unlistedstructuredinvestmentproducts.docVIP

Unlisted Structured Investment Products Checklist for Contents Requirement in Offering Documents Instructions for completing this checklist This is a checklist that sets out the contents requirement in support of an application to the Securities and Futures Commission (“Commission”) under section 105 of the Securities and Futures Ordinance (Cap. 571) (“SFO”), for the Commission to authorize the issue of offering document(s) in respect of unlisted structured investment products. This checklist should not be considered as an exhaustive list of the information requested by the Commission. All information that is deemed material and relevant to the application should also be submitted in addition to this checklist. When completing this checklist, please note the following: each relevant requirement in this checklist should be referenced to the page number in the offering document where the requirement is complied with; if more space is required for comments, you may attach a separate sheet of paper to supplement this checklist and cross-reference all such comments to the appropriate requirement when necessary; and where your answer to an item on this checklist is “No” or “Not Applicable” (“N/A”), the reason(s) for such response should be disclosed clearly in the “Remarks/Explanations” column and, if necessary, on a separate page cross-referenced to this checklist. The Commission reserves the right to return, without processing, an incomplete application to the extent this checklist are not properly or fully completed, and/or where negative responses in this checklist are not properly explained. Please note that all documents submitted to the Commission should be in good order and suitable for clearance. The Commission reserves the right to reject draft documents that are not in good order and suitable for clearance. This checklist is a standard form document. Unless otherwise specified, when completing this checklist please do not make any d