Company: GRAN
Filing Date: 2025-07-01
Form Type: 424B4
Source: 0001213900-25-060039
Chunk: 148

Company: Grande Group Ltd/HK
Filing Date: 2025-07-01
Form: 424B4
Chunk 148
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 and transparent legal systems, Hong Kong capital market will continue to be benefited by the influx of larger amount of capitals from China. The proliferation and increasing internationalization of the PRC stock market have also been attracting increasing attention of and investment from overseas investors into China. Meanwhile, due to the continuous adjustment of deposit interest rate, PRC investors will tend to seek for investment opportunities with higher returns, and therefore the demand for investment in Hong Kong capital market from PRC investors is expected to increase in the future, which will also drive the growth of Hong Kong capital market serving as a bridge between the PRC and overseas markets. Overview of the Regulated Corporate Finance Market in Hong Kong The corporate finance business in Hong Kong is mainly operated by Licensed Corporations (LCs) and Registered Institutions (RIs), and mainly consists of advising on corporate finance. Schedule 5 to the SFO stipulates 10 types of regulated activities

| Type 1:  |     | Dealing in securities                |
| Type 2:  |     | Dealing in futures contracts         |
| Type 3:  |     | Leveraged foreign exchange trading   |
| Type 4:  |     | Advising on securities               |
| Type 5:  |     | Advising on futures contracts        |
| Type 6:  |     | Advising on corporate finance        |
| Type 7:  |     | Providing automated trading services |
| Type 8:  |     | Securities margin financing          |
| Type 9:  |     | Asset management                     |
| Type 10: |     | Providing credit rating services     |

The Company carried on and is licensed for Type 6 of the above regulated activities. The foregoing licenses of the Company have no expiry date and remain in force until suspended or revoked, subject to certain continuing obligations, such as payment of annual fee and submission of annual return. Save for advising on corporate finance, it also engages in sponsors and underwriting for IPOs.

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The Company provides securities dealing brokerage services through Grande Capital Limited, which is licensed to carry on Type 6 (advising on corporate finance) regulated activity license is needed for equity capital market activities and underwriting activities in Hong Kong regulated activity under the SFO. Set out below is the number of LCs, RIs, Responsible/Approved Officers and Licensed Representatives for Type 6 (dealing in securities) regulated activity under the SFO as at the respective year/period end date from 2017 to