Company: GRAN
Filing Date: 2025-04-09
Form Type: F-1/A
Source: 0001213900-25-030179
Chunk: 170

Company: Grande Group Ltd/HK
Filing Date: 2025-04-09
Form: F-1/A
Chunk 170
---
 particular, due to the licensing requirements of the HKSFC, Grande Capital, our Operating Subsidiary, is required to obtain necessary licenses to conduct its business in Hong Kong and its business and responsible personnel are subject to the relevant laws and regulations and the respective rules of the HKSFC. 99

As of the date of this prospectus, Grande Capital is currently licensed under the SFO to carry on Type 1 (dealing in securities) regulated activities in Hong Kong and Type 6 (advising on corporate finance) regulated activities in Hong Kong. See “Regulations — Licensing regime under the SFO.” These licenses have no expiry date and will remain valid unless they are suspended, revoked or cancelled by the HKSFC. We are subject to continuing regulatory obligations and requirements. See “Regulations — Licensing requirements.” The following table summarizes the licenses and permissions held by Grande Capital under the SFO, and the restrictions to such licenses and permission.

| License/Permit                                 |     | Issuing   
 Authority |     | Issuance Date    |     | Term               |     | Restrictions and Licensing Conditions                                                                  |
| Type 1 license (dealing in securities)         |     | HKSFC     |     | August 1, 2022   |     | No expiration date |     | The licensee shall not engage in dealing activities other than those relating to corporate finance.(1) 
 The licensee shall not hold client assets.(2)                                                          |
| Type 6 license (advising on corporate finance) |     | HKSFC     |     | January 23, 2018 |     | No expiration date |     | The licensee shall not hold client assets.(2)                                                          |

____________ (1)Under this restriction, Grande Capital is not permitted to engage in the brokerage, trading, or dealing in securities on behalf of its clients unless such activity relates to its corporate finance engagements. An example of a permissible activity under Type 1 (dealing in securities) license Grande Capital has is where Grande Capital acts as an underwriter/overall coordinator in an initial public offering on the HKSE for which it also serves as the sponsor under the “Sponsor Coupling” requirement by the HKSE. In such cases, the underwriting activities are directly related to Grande Capital’s corporate finance engagements and are conducted in compliance with its licensing conditions. (2)Under this restriction, Grande Capital is prohibited from (i) establishing or maintaining accounts that would involve holding or controlling client funds or securities