SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - CHAPTER 24F SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - LONG TITLE Empowering section (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - LONG TITLE Empowering section VerDate:30/06/1997 (Cap 24, section 34) [2 April 1991] (L.N. 450 of 1990) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - RULE 1 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - RULE 1 Citation VerDate:30/06/1997 These rules may be cited as the Securities and Futures Commission (Annual Returns) Rules. (Enacted 1990) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - RULE 2 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - RULE 2 Registered persons to make annual returns VerDate:15/03/2002 (1) Subject to subrule (2), every registered person shall make an annual return to the Commission- (a) to be received by the Commission on or before each successive anniversary of the date of his registration under the Securities Ordinance (Cap 333) or the Commodities Trading Ordinance (Cap 250), as the case may be; and (b) in the form and containing the particulars specified in the Schedule. (2) A registered person or a person acting on his behalf may, with the prior consent of the Commission, give notice in a form approved by it in lieu of an annual return in the specified form, stating- (a) any particulars required to be reported to the Commission as a result of any amendment to the Schedule since the date of the last annual return made by that registered person; and (b) that the following particulars remain correct- (i) the particulars contained in the last annual return made by that registered person; and (ii) the particulars reported under paragraph (a). (L.N. 17 of 2002) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - RULE 2 Registered persons to make annual returns VerDate:30/06/1997 Every registered person shall make an annual return to the Commission- (a) to be received by the Commission on or before each successive anniversary of the date of his registration under the Securities Ordinance (Cap 333) or the Commodities Trading Ordinance (Cap 250), as the case may be; and (b) in the form and containing the particulars specified in the Schedule: Provided that, in lieu of an annual return in that form, notice may be given by a registered person or on his behalf, with the prior consent of the Commission and in a form approved by it, that the last annual return previously made by him in the form in the Schedule remains correct. (L.N. 54 of 1997) (Enacted 1990. L.N. 178 of 1995) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:15/03/2002 [rule 2] SECURITIES AND FUTURES COMMISSION ORDINANCE (Chapter 24) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES (Cap 24 sub. leg.) Annual Return REPORTING PERIOD: / to / (mth/yr) (mth/yr) Notes: (1) In this form "business" means the business to which your registration with the Securities and Futures Commission relates. (2) This form must be completed in block letters. (3) Where an item is not applicable please write "N/A". PART A: DETAILS OF REGISTERED PERSON □ Dealer □ Investment Adviser □ Commodity Trading Adviser □ Securities Margin Financier □ Representative Surname or Given Family Name Name(s) (In the case of corporation, the name of the corporation) Registered Address Telephone No. Fax No. English Chinese Chinese CCC Code Registration No. Date of Initial Registration: PART B: TO BE COMPLETED BY ALL REGISTERED PERSONS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 1. Name 2. Residential Address 3. Residential Telephone No. 4. Business Name 5. Business Address/Telephone No./Fax No. 6. Address where the register pursuant to section 67 of the Securities Ordinance (Cap 333) is kept 7. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been licensed, registered, authorized or permitted to deal in securities/futures or provide securities margin financing or act as investment adviser/commodity trading adviser in any place outside Hong Kong 8. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere 9. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt 10. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been a party to a scheme of arrangement or entered into any form of composition with creditors or had a receiver or administrator appointed over his assets/business 11. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been censured or disciplined in any way by any professional body, by any disciplinary tribunal established under any enactment, or by any other regulatory body in relation to his business in Hong Kong or elsewhere 12. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, is the subject of any pending disciplinary actions or proceeding in relation to any trade, business or profession in Hong Kong or elsewhere 13. State whether any judgment with a finding of fraud has been given against the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners in Hong Kong or elsewhere 14. State whether there is any unsatisfied judgment debt outstanding against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, in connection with any business conducted by any of those persons in Hong Kong or elsewhere 15. State whether there is any unsatisfied judgment or court order in Hong Kong or elsewhere, against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, requiring the payment of damages or other sums of money in relation to any trade or business carried on by any of those persons or in which any of those persons has been concerned 16. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere (IF YOU ARE REGISTERED AS A REPRESENTATIVE OTHER THAN A DIRECTOR WHO IS APPROVED UNDER SECTION 121I OF THE SECURITIES ORDINANCE (CAP 333), DO NOT COMPLETE PART C) PART C: TO BE COMPLETED BY DEALERS, INVESTMENT ADVISERS, COMMODITY TRADING ADVISERS, SECURITIES MARGIN FINANCIERS AND SECURITIES MARGIN FINANCIER'S REPRESENTATIVES (WHO ARE DIRECTORS APPROVED UNDER SECTION 121I OF THE SECURITIES ORDINANCE (CAP 333)) Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 17. Address(es) of all business premises where the records and documents are kept pursuant to section 27 of the Securities and Futures Commission Ordinance (Cap 24) 18. Auditor 19. Business bank accounts 20. Corporation's nominal or issued share capital 21. Corporation's substantial shareholders 22. State whether there has been any change in the control of the business, other than caused by a change in directors or shareholders in the case of a corporation, or a change in the partners in the case of a partnership 23. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has- (a) been admitted as an exchange participant/member of a stock or futures/commodities exchange in Hong Kong or elsewhere (b) ceased as an exchange participant/member of stock or futures/commodities exchange in Hong Kong or elsewhere 24. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 25. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been removed or suspended from exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 26. State whether to the best of your knowledge the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been involved in the management or control of any business in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty 27. State whether to the best of your knowledge the registered person has been investigated by any professional body, any disciplinary tribunal set up under any enactment or by any other regulatory body in relation to his business of dealing in securities or trading in futures or as an investment adviser or a commodity trading adviser or a securities margin financier, in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings 28. State whether the registered person has been adjudicated by a court in Hong Kong or elsewhere, in connection with the formation or management of any corporation, civilly liable for any fraud, misfeasance or other misconduct towards that corporation or any member thereof, or disqualified by order of such court from being a director, or the equivalent in other jurisdiction 29. State whether the corporation's or partnership's affairs have been investigated by an inspector or officer appointed under any enactment 30. State whether there have been any unsatisfied judgment debts, or judgments or court orders for the payment of damages or other sums of money, made against the corporation or partnership, in Hong Kong or elsewhere 31. State whether there has been any corporation (of which the registered person has been a director) which has been wound up otherwise than by means of a members' voluntary winding up 32. State whether there has been any firm (of which the registered person has been a partner) which has been dissolved other than voluntarily with the consent of all the partners 33. State whether there have been any changes in the nature of the registered business or material changes in internal control procedures in the business to ensure compliance with the relevant legislation, regulations or rules 34. Provide an updated list of representatives of the business of the registered person, showing their names, registration numbers and dates of commencement of employment PART D: SUPPLEMENTARY INFORMATION (If the space provided is insufficient for your answer, please continue on a separate sheet of paper, specifying the number of the item to which your answer relates, and sign and date each such sheet.) ITEM NO. ANSWER (state details of the change and reasons for failure to notify the Commission) PART E: TO BE COMPLETED BY DEALERS (other than partnerships, firms or corporations and their directors) 35. State to the best of your knowledge and belief (applying generally accepted accounting principles and after making provision for taxation on your profits up to the date of this return)- Yes No (a) whether your personal and business assets exceed your personal and business liabilities; and (b) whether you are able to meet your liabilities as and when they fall due PART F: TO BE PROVIDED BY INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS (other than advisers who are registered by reason only that they are directors or employees of, or partners in partnerships or firms which are, registered advisers) 36. Provide a true and fair profit and loss account, balance sheet, and computation net tangible assets referred to in the Financial Resources Rules (Cap 24 sub. leg.) made up to the last day of your financial year which expired on a date not more than 16 months before the date of this return 37. Provide an auditor's report the profit and loss account, balance sheet and computation of net tangible assets referred to in paragraph 36 Part G: CONTINUOUS PROFESSIONAL TRAINING ("CPT") A registered person which is a corporation, partnership or sole-proprietorship ("registered corporation, partnership or sole-proprietorship") shall complete Division 1. A registered person who is an individual ("registered individual") (including a director, partner, sole proprietor and representative) shall complete Division 2. * Where the response to any question is "No", please explain the reasons and provide details of such non-compliance under Part D "SUPPLEMENTARY INFORMATION". Yes No* Division 1: Registered corporation, partnership or sole-proprietorship 38. State whether the registered corporation, partnership or sole-proprietorship has implemented a training programme to meet the training needs of its registered individuals 39. State whether the registered corporation, partnership or sole-proprietorship has evaluated its training programme at least once during the last calendar year 40. State whether all of the registered individuals of the registered corporation, partnership or sole-proprietorship have attained the required number of CPT hours during the last calendar year 41. State whether the registered corporation, partnership or sole-proprietorship has maintained sufficient records as evidence of its training programme and the CPT activities undertaken by its registered individuals Note: The registered corporation, partnership or sole-proprietorship may be requested to produce the records for inspection Division 2: Registered individual (including director, partner, sole proprietor and representative) 42. State whether the registered individual has attained the required number of CPT hours during the last calendar year 43. State whether the registered individual has retained sufficient records of all his CPT activities undertaken during the last calendar year Note: The registered individual may be requested to produce the records for inspection WARNING: (1) The accuracy of any statement made in this annual return may be investigated (2) Failure to make a return in accordance with and within the time required by these rules or furnishing inaccurate information in a return may constitute grounds for suspension or revocation of registration under section 56, 121S or 121U of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250). I certify that the foregoing answers are true and correct to the best of my knowledge and belief. I understand that any misstatement or omission of a material fact may constitute grounds for suspension or revocation of my registration under section 56, 121S or 121U of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250), and may result in intervention by the Commission under section 38 of the Securities and Futures Commission Ordinance (Cap 24). Signature:_________________________ Registration No.: _________________ Name in Block Letters: _______________ Date: _________________________ (Enacted 1990. L.N. 346 of 1993; 12 of 2000 s. 23; L.N. 92 of 2000; L.N. 17 of 2002) "business" SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:12/06/2000 [rule 2] SECURITIES AND FUTURES COMMISSION ORDINANCE (Chapter 24) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES (Cap 24 sub. leg.) Annual Return REPORTING PERIOD: / to / (mth/yr) (mth/yr) Notes: (1) In this form "business" means the business to which your registration with the Securities and Futures Commission relates. (2) This form must be completed in block letters. (3) Where an item is not applicable please write "N/A" PART A: DETAILS OF REGISTERED PERSON □ Dealer □ Investment □ Commodity Trading □ Securities Margin □ Representative Adviser Adviser Financier Surname or Given Family Name Name(s) (In the case of corporation, the name of the corporation) Registered Address Telephone No Fax No English Chinese Chinese CCC Code Registration No. Date of Initial Registration: (L.N. 92 of 2000) PART B: TO BE COMPLETED BY ALL REGISTERED PERSONS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 1. Name 2. Residential Address 3. Residential Telephone No. 4. Business Name 5. Business Address/Telephone No./Fax No. 6. Address where the register pursuant to Section 67 of the Securities Ordinance (Cap 333) is kept. 7. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been licensed, registered, authorized or permitted to deal in securities/futures or provide securities margin financing or act as investment adviser/commodity trading adviser in any place outside Hong Kong 8. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere 9. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt 10. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been a party to a scheme of arrangement or entered into any form of composition with creditors or had a receiver or administrator appointed over his assets/business 11. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been censured or disciplined in any way by any professional body, by any disciplinary tribunal established under any enactment, or by any other regulatory body in relation to his business in Hong Kong or elsewhere 12. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, is the subject of any pending disciplinary actions or proceeding in relation to any trade, business or profession in Hong Kong or elsewhere 13. State whether any judgment with a finding of fraud has been given against the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, in Hong Kong or elsewhere 14. State whether there is any unsatisfied judgment debt outstanding against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, in connection with any business conducted by any of those persons in Hong Kong or elsewhere 15. State whether there is any unsatisfied judgment or court order in Hong Kong or elsewhere, against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, requiring the payment of damages or other sums of money in relation to any trade or business carried on by any of those persons or in which any of those persons has been concerned 16. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere (IF YOU ARE REGISTERED AS A REPRESENTATIVE OTHER THAN A DIRECTOR WHO IS APPROVED UNDER SECTION 121I OF THE SECURITIES ORDINANCE (CAP 333), DO NOT COMPLETE PART C) (L.N. 92 of 2000) PART C: TO BE COMPLETED BY DEALERS, INVESTMENT ADVISERS, COMMODITY TRADING ADVISERS, SECURITIES MARGIN FINANCIERS AND SECURITIES MARGIN FINANCIER'S REPRESENTATIVES (WHO ARE DIRECTORS APPROVED UNDER SECTION 121I OF THE SECURITIES ORDINANCE (CAP 333)) Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 17. Address(es) of all business premises where the records and documents are kept pursuant to section 27 of the Securities and Futures Commission Ordinance (Cap 24) 18. Auditor 19. Business bank accounts 20. Corporation's nominal or issued share capital 21. Corporation's substantial shareholders 22. State whether there has been any change in the control of the business, other than caused by a change in directors or shareholders in the case of a corporation, or a change in the partners in the case of a partnership 23. State whether the registered person,and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has- (a) been admitted as an exchange participant/member of a stock or futures/commodities exchange in Hong Kong or elsewhere (b) ceased as an exchange participant/member of stock or futures/commodities exchange in Hong Kong or elsewhere 24. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 25. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been removed or suspended from exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 26. State whether to the best of your knowledge the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been involved in the management or control of any business in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty 27. State whether to the best of your knowledge the registered person has been investigated by any professional body, any disciplinary tribunal set up under any enactment or by any other regulatory body in relation to his business of dealing in securities or trading in futures or as an investment adviser or a commodity trading adviser or a securities margin financier, in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings 28. State whether the registered person has been adjudicated by a court in Hong Kong or elsewhere, in connection with the formation or management of any corporation, civilly liable for any fraud, misfeasance or other misconduct towards that corporation or any member thereof, or disqualified by order of such court from being a director, or the equivalent in other jurisdiction 29. State whether the corporation's or partnership's affairs have been investigated by an inspector or officer appointed under any enactment 30. State whether there have been any unsatisfied judgment debts, or judgments or court orders for the payment of damages or other sums of money, made against the corporation or partnership, in Hong Kong or elsewhere 31. State whether there has been any corporation (of which the registered person has been a director) which has been wound up otherwise than by means of a members' voluntary winding up 32. State whether there has been any firm (of which the registered person has been a partner) which has been dissolved other than voluntarily with the consent of all the partners 33. State whether there have been any changes in the nature of the registered business or material changes in internal control procedures in the business to ensure compliance with the relevant legislation, regulations or rules 34. Provide an updated list of representatives of the business of the registered person, showing their names, registration numbers and dates of commencement of employment (12 of 2000 s. 23; L.N 92 of 2000) PART D: SUPPLEMENTARY INFORMATION (If the space provided is insufficient for your answer, please continue on a separate sheet of paper, specifying the number of the item to which your answer relates, and sign and date each such sheet.) ITEM NO. ANSWER (state details of the change and reasons for failure to notify the Commission) PART E: TO BE COMPLETED BY DEALERS (other than partnerships, firms or corporations and their directors) 35. State to the best of your knowledge and belief (applying generally accepted accounting principles and after making provision for taxation on your profits up to the date of this return)- Yes No (a) whether your personal and business assets exceed your personal and business liabilities; and (b) whether you are able to meet your liabilities as and when they fall due PART F: TO BE PROVIDED BY INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS (other than advisers who are registered by reason only that they are directors or employees of, or partners in partnerships or firms which are, registered advisers) 36. Provide a true and fair profit and loss account, balance sheet, and computation net tangible assets referred to in the Financial Resources Rules (Cap 24 sub. leg.) made up to the last day of your financial year which on a date not more than 16 months before the date of this return 37. Provide an auditor's report the profit and loss account, balance sheet and computation of net tangible assets referred to in paragraph 36 WARNING: (1) The accuracy of any statement in annual return may be investigated (2) Failure to make a return in accordance with and within the time required by these rule or furnishing inaccurate information in a return may constitute grounds for suspension or revocation of registration under section 56, 121S or 121U of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250) I certify that the foregoing answers are true and correct to the best of my knowledge and belief. I understand that any misstatement or omission of a material fact may constitute grounds for suspension or revocation of my registration under section 56, 121S or 121U of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250), and may result in intervention by the Commission under section 38 of the Securities and Futures Commission Ordinance (Cap 24). Signature:_________________________ Registration No.: __________________ Name in Block Letters: _______________ Date: __________________________ (Enacted 1990. L.N. 346 of 1993; L.N. 92 of 2000) "business" SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:06/03/2000 [rule 2] SECURITIES AND FUTURES COMMISSION ORDINANCE (Chapter 24) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES (Cap 24 sub. leg.) Annual Return REPORTING PERIOD: / to / (mth/yr) (mth/yr) Notes: (1) In this form "business" means the business to which your registration with the Securities and Futures Commission relates. (2) This form must be completed in block letters. (3) Where an item is not applicable please write "N/A" PART A: DETAILS OF REGISTERED PERSON □ Dealer □ Investment Adviser □ Commodity □Trading Adviser □ Representative Surname or Given Family Name Name(s) (In the case of corporation, the name of the corporation) Registered Address Telephone No Fax No English Chinese Chinese CCC Code Registration No. Date of Initial Registration: PART B: TO BE COMPLETED BY ALL REGISTERED PERSONS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 1. Name 2. Residential Address 3. Home Telephone No. 4. Business Name 5. Business Address/Telephone No./Fax No. 6. Address where the register pursuant to Section 67 of the Securities Ordinance (Cap 333) is kept. 7. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been licensed, registered, authorized or permitted to deal in securities/futures or act as investment adviser/commodity trading adviser in any place outside Hong Kong 8. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere 9. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt 10. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been a party to a scheme of arrangement or entered into any form of composition with creditors or had a receiver or administrator appointed over his assets/business 11. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been censured or disciplined in any way by any professional body, by any disciplinary tribunal established under any enactment, or by any other regulatory body in relation to his business in Hong Kong or elsewhere 12. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, is the subject of any pending disciplinary actions or proceeding in relation to any trade, business or profession in Hong Kong or elsewhere 13. State whether any judgment with a finding of fraud has been given against the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, in Hong Kong or elsewhere 14. State whether there is any unsatisfied judgment debt outstanding against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, in connection with any business conducted by any of those persons in Hong Kong or elsewhere 15. State whether there is any unsatisfied judgment or court order in Hong Kong or elsewhere, against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, requiring the payment of damages or other sums of money in relation to any trade or business carried on by any of those persons or in which any of those persons has been concerned 16. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere (IF YOU ARE REGISTERED AS A REPRESENTATIVE, DO NOT COMPLETE PART C) PART C: TO BE COMPLETED BY DEALERS, INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 17. Address(es) of all business premises where the records and documents are kept pursuant to section 27 of the Securities and Futures Commission Ordinance (Cap 24) 18. Auditor 19. Business bank accounts 20. Corporation's nominal or issued share capital 21. Corporation's substantial shareholders 22. State whether there has been any change in the control of the business, other than caused by a change in directors or shareholders in the case of a corporation, or a change in the partners in the case of a partnership 23. State whether the registered person,and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has- (a) been admitted as an exchange participant/member of a stock or futures/commodities exchange in Hong Kong or elsewhere (b) ceased as an exchange participant/member of stock or futures/commodities exchange in Hong Kong or elsewhere 24. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 25. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been removed or suspended from exchange participantship/membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 26. State whether to the best of your knowledge the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been involved in the management or control of any business in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty 27. State whether to the best of your knowledge the registered person has been investigated by any professional body, any disciplinary tribunal set up under any enactment or by any other regulatory body in relation to his business of dealing in securities or trading in futures or as an investment adviser or a commodity trading adviser, in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings 28. State whether the registered person has been adjudicated by a court in Hong Kong or elsewhere, in connection with the formation or management of any corporation, civilly liable for any fraud, misfeasance or other misconduct towards that corporation or any member thereof, or disqualified by order of such court from being a director, or the equivalent in other jurisdiction 29. State whether the corporation's or partnership's affairs have been investigated by an inspector or officer appointed under any enactment 30. State whether there have been any unsatisfied judgment debts, or judgments or court orders for the payment of damages or other sums of money, made against the corporation or partnership, in Hong Kong or elsewhere 31. State whether there has been any corporation (of which the registered person has been a director) which has been wound up otherwise than by means of a members' voluntary winding up 32. State whether there has been any firm (of which the registered person has been a partner) which has been dissolved other than voluntarily with the consent of all the partners 33. State whether there have been any changes in the nature of the registered business or material changes in internal control procedures in the business to ensure compliance with the relevant legislation, regulations or rules 34. Provide an updated list of representatives of the business of the registered person, showing their names, registration numbers and dates of commencement of employment (12 of 2000 s. 23) PART D: SUPPLEMENTARY INFORMATION (If the space provided is insufficient for your answer, please continue on a separate sheet of paper, specifying the number of the item to which your answer relates, and sign and date each such sheet.) ITEM NO. ANSWER (state details of the change and reasons for failure to notify the Commission) PART E: TO BE COMPLETED BY DEALERS (other than partnerships, firms or corporations and their directors) 35. State to the best of your knowledge and belief (applying generally accepted accounting principles and after making provision for taxation on your profits up to the date of this return)- Yes No (a) whether your personal and business assets exceed your personal and business liabilities; and (b) whether you are able to meet your liabilities as and when they fall due PART F: TO BE PROVIDED BY INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS (other than advisers who are registered by reason only that they are directors or employees of, or partners in partnerships or firms which are, registered advisers) 36. Provide a true and fair profit and loss account, balance sheet, and computation net tangible assets referred to in the Financial Resources Rules (Cap 24 sub. leg.) made up to the last day of your financial year which on a date not more than 16 months before the date of this return 37. Provide an auditor's report the profit and loss account, balance sheet and computation of net tangible assets referred to in paragraph 36 WARNING: (1) The accuracy of any statement in annual return may be investigated (2) Failure to make a return in accordance with and within the time required by these rule or furnishing inaccurate information in a return may constitute grounds for suspension or revocation of registration under section 56 of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250) I certify that the foregoing answers are true and correct to the best of my knowledge and belief. I understand that any misstatement or omission of a material fact may constitute grounds for suspension or revocation of my registration under section 56 of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250), and may result in intervention by the Commission under section 38 of the Securities and Futures Commission Ordinance (Cap 24). Signature:______________________ Registration No.: _____________________ Name in Block Letters: __________________ Date: _____________________ R. J. R. OWEN, Chairman, Securities and Futures Commission. 17 December 1990. (Enacted 1990. L.N. 346 of 1993) "business" SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:30/06/1997 [rule 2] SECURITIES AND FUTURES COMMISSION ORDINANCE (Chapter 24) SECURITIES AND FUTURES COMMISSION (ANNUAL RETURNS) RULES (Cap 24 sub. leg.) Annual Return REPORTING PERIOD: / to / (mth/yr) (mth/yr) Notes: (1) In this form "business" means the business to which your registration with the Securities and Futures Commission relates. (2) This form must be completed in block letters. (3) Where an item is not applicable please write "N/A" PART A: DETAILS OF REGISTERED PERSON □ Dealer □ Investment Adviser □ Commodity □Trading Adviser □ Representative Surname or Given Family Name Name(s) (In the case of corporation, the name of the corporation) Registered Address Telephone No Fax No English Chinese Chinese CCC Code Registration No. Date of Initial Registration: PART B: TO BE COMPLETED BY ALL REGISTERED PERSONS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 1. Name 2. Residential Address 3. Home Telephone No. 4. Business Name 5. Business Address/Telephone No./Fax No. 6. Address where the register pursuant to Section 67 of the Securities Ordinance (Cap 333) is kept. 7. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been licensed, registered, authorized or permitted to deal in securities/futures or act as investment adviser/commodity trading adviser in any place outside Hong Kong 8. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere 9. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt 10. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been a party to a scheme of arrangement or entered into any form of composition with creditors or had a receiver or administrator appointed over his assets/business 11. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been censured or disciplined in any way by any professional body, by any disciplinary tribunal established under any enactment, or by any other regulatory body in relation to his business in Hong Kong or elsewhere 12. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, is the subject of any pending disciplinary actions or proceeding in relation to any trade, business or profession in Hong Kong or elsewhere 13. State whether any judgment with a finding of fraud has been given against the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, in Hong Kong or elsewhere 14. State whether there is any unsatisfied judgment debt outstanding against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, in connection with any business conducted by any of those persons in Hong Kong or elsewhere 15. State whether there is any unsatisfied judgment or court order in Hong Kong or elsewhere, against the registered person, and in the case of a registered person that is a corporation or partnership, against any of its directors/substantial shareholders/partners, requiring the payment of damages or other sums of money in relation to any trade or business carried on by any of those persons or in which any of those persons has been concerned 16. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere (IF YOU ARE REGISTERED AS A REPRESENTATIVE, DO NOT COMPLETE PART C) PART C: TO BE COMPLETED BY DEALERS, INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars. * Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not been notified to the Commission. Any change? Changes notified to the Commission? Yes No Yes No* 17. Address(es) of all business premises where the records and documents are kept pursuant to section 27 of the Securities and Futures Commission Ordinance (Cap 24) 18. Auditor 19. Business bank accounts 20. Corporation's nominal or issued share capital 21. Corporation's substantial shareholders 22. State whether there has been any change in the control of the business, other than caused by a change in directors or shareholders in the case of a corporation, or a change in the partners in the case of a partnership 23. State whether the registered person,and in the case of a registered person that is a corporation or partnership,any of its directors/substantial shareholders/partners, has- (a) been admitted as a member of a stock or futures/commodities exchange in Hong Kong or elsewhere (b) ceased as a member of stock or futures/commodities exchange in Hong Kong or elsewhere 24. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been refused membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 25. State whether the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been removed or suspended from membership of any stock or futures/commodities exchange in Hong Kong or elsewhere 26. State whether to the best of your knowledge the registered person, and in the case of a registered person that is a corporation or partnership, any of its directors/substantial shareholders/partners, has been involved in the management or control of any business in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty 27. State whether to the best of your knowledge the registered person has been investigated by any professional body, any disciplinary tribunal set up under any enactment or by any other regulatory body in relation to his business of dealing in securities or trading in futures or as an investment adviser or a commodity trading adviser, in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings 28. State whether the registered person has been adjudicated by a court in Hong Kong or elsewhere, in connection with the formation or management of any corporation, civilly liable for any fraud, misfeasance or other misconduct towards that corporation or any member thereof, or disqualified by order of such court from being a director, or the equivalent in other jurisdiction 29. State whether the corporation's or partnership's affairs have been investigated by an inspector or officer appointed under any enactment 30. State whether there have been any unsatisfied judgment debts, or judgments or court orders for the payment of damages or other sums of money, made against the corporation or partnership, in Hong Kong or elsewhere 31. State whether there has been any corporation (of which the registered person has been a director) which has been wound up otherwise than by means of a members' voluntary winding up 32. State whether there has been any firm (of which the registered person has been a partner) which has been dissolved other than voluntarily with the consent of all the partners 33. State whether there have been any changes in the nature of the registered business or material changes in internal control procedures in the business to ensure compliance with the relevant legislation, regulations or rules 34. Provide an updated list of representatives of the business of the registered person, showing their names, registration numbers and dates of commencement of employment PART D: SUPPLEMENTARY INFORMATION (If the space provided is insufficient for your answer, please continue on a separate sheet of paper, specifying the number of the item to which your answer relates, and sign and date each such sheet.) ITEM NO. ANSWER (state details of the change and reasons for failure to notify the Commission) PART E: TO BE COMPLETED BY DEALERS (other than partnerships, firms or corporations and their directors) 35. State to the best of your knowledge and belief (applying generally accepted accounting principles and after making provision for taxation on your profits up to the date of this return)- Yes No (a) whether your personal and business assets exceed your personal and business liabilities; and (b) whether you are able to meet your liabilities as and when they fall due PART F: TO BE PROVIDED BY INVESTMENT ADVISERS AND COMMODITY TRADING ADVISERS (other than advisers who are registered by reason only that they are directors or employees of, or partners in partnerships or firms which are, registered advisers) 36. Provide a true and fair profit and loss account, balance sheet, and computation net tangible assets referred to in the Financial Resources Rules (Cap 24 sub. leg.) made up to the last day of your financial year which on a date not more than 16 months before the date of this return 37. Provide an auditor's report the profit and loss account, balance sheet and computation of net tangible assets referred to in paragraph 36 WARNING: (1) The accuracy of any statement in annual return may be investigated (2) Failure to make a return in accordance with and within the time required by these rule or furnishing inaccurate information in a return may constitute grounds for suspension or revocation of registration under section 56 of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250) I certify that the foregoing answers are true and correct to the best of my knowledge and belief. I understand that any misstatement or omission of a material fact may constitute grounds for suspension or revocation of my registration under section 56 of the Securities Ordinance (Cap 333) or section 36 of the Commodities Trading Ordinance (Cap 250), and may result in intervention by the Commission under section 38 of the Securities and Futures Commission Ordinance (Cap 24). Signature:______________________ Registration No.: _____________________ Name in Block Letters: __________________ Date: _____________________ R. J. R. OWEN, Chairman, Securities and Futures Commission. 17 December 1990. (Enacted 1990. L.N. 346 of 1993) "business"