Company: GRAN
Filing Date: 2025-07-01
Form Type: 424B4
Source: 0001213900-25-060039
Chunk: 171

Company: Grande Group Ltd/HK
Filing Date: 2025-07-01
Form: 424B4
Chunk 171
---
; •to deal with the regulators in a truthful, cooperative and prompt manner; •to maintain proper books and records that are sufficient to demonstrate its compliance with the Code of Conduct; •to maintain sufficient resources and effective systems and controls for proper implementation and adequate management oversight of the sponsor work; •to act as the overall manager of a public offer to ensure that the public offer is conducted in a fair and orderly manner; and •to take reasonable steps to ensure analysts do not receive material information not disclosed in the listing document. A compliance adviser 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, which is appointed to act as a compliance adviser under the HK Listing Rules. The HK Listing Rules require an issuer to appoint a compliance adviser during an initial period after being admitted to listing and the main role of a compliance adviser is to ensure that the listed company is properly guided and advised as to compliance with the HK Listing Rules and all other applicable rules, laws, codes and guidelines. Only licensed corporation or registered institution eligible to act as sponsors are eligible to act as compliance advisers. Key ongoing obligations Remaining fit and proper Licensed corporations, Licensed Representatives, Responsible Officers and registered institutions must remain fit and proper as defined under the SFO at all times. They are required to comply with all applicable provisions of the SFO and its subsidiary legislations as well as the codes and guidelines issued by the HKSFC. 104

Minimum capital requirements Section 145 of the SFO provides that depending on the types of regulated activity a licensed corporation conducts, a licensed corporation is required to maintain at all times paid -upshare capital and liquid capital not less than the specified amounts in the FRR. The following table summarizes the minimum paid -upcapital and liquid capital that a licensed corporation is required to maintain for Type 1 (dealing in securities) and Type 6 (advising on corporate finance) regulated activities:

|                                                                                                                                          |     |       Minimum 
       paid-up 
 share capital 
         (HK$) |     |        Minimum 
 liquid capital 
          (HK$) |
| Regulated activity                                                                                                                       |     |               |     |                |
| Type 1 (dealing in securities)                                                                                                           |     |               |     |                |
| (a) in the case where the corporation is an approved introducing agent or a trader                                                       |     |           N/A |