Ordinary Membership Application Form | Association of Independent Asset Managers Hong Kong

ORDINARY MEMBERSHIP

Ordinary Membership is available to licensed companies where Independent Asset Management is their primary business activity.

ORDINARY MEMBERSHIP APPLICATION FORM

`Step 1 of 7`

Compulsory Documents
- Company Logo (jpg, png)
- Company Profile/Brochure (pdf, jpg, png)
- Copy of Business Registration (pdf, jpg, png)
- Copy of Business Card of Key Executives (pdf, jpg, png)
- Letter signed/chopped by Directors of the Company certifying that at least 50% of revenues are attributable to IAM/EAM activities (pdf, jpg, png)
- Proof of SFC license and other licenses (pdf, jpg, png)
- Proof of SFC license for Responsible Officers/Company Key Executive (pdf, jpg, png)
To proceed, please prepare the above Compulsory Documents.** Yes, I did

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Account Owner
This person will be the only registered individual granted access to managing company details on the website’s directory as well as the contact point between AIAM and the company for all membership related affairs.
First Name*
Last Name*
Email*
Job Title*
Mobile Phone*
No. of Years in the Industry*

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Company Information
Company Logo(Will be displayed in membership directory) Accepted file types: jpg, png, jpeg.
Company Name*(Will be displayed in membership directory)
Company Address*
Phone*
Fax
Website(Will be displayed in membership directory)
Company Description*(Will be displayed in membership directory)
PII Coverage (Name of Insurance Company & Amount)Amount in HKD
Introduced By
Primary Business Activity*(ie. Asset Management, Financial Planning, etc.)
Membership in Professional Bodies(ie. AIAM Singapore, HKPEFA, Etc)

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Background Information
Please complete all fields as possible.
No. of Staff*
No. of Licensed Representatives*
Licenses Issued by(ie. SFC - Type 1, SFC - Type 2, SFC - Type 3, etc.)
License No.*
Please give details of license restrictions if any e.g. clients limited to Professional Investors, restriction on holding client assets, etc.*
Is your Company a standalone company incorporated only in Hong Kong? Or a subsidiary of a company with a HQ in another country? Or a HQ with branches elsewhere? Or a JV? Explain.
Has the Company or any of its Directors, Responsible Officers or Board members been subject to disciplinary action by a regulatory body or self-regulatory organization anywhere in world? If yes, please explain.*
What percentage of your revenue can be attributed to EAM/IAM activities? What are your other sources of revenue?*
Please describe your business in Hong Kong and your core competencies. How long has your company been in business? When did you start engaging in EAM/IAM activities?

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Key Individuals of the Company
These are the key individuals that will be displayed in the online membership directory.
First Name*
Last Name*
Job Title*
Add Contact2 Add Another Key Individual
First Name*
Last Name*
Job Title*
Add Contact3 Add Another Key Individual
First Name*
Last Name*
Job Title*
Add Contact4 Add Another Key Individual
First Name*
Last Name*
Job Title*
Add Contact5 Add Another Key Individual
First Name*
Last Name*
Job Title*
Add Contact6 Add Another Key Individual
First Name*
Last Name*
Job Title*

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Supporting Documents
Please upload the the following documents in PDF format.
Most recent Business Registration*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Organizational Chart, Company profile/brochure*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Business Card of Key Executives*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Proof of SFC license and other licenses*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Letter signed/chopped by Directors of the Company certifying that at least 50% of revenues are attributable to IAM/EAM activities*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Proof of SFC license for Responsible Officers/Company Key Executives*File format: pdf, jpg, png Accepted file types: pdf, jpg, png.
Any background documents that may assist the Committee to expedite the Due Diligence on the applicant (if any)(optional) Accepted file types: pdf.

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Declaration & Signature
MEMBERSHIP CREATES A FORUM FOR LIKED MINDED FIRMS IN THE INDEPENDENT ASSET MANAGEMENT SPACE TO SHARE IDEAS AND RESOURCES AND TO WORK CLOSELY WITH SERVICE PROVIDERS AND LOCAL REGULATORS TO PROMOTE THE INDEPENDENT ASSET MANAGEMENT BUSINESS MODEL. THE BENEFITS OF JOINING THE AIAM INCLUDE THE FOLLOWING: - A unified voice to dialog with regulatory authorities and advocate for the needs of IAMs - Access to the market participants through an organized professional membership body - Dialog between IAMs and service providers to increase efficiency and market penetration - Insight to the best IAM market practices and industry direction - Ability to share, exchange and transfer knowledge, connections and skills - Maintain and enhance the IAMs professional conduct and delivery to clients and the community - Support from peers and others in the IAM industry for compliance and regulatory matters - Professional development and networking opportunities - Discounts and negotiated group pricing on professional products and services The AIAM welcomes members to participate in a variety of ways, as their time and other commitments allow. Once the initial membership drive is complete, we will be surveying members to better understand their commercial and regulatory priorities and to discuss how the Association can further those objectives. Please complete the application form and mail the hard copy of the completed form physically, together with the following supporting documents to the following address below. Interviews may be conducted to clarify any questions the membership committee may have. Fees for ordinary membership have been set at 3,000 HKD per annum, with initial membership covering the period until the end of each year. An invoice will be sent for payment if the application is successful. We apply to be admitted as an Ordinary Member of AIAM. We agree the information submitted is accurate and that no material information has been withheld from AIAM. We agree to fully indemnify, defend and save harmless AIAM from and against any and all losses, damages, liabilities, claims, demands, causes of action, lawsuits and expenses (including all incurred legal fees & expenses) that AIAM may incur, or that may be threatened against AIAM, arising out of or in connection with (a) any direct breach or violation of this Application by us, or (b) our gross negligence or willful misconduct. We agree that we will promptly notify AIAM of any change in the information provided in the AIAM Membership Application Form. WE HEREBY DECLARE AND CONFIRM THAT: - Upon acceptance as a member, we will abide by AIAM's Constitution currently in force it's code of Ethics; - We declare that all information disclosed herein are true and correct; - We have not been sanctioned by any regulatory body beyond what has been disclosed here; - Our SFC and other relevant licenses are in good standing; - Applications are subject to review by the Committee.
I Agree* I have read the aforementioned
Name of Authorized Personnel* declaration and agree with it

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WHY APPLY FOR
ordinary membership

AIAM is supported by its active members, which fall into the categories of Ordinary and Associate. Ordinary members are licensed companies where Independent Asset Management is their primary business activity.

AIAM only accepts active members who have sufficient qualifications in the field, a good reputation and have extensive expertise and capability in delivering world-class wealth management services to clients.

Ordinary membership creates a forum for like minded firms to share ideas and resources, and to work closely with service provides and local regulators to promote the independent asset management business models.

At 8,000 HKD per annum, benefits include:

Professional development and networking opportunities
Regular seminars giving insight to the best IAM market practices and industry direction
A unified voice to dialogue with regulatory authorities and advocate for the needs of IAMs
Access to the market participants through an organized professional membership body
Dialogue between IAMs and service providers to increase efficiency and market penetration
An opportunity to enhance the reputation and profile of the IAM industry to clients and the community
Support from peers and others in the IAM industry for compliance and regulatory matters
Discounts and negotiated group pricing on professional products and services

Compulsory Documents Required:

Company Logo
Company Profile/Brochure
Copy of Business Registration
Copy of Business Card of Key Executives
Letter signed/chopped by Directors of the Company certifying that at least 50% of revenues are attributable to IAM/EAM activities
Proof of SFC license and other licenses
Proof of SFC license for Responsible Officers/Company Key Executive

CFA Code of Ethics

`Step 1 of 7`

`Account Owner`

`Company Information`

`Background Information`

`Key Individuals of the Company`

`Supporting Documents`

`Declaration & Signature`