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Annex

The Fit and Proper Criteria

Code on Investment-Linked Assurance and Pooled Retirement Funds

Guidelines for the Exemption of Listed Companies from the Securities (Disclosure of Interests) Ordinance

Code on Unit Trusts and Mutual Funds

Licensing Information Booklet

Hong Kong Codes on Takeovers and Mergers and Share Repurchases

Code on Immigration-Linked Investment Schemes

Notes to Financial Resources Rules

Code of Conduct for Persons Registered with the Securities and Futures Commission

A Simplified Outline of the Leveraged Foreign Exchange Trading Ordinance, Subsidiary Rules and Guidelines

Core Operational and Financial Risk Management Controls for Over- the-Counter Derivatives Activities of Registered Persons

End/Wednesday, June 28, 1995