Company: GRAN
Filing Date: 2025-07-01
Form Type: 424B4
Source: 0001213900-25-060039
Chunk: 30

Company: Grande Group Ltd/HK
Filing Date: 2025-07-01
Form: 424B4
Chunk 30
---
 Capital currently holds a Type 1 license (dealing in securities) and a Type 6 license (advising on corporate finance). These licenses have no expiration date and will remain valid unless they are suspended, revoked, or cancelled by the HKSFC. Grande Capital pays standard annual fees to the HKSFC and are subject to continuing regulatory obligations and requirements, including the maintenance of minimum paid -upshare capital and liquid capital, maintenance of segregated accounts, and submission of audited accounts and other required documents, among others. See “Regulation — Licensing and Registration under the SFO Administered by the HKSFC” on page 101. 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; and (ii) accepting, managing, or safeguarding any money or securities on behalf of clients.

11 As advised by our Hong Kong counsels, Loong & Ye