Procedures for Subscription of Shares by Professional Investors

(a) Client who wish to subscribe for fund shares should read the Fund Fact Sheet, review the fund information on our website, or contact our Client Services Department.
(b) If a client decided to proceed with the subscription, the following documents must be submitted for our review so that our Hong Kong SFC-licensed representative can prepare the account opening documents and meet the client on the account opening date and witness the signing of documents:
Individual Professional Investor
(1) Proof of identity (front and back of national identity card and passport photo page)
(2) Proof of residential address issued within three months (e.g., bank statement or utility bill for water, electricity, gas or telephone)
(3) Proof of assets: a statement of account or a certificate issued by a custodian within 12 months showing a portfolio of not less than HK$8 million or its equivalent
(4) Proof of income (if applicable)
(5) Details of a Hong Kong bank account to be used for subscription and redemption
Institutional Professional Investor
(1) Extract of board resolution approving the proposed subscription
(2) Certificate of incorporation
(3) Business registration certificate
(4) Articles of association / memorandum and articles of association
(5) Annual return
(6) Register of directors
(7) Organisational chart
(8) Identity documents of ultimate beneficial owners who are directors/shareholders (if applicable)
(9) Proof of residential address of ultimate beneficial owners who are directors/shareholders (if applicable)
(10) Copy of audited financial statements for the last 16 months; and a statement of account or a certificate issued by a custodian within 12 months showing total assets of not less than HK$40 million or its equivalent
To ensure timely processing of subscription application, client must follow the cut-off timelines:
* Subscription documents: must be received at least fourteen (14) calendar days before the subscription date.
* Subscription monies: must be credited to our bank account no later than seven (7) calendar days prior to the subscription date. If either the documentation or the funds is not received by the respective timeline, the application will automatically be deferred to the next subscription date (i.e. the first business day of each calendar month, and on the first business day falling on or immediately after the 15th day of each calendar month).
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