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.
Revised version – June 2004
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.
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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.
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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.
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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.
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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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