Company: GRAN
Filing Date: 2025-07-31
Form Type: 20-F
Source: 0001213900-25-069627
Chunk: 101

Company: Grande Group Ltd/HK
Filing Date: 2025-07-31
Form: 20-F
Item: Item 4
Chunk 101
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 a criminal offence for a person to provide services to another person where the first-mentioned person believes  
            or suspects, on reasonable grounds, that the services will or may assist the development, production, acquisition or stockpiling of weapons   
            of mass destruction. The provision of services for the purposes of the WMDO covers a wide range of activities. The WMDO also provides         
            for the criminal liability of the director, manager, secretary or other similar officer of a body corporate for offences committed by         
            the body corporate with the consent and connivance of such officials.                                                                         
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Further,
the Anti-Money Laundering Guideline sets out the anti-money laundering and counter-financing of terrorism statutory and regulatory requirements,
and the anti-money laundering and counter-financing of terrorism standards which licensed corporations should meet in order to comply
with the statutory requirements. It also provides practical guidance to assist licensed corporations and their senior management in designing
and implementing their own anti-money laundering and counter-terrorist financing policies, procedures and controls in order to meet the
relevant legal and regulatory requirements in Hong Kong.

Employee
Dealings

As
mentioned in the Code of Conduct, a licensed or registered person should have a policy which has been communicated to employees (including
directors other than non-executive directors) in writing on whether employees are permitted to deal or trade for their own accounts in
securities, futures contracts or leveraged foreign exchange contracts. In the event that employees of a licensed or registered person
are permitted to deal or trade for their own accounts in securities, futures contracts or leveraged foreign exchange contracts:

  the                                                                                               
  written policy should specify the conditions on which employees may deal for their own accounts;  
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  employees                                                                                                                                 

  employees                                                                                          

  if                                                                                                                                       

  any                                                                                                                               

  transactions                                                                                                                                

A
licensed or registered person should not knowingly deal in securities for another licensed or registered person’s employee unless
it has received written consent from that licensed or registered person.

Supervision
By the HKSFC

The
HKSFC supervises licensed corporations and intermediaries operating in the market. The HKSFC conducts on-site inspections and off-site
monitoring to ascertain and supervise intermediaries’ business conduct and compliance with relevant regulatory requirements, as
well as to assess and monitor the