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Advertisement code
- 1 Cannot be false and misleading
- 2 Balanced with risk disclosure
- 3 Consistent (Chinese and English)
- 4 Awards and rankings – source and dated; Peer comparisons – one source and clear description
- 5 No forecast excepted stable return
- 6 years (or since inception), 12 months
- 7 Warning: risk, not indicative, offering document, advertisement not reviewed
- 8 Full name of issuer
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Self intro
- education background - HKUST, account and finance
- work - have been working as auditor at KPMG for the 5th year
- - client mainly banking clients, e.g. HSBC, BEA (local bank), Orix (Japanese bank)
- - securities clients and funds, e.g shenwan
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Strong points
- - problem solving skill: can resolve problems independently and present them to my manage and senior manager in a clear and simple manner
- - detail minded: currently I have to review some of the wp submitted by juniors, so having a detail mind is quite an important trait
- - writing skills: a big part of audit is in essence a documentation of our work done to ensure the financial statements are free from misstatements, so i have to write up a lot of memo since 4 years ago when i started working at KPMG, so i'd say im pretty good at writing analysis fo easy presentation
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SFC approval exemption
esp. target professional investor
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the role
- structure of the fund acceptable
- the fund’s investment nature and compliance with the relevant requirements of the UT Code
- the disclosure quality of the fund’s offering document
- the fund’s compliance with the UT Code’s post-authorization obligations, e.g.notice period for fee increases, pricing errors, etc
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