SFC Type 6 Licensed Corporation — CC-SFC-110

Hong Kong SFC licensed corporation holding a Type 6 licence. Company NAV: HKD 130K. Office: 尖沙咀 TST, 约800 呎 ft. P/L position: 亏損 Have loss. Staff/RO: 没有薪金 No Salary 2RO - 2位负责人员可过度留任6个月 或洽谈留任 2RO - 2ROs can stay behind e.g. 6 months after completion or negotiable. RO retention: Yes / Negotiable 留任 / 可議. Client assets: 少量 Few. Licence conditions: 持牌人The licensee:  不得持有客户资产 shall not hold client assets  持牌人就证监会发出的《公司收购、合并及股份回购守则》范围内的有关事宜/交易，以顾问身分向客户提供意见时，必须与(该客户的) 另一名顾问共同行事，而该另一名顾问须不受此条件的规限 must, in the capacity as an adviser to a client on matters/transactions falling within the ambit of the Codes on Takeovers and Mergers and Share Buy-backs issued by the Commission, act together with another adviser (to the client) not subject to this condition  不得就要求将任何证券在认可证券市场上市的申请以保荐人身分行事 shall not act as sponsor in respect of an application for the listing on a recognized stock market of any securities. Remarks: "1) 这个有客户吗，是否需要清退？ 沒有 2. SFC牌照限制的意思是什么？我们想做并购重组的corp finance，这里说必须要和别人合作？ 對 M&A要跟另外一間沒有條件限制公司一起做一次, 然後可以upgrade" Confirmed direct-seller mandate.