Company: GRAN
Filing Date: 2025-07-01
Form Type: 424B4
Source: 0001213900-25-060039
Chunk: 163

Company: Grande Group Ltd/HK
Filing Date: 2025-07-01
Form: 424B4
Chunk 163
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 for the type of services provided by us or our Operating Subsidiary, and no permissions, license, and consents are required from the PRC authorities to solicit or acquire clients in the PRC, since: (1) we and our Operating Subsidiary have no physical presence or operation in the Mainland China, and we and our Operating Subsidiary do not directly or indirectly, own or control any entity or subsidiary in Mainland China; (2) we and our Operating Subsidiary do not advertise and market to the general public or the retail investors of Mainland China, and the business and operation of the Operating Subsidiary do not involve holding or controlling of client’s asset and the maintenance or operation of client accounts that would involve holding, transferring or controlling client funds or assets; and (3) the Operating Subsidiary is a licensed corporation under the SFO that provide professional and advisory services for PRC domestic companies seeking to access the Hong Kong and overseas capital market to raise funds, exclusively in relation to the corporate finance regulatory and legal regime of Hong Kong. Furthermore, as further confirmed by our Hong Kong counsels, Loong & Yeung and David Fong & Co., our sales and marketing activities of our Operating Subsidiary in Mainland China are also in compliant with the relevant regulations, laws, guideline and code of conducts applicable to the regulated activities of our Operating Subsidiary under the SFO. Licenses and Regulations The financial services market in Hong Kong is highly regulated. The principal business and the responsible personnel of the Operating Subsidiary are subject to a number of legislations and regulations and the respective rules of the HKSFC and the HKSE. In 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. 98

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