Service Description

Internal Audit - the business activities of a Fund Management Company ["FMC"] is subject to adequate internal audit. Independent Annual Audits - An FMC shall meet the annual audit requirements. The FMC is to appoint auditor. Periodic Returns - An FMC shall submit periodic regulatory returns in relation to its fund management activities: Licensed FMCs ["LFMCs"] (Retail & A/I (qualified investors)）shall submit Auditor's Report (for a Holder of a CMS Licence), Auditor's Certification (for a Holder of a CMS Licence) and Audited financial statements (balance sheet and profit and loss statement) annually within 5 months of financial year end. Registered FMCs ["RFMCs"] shall submit SF(LCB)R Form 25B - Auditors Report for RFMCs and Audited financial statements (balance sheet and profit and loss statement) annually within 5 months of financial year end.