LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - CHAPTER 451B LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - LONG TITLE Empowering section (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - LONG TITLE Empowering section VerDate:30/06/1997 (Cap 451 sections 45 and 73) [1 September 1994] L.N. 482 of 1994 (L.N. 438 of 1994) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SECT 1 (Omitted as spent) VerDate:30/06/1997 (Omitted as spent) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SECT 2 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SECT 2 Licence holders to make annual returns VerDate:15/03/2002 (1) Subject to subsection (2), every person licensed as a leveraged foreign exchange trader or a representative (both are referred to as "licence holder") under the Ordinance shall make an annual return to the Commission- (a) to be received by the Commission on or before each successive anniversary of the date on which he was granted a licence under the Ordinance; and (b) in the form and containing the particulars specified in the Schedule. (2) A licence holder 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 licence holder; and (b) that the following particulars remain correct- (i) the particulars contained in the last annual return made by that licence holder; and (ii) the particulars reported under paragraph (a). (3) Every person who makes an annual return under subsection (1) or gives notice under subsection (2) shall provide to the best of his ability accurate and complete information in the return or notice, as the case may be. (L.N. 16 of 2002) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SECT 2 Licence holders to make annual returns VerDate:30/06/1997 (1) Every person licensed as a leveraged foreign exchange trader or a representative under the Ordinance shall make an annual return to the Commission- (a) to be received by the Commission on or before each successive anniversary of the date on which he was granted a licence under the Ordinance; 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 licence holder 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. 55 of 1997) (2) Every person who makes a return under subsection (1) shall provide to the best of his ability accurate and complete information in the return. (Enacted 1994) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SCHEDULE (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:15/03/2002 [section 2] LEVERAGED FOREIGN EXCHANGE TRADING ORDINANCE (Cap 451) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES (Cap 451 sub. leg.) Annual Return for the period from / / to / / WARNING: (1) The accuracy of any statement made in this annual return may be investigated. (2) Failure to make a return in accordance with the Rules may constitute grounds for revocation or suspension of licence under section 11(2)(b) of the Leveraged Foreign Exchange Trading Ordinance (the "Ordinance"). Failure to make a return within the time required by the Rules or furnishing inaccurate information in a return may constitute grounds for the Commission making an inquiry under section 12(1) of the Ordinance. NOTES: (1) Every licence holder under the Ordinance is required to make an annual return to the Commission on or before each successive anniversary of the date on which his licence was granted. (2) In Part B, "director" includes a "shadow director" as defined in section 2(1) of the Ordinance. (3) This form must be completed in block letters. (4) Where an item is not applicable, please write "N/A". PART A: DETAILS OF LICENCE HOLDER (Please tick the appropriate box.) □ Licensed Leveraged Foreign Exchange Trader (Do not complete Part C.) □ Representative (Do not complete Part B.) 1. Name in English: 2. Name in Chinese: (If applicable) 3. Hong Kong Identity Card number/Passport number: (If applicable) 4. Business address: 5. Business telephone number: 6. Business fax number: PART B: TO BE COMPLETED BY LICENSED LEVERAGED FOREIGN EXCHANGE TRADER Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars during the reporting period. 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 Basic Information 1. Name 2. Address(es)- (a) Business address(es) (b) Address(es) where the records and documents relating to the business are kept under section 21of the Ordinance 3. Telephone number / fax number 4. Auditor 5. Business bank accounts Business Activities 6. State whether there has been any change in the nature of business and types of services provided by the licence holder. Internal Control Systems 7. State whether there has been any material change in operating and internal control systems or procedures in the business which may affect compliance with the relevant legislation, subsidiary legislations or guidelines. Capital Structure 8. State whether there has been any change in the licence holder's capital structure (including nominal or issued share capital, debentures etc.). Directors and Shareholders 9. State whether there has been any change in the licence holder's directors or substantial shareholders (including but not limited to the licence holder's responsible director nominated under section 8(b)(ii) of the Ordinance). 10. State whether there has been any change in directors and/or substantial shareholders of the ultimate and/or immediate holding company of the licence holder. 11. State whether there has been any change in the control of the business of the licence holder other than caused by a change in directors or shareholders. Licence and Registration 12. State whether the licence holder, or any of its directors/substantial shareholders, has been licensed, registered, authorized or permitted to engage in leveraged foreign exchange trading or deal in currency futures contracts in any place outside Hong Kong. 13. State whether the licence holder, or any of its directors/substantial shareholders, has been admitted or has ceased as a member of or refused, removed or suspended from membership of any association, institute, exchange, professional or regulatory body in relation to its business(es) in Hong Kong or elsewhere. Disciplinary and Investigation History 14. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been disqualified, censured, or disciplined in any way by any association, institute, exchange, professional body, regulatory body or disciplinary tribunal established under any enactment in relation to its business(es) in Hong Kong or elsewhere. 15. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere. 16. State whether any judgment with a finding of fraud or dishonesty has been given against the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, in Hong Kong or elsewhere. 17. State whether there are any disciplinary actions or proceedings pending against the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, in relation to any trade, business or profession carried on by it or him in any place. 18. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been involved in the management or control of any business(es) in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty. 19. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been investigated by the police, or by any association, institute, professional or regulatory body, or by any disciplinary tribunal set up or inspector or officer appointed under any enactment, in relation to its business(es) in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings. 20. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, 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. Financial Status 21. State whether there have been any unsatisfied judgment debts, or any judgments or court orders for the payment of damages or other sums of money, made against the licence holder, or any of its directors/ substantial shareholders, in Hong Kong or elsewhere. 22. State whether the licence holder, or any of its directors/substantial shareholders, 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 its or his assets/business(es) in Hong Kong or elsewhere. 23. State whether a petition has been presented to the licence holder, or any of its directors/substantial shareholders, for winding up its or his business(es) in Hong Kong or elsewhere. 24. (a) State whether the licence holder, or any of its directors/substantial shareholders, has been a party to any civil litigation, other than as already disclosed above, whether as a plaintiff, defendant or otherwise in Hong Kong or elsewhere. (b) If there are such litigations, please provide the following details in respect of each litigation in Part D- N/A N/A N/A N/A (i) Name of plaintiff; (ii) Name of defendant; (iii) Name of third part (if any); (iv) Nature of litigation; (v) Name and place of court where the proceedings commenced; and (vi) Court reference, if any. Conviction 25. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been charged with or convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere. List of Representatives 26. Please provide an updated list of representatives of the licence holder showing their names, licence numbers and dates of commencement of employment. N/A N/A N/A N/A Continuous Professional Training ("CPT") 27. State whether the licence holder has implemented a training programme to meet the training needs of its licensed representatives (including responsible directors). N/A N/A 28. State whether the licence holder has evaluated its training programme at least once during the last calendar year. N/A N/A 29. State whether all of the licensed representatives of the licence holder have attained the required number of CPT hours during the last calendar year. N/A N/A 30. State whether the licence holder has maintained sufficient records as evidence of its training programme and the CPT activities undertaken by its licensed representatives. N/A N/A Note: The licence holder may be requested to produce the records for inspection. PART C : TO BE COMPLETED BY LICENSED REPRESENTATIVE Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars during the reporting period. 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 Personal Information 1. Name 2. Residential address 3. Home telephone number 4. Licensed leveraged foreign exchange trader to whom you are accredited 5. Business address / telephone number / fax number Directorship 6. State whether there has been any change in your directorship in other business(es). Licence and Registration 7. State whether you have been licensed, registered, authorized or permitted to engage in leveraged foreign exchange trading or deal in currency futures contracts in any place outside Hong Kong. 8. State whether you have been admitted or have ceased as a member of or refused, removed or suspended from membership of any association, institute, exchange, professional or regulatory body in relation to your business(es) in Hong Kong or elsewhere. Disciplinary and Investigation History 9. State whether you have been disqualified, censured, or disciplined in any way by any association, institute, exchange, professional body, regulatory body or disciplinary tribunal established under any enactment in relation to your business(es) in Hong Kong or elsewhere. 10. State whether you have been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere. 11. State whether any judgment with a finding of fraud or dishonesty has been given against you in Hong Kong or elsewhere. 12. State whether you are 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 you have 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. 14. State whether you have been investigated by the police, or by any association, institute, exchange, professional body or regulatory body, or by any disciplinary tribunal set up or inspector or officer appointed under any enactment, in relation to your business(es) in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings. 15. State whether you have 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. Financial Status 16. State whether there have been any unsatisfied judgment debts or any judgments or court orders in Hong Kong or elsewhere, against you requiring the payment of damages or other sums of money in relation to any trade or business carried on by you. 17. State whether you have 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 any of your assets / business(es) in Hong Kong or elsewhere. 18. State whether you have been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt. 19. State whether there has been any corporation (of which you were a director) which has been wound up other than by means of members' voluntary winding up. 20. State whether there has been any firm (of which you were a partner) which has been dissolved other than voluntarily with the consent of all the partners. 21. (a) State whether you have been a party to any civil litigation, other than as already disclosed above, whether as a plaintiff, defendant or otherwise in Hong Kong or elsewhere. (b) If there are such litigations, please provide the following details in respect of each litigation in Part D- N/A N/A N/A N/A (i) Name of plaintiff; (ii) Name of defendant; (iii) Name of third party (if any); (iv) Nature of litigation; (v) Name and place of court where the proceedings commenced; and (vi) Court reference, if any. Conviction 22. State whether you have been charged with or convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere. Continuous Professional Training ("CPT") 23. State whether you have attained the required number of CPT hours during the last calendar year. N/A N/A 24. State whether you have retained sufficient records of all your CPT activities undertaken during the last calendar year. N/A N/A Note: You may be requested to produce the records for inspection. 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.) PART ITEM NO. DETAILS (State details of the change and reasons for failure to notify the Commission.) PART E: OTHER CHANGES In the space below, please furnish details of any change in information, other than as already furnished above, previously given to the Commission in or in connection with your application for licence. (If the space provided is insufficient for your answer, please continue on a separate sheet of paper and sign and date each such sheet.) PART F: CONFIRMATION STATEMENT I / We* confirm that the foregoing answers are complete, true and correct to the best of my / our* knowledge and belief. I / We* understand that any misstatement or omission of a material fact may constitute misconduct under section 12(7) of the Ordinance and grounds for revocation or suspension of my / the corporation's* licence under section 12(4) of the Ordinance after the Commission has made an inquiry under section 12(1) of the Ordinance. _____________________ Signature** ____________________ Signature** _____________________ Name in Block Letters ____________________ Name in Block Letters _____________________ Date ____________________ Date * Delete whichever is inappropriate. ** In the case of licensed leveraged foreign exchange trader, this form should be signed by 2 directors, including the responsible director nominated under section 8(b)(ii) of the Ordinance. (Enacted 1994. L.N. 16 of 2002) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE VerDate:30/06/1997 [section 2] LEVERAGED FOREIGN EXCHANGE TRADING ORDINANCE (Cap 451) LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES (Cap 451 sub. leg.) Annual Return for the period from / / to / / WARNING: (1) The accuracy of any statement made in this annual return may be investigated. (2) Failure to make a return in accordance with the Rules may constitute grounds for revocation or suspension of licence under section 11(2)(b) of the Leveraged Foreign Exchange Trading Ordinance (the "Ordinance"). Failure to make a return within the time required by the Rules or furnishing inaccurate information in a return may constitute grounds for the Commission making an inquiry under section 12(1) of the Ordinance. NOTES: (1) Every licence holder under the Ordinance is required to make an annual return to the Commission on or before each successive anniversary of the date on which his licence was granted. (2) In Part B, "director" includes a "shadow director" as defined in section 2(1) of the Ordinance. (3) This form must be completed in block letters. (4) Where an item is not applicable, please write "N/A". PART A: DETAILS OF LICENCE HOLDER (Please tick the appropriate box.)  Licensed Leveraged Foreign Exchange Trader (Do not complete Part C.)  Representative (Do not complete Part B.) 1. Name in English: 2. Name in Chinese: (If applicable) 3. Hong Kong Identity Card number/Passport number: (If applicable) 4. Business address: 5. Business telephone number: 6. Business fax number: PART B: TO BE COMPLETED BY LICENSED LEVERAGED FOREIGN EXCHANGE TRADER Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars during the reporting period. 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 Basic Information 1. Name 2. Address(es)- (a) Business address(es) (b) Address(es) where the records and documents relating to the business are kept under section 21of the Ordinance 3. Telephone number / fax number 4. Auditor 5. Business bank accounts Business Activities 6. State whether there has been any change in the nature of business and types of services provided by the licence holder. Internal Control Systems 7. State whether there has been any material change in operating and internal control systems or procedures in the business which may affect compliance with the relevant legislation, subsidiary legislations or guidelines. Capital Structure 8. State whether there has been any change in the licence holder's capital structure (including nominal or issued share capital, debentures etc.). Directors and Shareholders 9. State whether there has been any change in the licence holder's directors or substantial shareholders (including but not limited to the licence holder's responsible director nominated under section 8(b)(ii) of the Ordinance). 10. State whether there has been any change in directors and/or substantial shareholders of the ultimate and/or immediate holding company of the licence holder. 11. State whether there has been any change in the control of the business of the licence holder other than caused by a change in directors or shareholders. Licence and Registration 12. State whether the licence holder, or any of its directors/substantial shareholders, has been licensed, registered, authorized or permitted to engage in leveraged foreign exchange trading or deal in currency futures contracts in any place outside Hong Kong. 13. State whether the licence holder, or any of its directors/substantial shareholders, has been admitted or has ceased as a member of or refused, removed or suspended from membership of any association, institute, exchange, professional or regulatory body in relation to its business(es) in Hong Kong or elsewhere. Disciplinary and Investigation History 14. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been disqualified, censured, or disciplined in any way by any association, institute, exchange, professional body, regulatory body or disciplinary tribunal established under any enactment in relation to its business(es) in Hong Kong or elsewhere. 15. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere. 16. State whether any judgment with a finding of fraud or dishonesty has been given against the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, in Hong Kong or elsewhere. 17. State whether there are any disciplinary actions or proceedings pending against the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, in relation to any trade, business or profession carried on by it or him in any place. 18. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been involved in the management or control of any business(es) in Hong Kong or elsewhere, which is being or has been investigated in relation to any offence involving fraud or dishonesty. 19. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been investigated by the police, or by any association, institute, professional or regulatory body, or by any disciplinary tribunal set up or inspector or officer appointed under any enactment, in relation to its business(es) in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings. 20. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, 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. Financial Status 21. State whether there have been any unsatisfied judgment debts, or any judgments or court orders for the payment of damages or other sums of money, made against the licence holder, or any of its directors/ substantial shareholders, in Hong Kong or elsewhere. 22. State whether the licence holder, or any of its directors/substantial shareholders, 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 its or his assets/business(es) in Hong Kong or elsewhere. 23. State whether a petition has been presented to the licence holder, or any of its directors/substantial shareholders, for winding up its or his business(es) in Hong Kong or elsewhere. 24. (a) State whether the licence holder, or any of its directors/substantial shareholders, has been a party to any civil litigation, other than as already disclosed above, whether as a plaintiff, defendant or otherwise in Hong Kong or elsewhere. (b) If there are such litigations, please provide the following details in respect of each litigation in Part D- N/A N/A N/A N/A (i) Name of plaintiff; (ii) Name of defendant; (iii) Name of third part (if any); (iv) Nature of litigation; (v) Name and place of court where the proceedings commenced; and (vi) Court reference, if any. Conviction 25. State whether the licence holder, or any of its directors/substantial shareholders or other persons concerned in the management of the licence holder, has been charged with or convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere. List of Representatives 26. Please provide an updated list of representatives of the licence holder showing their names, licence numbers and dates of commencement of employment. N/A N/A N/A N/A PART C : TO BE COMPLETED BY LICENSED REPRESENTATIVE Please indicate by ticking the appropriate column, whether there have been any changes in the following particulars during the reporting period. 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 Personal Information 1. Name 2. Residential address 3. Home telephone number 4. Licensed leveraged foreign exchange trader to whom you are accredited 5. Business address / telephone number / fax number Directorship 6. State whether there has been any change in your directorship in other business(es). Licence and Registration 7. State whether you have been licensed, registered, authorized or permitted to engage in leveraged foreign exchange trading or deal in currency futures contracts in any place outside Hong Kong. 8. State whether you have been admitted or have ceased as a member of or refused, removed or suspended from membership of any association, institute, exchange, professional or regulatory body in relation to your business(es) in Hong Kong or elsewhere. Disciplinary and Investigation History 9. State whether you have been disqualified, censured, or disciplined in any way by any association, institute, exchange, professional body, regulatory body or disciplinary tribunal established under any enactment in relation to your business(es) in Hong Kong or elsewhere. 10. State whether you have been refused the right or restricted in the right to carry on any trade, business or profession in Hong Kong or elsewhere. 11. State whether any judgment with a finding of fraud or dishonesty has been given against you in Hong Kong or elsewhere. 12. State whether you are 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 you have 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. 14. State whether you have been investigated by the police, or by any association, institute, exchange, professional body or regulatory body, or by any disciplinary tribunal set up or inspector or officer appointed under any enactment, in relation to your business(es) in Hong Kong or elsewhere, except those conducted in the course of normal monitoring and surveillance with no adverse findings. 15. State whether you have 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. Financial Status 16. State whether there have been any unsatisfied judgment debts or any judgments or court orders in Hong Kong or elsewhere, against you requiring the payment of damages or other sums of money in relation to any trade or business carried on by you. 17. State whether you have 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 any of your assets / business(es) in Hong Kong or elsewhere. 18. State whether you have been subject to a bankruptcy petition in Hong Kong or elsewhere whether or not resulting in being adjudicated bankrupt. 19. State whether there has been any corporation (of which you were a director) which has been wound up other than by means of members' voluntary winding up. 20. State whether there has been any firm (of which you were a partner) which has been dissolved other than voluntarily with the consent of all the partners. 21. (a) State whether you have been a party to any civil litigation, other than as already disclosed above, whether as a plaintiff, defendant or otherwise in Hong Kong or elsewhere. (b) If there are such litigations, please provide the following details in respect of each litigation in Part D- N/A N/A N/A N/A (i) Name of plaintiff; (ii) Name of defendant; (iii) Name of third party (if any); (iv) Nature of litigation; (v) Name and place of court where the proceedings commenced; and (vi) Court reference, if any. Conviction 22. State whether you have been charged with or convicted of any offence, other than a traffic offence, in Hong Kong or elsewhere. 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.) PART ITEM NO. DETAILS (State details of the change and reasons for failure to notify the Commission.) PART E: OTHER CHANGES In the space below, please furnish details of any change in information, other than as already furnished above, previously given to the Commission in or in connection with your application for licence. (If the space provided is insufficient for your answer, please continue on a separate sheet of paper and sign and date each such sheet.) PART F: CONFIRMATION STATEMENT I / We* confirm that the foregoing answers are complete, true and correct to the best of my / our* knowledge and belief. I / We* understand that any misstatement or omission of a material fact may constitute misconduct under section 12(7) of the Ordinance and grounds for revocation or suspension of my / the corporation's* licence under section 12(4) of the Ordinance after the Commission has made an inquiry under section 12(1) of the Ordinance. _____________________ Signature** _____________________ Signature** _____________________ Name in Block Letters _____________________ Name in Block Letters _____________________ Date _____________________ Date * Delete whichever is inappropriate. ** In the case of licensed leveraged foreign exchange trader, this form should be signed by 2 directors, including the responsible director nominated under section 8(b)(ii) of the Ordinance. (Enacted 1994)