] No (2) I am an incompetent or a quasi-incompetent