SFC IP

  1. 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
  2. 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
  3. 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
  4. Questions
    team culture
  5. SFC approval exemption
    esp. target professional investor
  6. 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
Author
yhliuaa
ID
354177
Card Set
SFC IP
Description
SFC IP
Updated