Compliance Disclosures

01

Risk Disclosure

The Company is a Hong Kong SFC licensed corporation holding Type 1 (dealing in securities), Type 4 (advising on securities) and Type 9 (asset management) licences.

Key Reminder

Investments involve risk. Investment value may rise or fall, past performance is not indicative of future results, and investors may not recover the full principal amount.

Main Investment Risks

• Market risk: asset values may fluctuate due to economic, political and interest-rate factors
• Liquidity risk: some investments may not be sold promptly at reasonable prices
• Credit risk: issuers may fail to meet payment obligations
• Currency risk: foreign-currency investments are affected by exchange-rate movements
• Derivative risk: leverage, counterparty and valuation risks may apply

02

Disclaimer

All content on this website is for reference only and does not constitute investment, financial, legal or tax advice, nor an offer or recommendation to buy or sell financial products.

The Company uses reasonable efforts to ensure accuracy but does not guarantee completeness, timeliness or reliability.

03

Privacy Policy

The Company complies with Hong Kong’s Personal Data (Privacy) Ordinance (Cap. 486).

Your Rights

You may request access, correction or deletion of personal data, or withdraw consent. Please contact the data protection officer for such requests.

• Address: Room 1701, 17/F, Wing On Centre, 111 Connaught Road Central, Sheung Wan, Hong Kong
• Mobile: +852 5128 3696
• Landline: +852 2786 3010
• Email: [email protected]

04

AML/CFT Statement

The Company follows applicable Hong Kong laws and SFC guidance, including client identification, due diligence and transaction monitoring.

05

Client Asset Protection

The Company follows SFC requirements and adopts asset segregation, independent custody and periodic audit measures.

06

Professional Investor Definition

Certain products are available only to professional investors under Hong Kong SFC rules, subject to supporting documentation.

07

Conflicts Disclosure

The Company maintains conflict management measures including information barriers, staff declarations and related-party transaction review.

08

Fees

Fees depend on service type and client circumstances and are subject to the service agreement.

09

Investor Notes

• Licence search: clients may verify the Company’s licence information through the Hong Kong SFC public register (CE No. BSG906)
• The Company will conduct suitability assessments before providing services
• Clients are responsible for their own investment decisions