Company: GRAN
Filing Date: 2025-07-31
Form Type: 20-F
Source: 0001213900-25-069627
Chunk: 95

Company: Grande Group Ltd/HK
Filing Date: 2025-07-31
Form: 20-F
Item: Item 4
Chunk 95
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:

  the                        

  the               

  Management,                                                                                        

  the                         

  the                                                                                                      
  Corporate Finance Adviser Code of Conduct published by the HKSFC in October 2013 (the “ CFA Code”); and  
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  the                                                                    
  Fund Manager Code of Conduct published by the HKSFC in November 2018.  
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Responsible
Officer

A
person who intends to apply to be a Responsible Officer must demonstrate that he/she fulfils the requirements on both competence and
sufficient authority. An applicant should possess appropriate ability, skills, knowledge and experience to properly manage and supervise
the corporation’s regulated activity(ies). Accordingly, the applicant has to fulfil certain requirements on academic or professional
qualifications, industry experience, management experience and regulatory knowledge as stipulated by the HKSFC.

If
a Responsible Officer intends to conduct regulated activities in relation to matters falling within the ambit of a particular code issued
by the HKSFC, he/she might be subject to additional requirements. For instance, in order to be eligible to undertake activities in connection
with matters regulated by the HK Takeovers Codes, the licensed corporation is required to be licensed for Type 6 regulated activity and
meet additional competence requirements specific to undertaking activities in connection with matters regulated by HK Takeovers Codes.

Sponsors
and Compliance Advisers

A
sponsor is a licensed corporation or registered institution licensed or registered under the SFO for Type 6 (advising on corporate finance)
regulated activity and permitted under its license or certificate of registration to undertake work as a sponsor appointed to act as
a sponsor in respect of an application for the listing of any securities on a recognized stock market under the HK Listing Rules.

Under
the sponsor regime established in January 2007, in order to act as a sponsor, apart from holding a Type 6 (advising on corporate
finance) license, an application for sponsor license should be submitted to the HKSFC to demonstrate that it can meet the eligibility
criteria pursuant to the Sponsor Guidelines. In considering the sponsor license application, the HKSFC will take into account the competency
of the firm to act as a sponsor, based on the criteria set out in the Sponsor Guidelines, and will also consider more generally the firm’s
fitness and properness as a corporate finance advisory firm under the Fit and