Company: GRAN
Filing Date: 2025-03-14
Form Type: F-1/A
Source: 0001213900-25-023979
Chunk: 182

Company: Grande Group Ltd/HK
Filing Date: 2025-03-14
Form: F-1/A
Chunk 182
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 service investors directly. These services comprise trading, clearing and settlement, depository and nominee services, and information services. Compliance with the Relevant Requirements We confirmed that we and our Operating Subsidiary have obtained all relevant licenses and certificates for our existing operations in Hong Kong and that we complied with all applicable laws, regulations, rules, codes and guidelines in Hong Kong in connection with our business and operations in all material respects during the six months ended September30, 2024 and the year ended March 31, 2024 and 2023. Registration / Filing Requirements and the Regulatory Regime under the Trial Administrative Measures In addition to various laws and regulations in Hong Kong that operations of our Operating Subsidiary are subject to, our Operating Subsidiary may be subject to regulatory oversight by the CSRC, as a portion of our existing clients and potential clients are companies located in Mainland China, who are listing applicants for IPO on the HKSE or public companies listed on the HKSE (For the fiscal year ended March 31, 2024, we had 16, 6 and 4 clients from Hong Kong, Mainland China, and Singapore, respectively, and the nine months ended December 31, 2024, we had 16, 6 and 4 clients from Hong Kong, Mainland China, and Singapore, respectively). Since the Mainland China companies who engaged our Operating Subsidiary as listing sponsor for their overseas listing could be subject to Trial Administrative Measures of the PRC, given they may be the “PRC domestic companies” within the definition of the Trial Administrative Measures, as stipulated and required by the Trial Administrative Measures, as the condition for the “overseas securities companies” outside of Mainland China, such as our Operating Subsidiary, to engage the PRC domestic companies as client to act as their listing sponsors (i.e. in our case, to conduct Type 6 (advising on corporate finance activities) and Type 1 (dealing in securities) activities in Hong Kong) for their overseas listings outside of Mainland China, the overseas securities companies, such as our Operating Subsidiary, shall be subject to the filing/reporting, verification and supervisory obligations to the CSRC regarding the overseas listing projects of the PRC domestic companies engaged, including: (1) filing and registering with CSRC as sponsors or underwriters who are being engaged by PRC domestic companies for their overseas listing, and submitting report to 110 the CS