Investor Presentaiton

4.6 Key operators - Investment manager Eligibility: - - Must be registered or licensed for Type 9 (asset management) regulated activity Must be and remain fit and proper, at and after the registration of the OFC The investment manager is expected to: - Have sufficient experience, expertise and competence in managing the asset types in which the OFC will invest Carry out investment management functions of the OFC in accordance with the instrument of incorporation and investment management agreement Fulfill the duties and functions in compliance with applicable laws and regulations (including the Fund Manager Code of Conduct the Code of Conduct for Persons Licensed by or Registered with the SFC, the Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission, the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations) and the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Authorized Institutions)) Documents to support the appointment application: Information in relation to the applicant having registered or licensed for Type 9 (asset management) regulated activity Information in relation to the applicant who is in the process of applying for a registration or licence for Type 9 (asset management) regulated activity, for example when the application is made SFC 證監會 15

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