Supplementary Questionnaire

SUPPLEMENTARY QUESTIONNAIRE

FOR

INSTITUTIONAL CONTROLLER

OF COMPANY APPLYING TO BECOME

APPROVED MONEY BROKER

UNDER SECTION 118A OF THE BANKING ORDINANCE

PART ONE: NOTES

1.This questionnaire is to be used by institutional controller only. Individual controllers should use the questionnaire named “QUESTIONNAIRE FOR CHIEF EXECUTIVE/ ALTERNATE CHIEF EXECUTIVE/ DIRECTOR/ CONTROLLER OF COMPANY APPLYING TO BECOME APPROVED MONEY BROKER UNDER SECTION 118A OF THE BANKING ORDINANCE”.

2.If there is insufficient space to complete your answer to any question, please continue on a separate sheet, specifying the question to which the sheet relates and adding your signature.

3.Please remember to sign the Declaration in Part Three of this questionnaire.

4.In this questionnaire:

(i)Director includes any person who occupies the position of director, whatever the title of his office.

(ii)“Controller”, in relation to a company means any person who is─

(a) a minority shareholder controller;

(b) a majority shareholder controller; or

(c) an indirect controller, of the company.

“indirect controller” means any person in accordance with whose directions or instructions the directors of the company or of another company of which it is a subsidiary are accustomed to act:

provided that person shall not be deemed to be a person in accordance with whose directions or instructions the directors of a company are accustomed to act by reason only that the directors of the company act on advice given by him in his professional capacity;

“majority shareholder controller” means any person who, either alone or with associate or associates, is entitled to exercise, or control the exercise of, more than 50% of the voting power at any general meeting of the company or of another company of which it is a subsidiary;

“minority shareholder controller” means any person who, either alone or with any associate of associates, is entitled to exercise, or control the exercise of, 10% or more but not more than 50% of the voting power at any general meeting of the company of which it is a subsidiary.

PART TWO: QUESTIONNAIRE

1.Name of the company which is applying to become an approved money broker (“money broker”).

2.Please state your company’s capacity in the above company.

3.Particulars of your company:

Name of your company:
Name in Chinese (if any):
Any former name(s) under which your company has been registered or traded:
Country of Incorporation or formation:
Date of incorporation or formation:
Registered office:
Principal place of business:
Principal activities:

4.In how many shares in the money broker is your company beneficially interested?

5.What proportion of the voting power at any general meeting of the money broker is your company, whether alone or in concert with any associate or associates, entitled to exercise or control the exercise of?

6.Names and positions of all directors of your company. For executive directors and chief executive, their nationality, academic and professional qualifications, and occupation or employment in the last five years.

7.Names of all controllers (by reference to Note 4) of your company.

8.Of what bodies corporate is your company now a controller?

9.Has your company ever been censured, prosecuted, warned as to future conduct, disciplined or publicly criticised by, or made the subject of an investigation or a court order at the instigation of any regulatory authority in Hong Kong or elsewhere? If so, give particulars.

10.Has your company been a controller of any company or any financial institution which has been wound up by a court or whose licence has been suspended or revoked while your company was associated with it or within one year after your company ceased to be associated with it? If so, give particulars.

11.Does your company or any company in the same group hold or has held any licence or equivalent authorization from a government department or agency to carry on any business in Hong Kong? If so, give particulars. If any such authority was revoked, give particulars.

12.Has your company or any company in the same group ever been refused entry in Hong Kong or elsewhere to any professional body or trade association concerned with banking or financial activities? If so, give particulars.

13.Has your company or any company in the same group been engaged, or is presently engaged, or does it expect to be engaged, in Hong Kong or elsewhere in any litigation which may have material effect on the resources of your company?

14.Has your company within the last 5 years failed to satisfy a judgement debt under a court order in Hong Kong or elsewhere within a year of the making of the order? If so, give particulars.

15.Has your company made any compromise or arrangement with its creditors within the last 5 years or otherwise failed to satisfy creditors in full? If so, give particulars.

16.Has a receiver or an administrative receiver of any property of your company been appointed in Hong Kong or elsewhere in the last 5 years? If so, give particulars, indicating whether the receiver is still acting under the appointment.

17.Has a petition been served in Hong Kong or elsewhere for an administrative order in relation to your company in the last 5 years? If so, give particulars.

18.Has a notice of resolution for the voluntary liquidation of your company been given in Hong Kong or elsewhere in the last 5 years? If so, give particulars.

19.Has a petition been served in Hong Kong or elsewhere for the compulsory liquidation of your company in the last 5 years? If so, give particulars.

20.Is an inspector or other authorised officer of any government department or agency, professional body or other regulatory body appointed under any Hong Kong or overseas law investigating, or has such an investigation ever previously taken place into, the affairs of your company?

21.Is your company or any company in the same group engaged, or does it expect to be engaged, in any transactions or arrangements with the money broker? If so, give particulars.

22.Is any business of your company or any company in the same group guaranteed or otherwise underwritten or secured, or expected to be guaranteed or underwritten or secured, by the money broker? If so, give particulars.

23.Financial data of your company for the last 3 years:

Shareholders’ funds______

Profit/ (loss) after tax______

Total assets______

(net of contra item)

24.Please provide audited accounts for your company (and where appropriate, audited group accounts for your company’s group) for last three years (if available). In addition, please provide copies of the constitutional documents of your company.

25.Please provide any other information which may assist the Monetary Authority in determining the fitness and propriety of your company as a controller of the money broker.

PART THREE: DECLARATION

1.I certify that the information given in answer to the questions above is complete and accurate to the best of my knowledge, information and belief and that there are no other facts relevant to this questionnaire of which the Monetary Authority should be aware.

2.I undertake to notify the Monetary Authority of any material changes to, or affecting the completeness or accuracy of, the answers to the questions above as soon as possible.

Name:______Position held:______

(in block letters)

Signed:______Date:______

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