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Supplement 3 Statement of Personal Information Name of individualAssociated corporationSection 1: Personal information Name Full name in English SurnameFirstMiddleFull name in Chinese commercial code
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How to fill out securitiesampampfuturescommission

01
Obtain the necessary forms and documents. These can usually be found on the website of the securities and futures commission.
02
Fill out the personal information section, including your name, address, and contact details.
03
Provide information about your financial background, such as your current employment and income.
04
Indicate which securities and futures activities you intend to engage in and provide any relevant supporting documentation.
05
Fill out any additional sections or disclosures required by the commission.
06
Review the completed form for accuracy and completeness.
07
Submit the filled-out form and any required documents to the securities and futures commission either online or through mail.
08
Wait for a response from the commission regarding the status of your application.

Who needs securitiesampampfuturescommission?

01
Individuals or companies who wish to engage in securities and futures activities in a particular jurisdiction usually need to register with the local securities and futures commission.
02
This includes financial institutions, brokers, traders, investment advisors, and other market participants.
03
Registration is typically required to ensure that market activities are conducted in a transparent and regulated manner, protecting investors and maintaining market integrity.
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The Securities and Futures Commission (SFC) is a regulatory authority responsible for the supervision and regulation of the securities and futures markets to maintain fair, transparent, and efficient financial markets and protect investors in that jurisdiction.
Entities that deal in securities or futures contracts, including brokers, investment advisors, and asset managers, are required to file with the Securities and Futures Commission.
Filing generally involves completing specific forms designated by the SFC, providing necessary financial data, details of investment activities, compliance reports, and any other information as requested.
The primary purpose of the Securities and Futures Commission is to protect investors, maintain fair and efficient markets, provide supervision of the securities and futures industry, and enforce compliance with financial regulations.
Reports typically require disclosure of financial statements, details of trading activities, compliance with regulations, risk management procedures, and any potential conflicts of interest.
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