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| CIK | 1765850 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Prestige Wealth Inc.
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| August 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2025 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Office Unit 6620B, 66/F, The Center 99 Queen’s Road Central Central, Hong Kong (Address of Principal Execu |
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| June 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Office Unit 6620B, 66/F, The Center 99 Queen’s Road Central Central, Hong Kong (Address of principal executive office) Indicate |
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| April 29, 2025 |
Exhibit 99.1 Party A (Client): InnoSphere Tech Inc. Party B (Contractor): [Name of Service Provider] Party C: Prestige Wealth Inc. (Nasdaq: PWM) Whereas: ● Party A has signed the contract No. MGAI-2025-04001, hereinafter referred to as the (“Master Contract”) with Client to provide services for the construction of a privatized large model system. ● Due to project needs, Party A intends to outsourc |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Office Unit 6620B, 66/F, The Center 99 Queen's Road Central Central, Hong Kong (Address of Principal Execut |
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| April 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F/A ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE AC |
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| April 28, 2025 |
Exhibit 12.2 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Zimuyin Jiang, certify that: 1. I have reviewed this Amendment No. 1 to Annual Report on Form 20-F for the fiscal year ended September 30, 2024 of Prestige Wealth Inc |
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| April 28, 2025 |
Exhibit 12.1 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Kazuho Komoda, certify that: 1. I have reviewed this Amendment No. 1 to Annual Report on Form 20-F for the fiscal year ended September 30, 2024 of Prestige Wealth Inc |
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| April 28, 2025 |
Exhibit 13.1 CERTIFICATIONS OF CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Kazuho Komoda, certify pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that the Amendment No. 1 to Annual Report on Form 20-F of Prestige Wealth Inc. f |
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| April 23, 2025 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of [ ], 2025, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Amended and Res |
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| April 23, 2025 |
AMENDED AND RESTATED SECURITIES PURCHASE AGREEMENT Exhibit 10.1 Execution Version AMENDED AND RESTATED SECURITIES PURCHASE AGREEMENT This Amended and Restated Securities Purchase Agreement (this “Agreement”) is dated as of April 19, 2025, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collecti |
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| April 23, 2025 |
SERIES D ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| April 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Office Unit 6620B, 66/F, The Center 99 Queen's Road Central Central, Hong Kong (Address of Principal Execut |
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| April 23, 2025 |
SERIES C ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| April 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark whet |
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| April 3, 2025 |
Prestige Wealth Inc. Announces Receipt of Nasdaq Notification Regarding Minimum Bid Price Deficiency Exhibit 99.1 Prestige Wealth Inc. Announces Receipt of Nasdaq Notification Regarding Minimum Bid Price Deficiency Hong Kong, April 2, 2025 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on April 1, 2025, the Company received a letter from the Listing Qualifications |
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| April 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of April 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark whet |
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| March 31, 2025 |
6-K 1 ea0236334-6kprestige.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Ad |
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| March 31, 2025 |
EX-99.1 2 ea023633401ex99-1prestige.htm PRESTIGE WEALTH INC. - 3RD AMENDED AND RESTATED MEMORANDUM AND ARTICLES Exhibit 99.1 THE COMPANIES ACT (AS REVISED) EXEMPTED COMPANY LIMITED BY SHARES THIRD AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Prestige Wealth Inc. 盛德財富有限公司 (Adopted by way of a special resolution dated on 27 March 2025 and effective from 27 March 2025) 1. The name of the Company |
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| March 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Office Unit 6620B, 66/F, The Center 99 Queen's Road Central Central, Hong Kong (Address of principal executive office) Indicate |
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| March 27, 2025 |
Prestige Wealth Inc. to Change Business Address Exhibit 99.1 Prestige Wealth Inc. to Change Business Address Hong Kong, March 27, 2025 (GLOBE NEWSWIRE) - Prestige Wealth Inc. (Nasdaq: PWM) (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced that the Company will change its business address and mailing address to Office Unit 6620B, 66/F, The Center, 99 Queen’s Road |
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| March 13, 2025 |
Exhibit 99.3 Prestige Wealth Inc. PROXY FOR ORDINARY GENERAL MEETING OF HOLDERS OF CLASS B ORDINARY SHARES March 27, 2025 THE BOARD RECOMMENDS A VOTE FOR ALL THE PROPOSALS. I. It is resolved as a special resolution that the conversion of any Class B Ordinary Share to Class A ordinary share of par value US$0.000625 of the Company or transfer of any Class B Ordinary Share be subject to the prior app |
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| March 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark whet |
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| March 13, 2025 |
Exhibit 99.1 Prestige Wealth Inc. (incorporated in the Cayman Islands with limited liability) (Nasdaq: PWM) NOTICE OF GENERAL MEETING OF HOLDERS OF CLASS B ORDINARY SHARES NOTICE IS HEREBY GIVEN THAT the general meeting (the “Class B GM”) of holders of Class B ordinary shares of par value US$0.000625 (the “Class B Ordinary Shares”) of Prestige Wealth Inc., a Cayman Islands exempted company with li |
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| March 13, 2025 |
Exhibit 99.4 Prestige Wealth Inc. PROXY FOR EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS March 27, 2025 THE BOARD RECOMMENDS A VOTE FOR ALL THE PROPOSALS. I. It is resolved as a special resolution that, subject to the Company receiving consent to the Class B Variation (as defined in the proxy statement) from such class of shareholders in accordance with Article 11, the Company adopt the third ame |
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| March 13, 2025 |
Exhibit 99.2 Prestige Wealth Inc. (incorporated in the Cayman Islands with limited liability) (Nasdaq: PWM) NOTICE OF EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the extraordinary general meeting (the “EGM”) of shareholders of Prestige Wealth Inc., a Cayman Islands exempted company with limited liability (the “Company”), will be held on March 27, 2025, at 10:30 a.m., |
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| March 10, 2025 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of [ ], 2025, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purc |
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| March 10, 2025 |
Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of March 07, 2025, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject |
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| March 10, 2025 |
SERIES C ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| March 10, 2025 |
SERIES D ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of March 2025 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong (Address of Principal Executive Offices) Indica |
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| February 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| February 24, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of February 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| February 13, 2025 |
Exhibit 13.1 CERTIFICATIONS OF CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Kazuho Komoda, certify pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that the Annual Report on Form 20-F of Prestige Wealth Inc. for the fiscal year |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| February 13, 2025 |
Exhibit 2.2 DESCRIPTION OF SECURITIES As of the end of the fiscal year covered by the annual report on Form 20-F (the “Annual Report”) of Prestige Wealth Inc. (“we,” “us” or “our”) to which this description is attached or incorporated by reference as an exhibit, we registered the Class A Ordinary Shares, par value $0.000625 (the “Class A Ordinary Shares”), as set forth below, pursuant to Section 1 |
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| February 13, 2025 |
Prestige Wealth Inc. Announces First Half of Fiscal Year 2024 Financial Results Exhibit 99.1 Prestige Wealth Inc. Announces First Half of Fiscal Year 2024 Financial Results Hong Kong, February 13, 2025 /GlobeNewswire/ - Prestige Wealth Inc. (Nasdaq: PWM) (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced its unaudited financial results for the six months ended March 31, 2024. Mr. Kazuho Komoda, |
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| February 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| February 13, 2025 |
Exhibit 4.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of December 20, 2024 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and Komoda Kazuho, an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executive hereunder shall be d |
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| February 13, 2025 |
Exhibit 99.1 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong Date: February 13, 2025 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters We hereby consent to the reference to our firm and the summary of our opinion under the headings, “Item 3. Key Information—D. Risk Factors—Risks Related to Our Ordinary Shares” included in Prestige Wealth Inc.’s Annual |
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| February 13, 2025 |
Exhibit 99.2 Prestige Wealth Inc. 盛德財富有限公司 89 Nexus Way, Camana Bay Grand Cayman, KY1-9009 Cayman Islands D +852 3656 6054 / +852 3656 6073 E [email protected] / [email protected] Reference: NMP/RYH/507656.00002 13 February 2025 Dear Sirs Prestige Wealth Inc. 盛德財富有限公司 (the Company) We have acted as Cayman Islands counsel to the Company in connection with the Company’s annual report on F |
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| February 13, 2025 |
Exhibit 12.1 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Kazuho Komoda, certify that: 1. I have reviewed this Annual Report on Form 20-F for the fiscal year ended September 30, 2024 of Prestige Wealth Inc.; 2. Based on my k |
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| February 13, 2025 |
Exhibit 12.2 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ngat Wong, certify that: 1. I have reviewed this Annual Report on Form 20-F for the fiscal year ended September 30, 2024 of Prestige Wealth Inc.; 2. Based on my knowl |
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| January 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☒ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report |
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| January 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2025 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wh |
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| December 30, 2024 |
PRESTIGE WEALTH INC. EQUITY INCENTIVE PLAN Article I PURPOSE Exhibit 10.1 PRESTIGE WEALTH INC. EQUITY INCENTIVE PLAN Article I PURPOSE The purpose of this Prestige Wealth Inc. Equity Incentive Plan (the “Plan”) is to benefit Prestige Wealth Inc., a company incorporated in the Cayman Islands (the “Company”) and its shareholders, by assisting the Company and its subsidiaries to attract, retain and provide incentives to key management employees, directors, and |
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| December 30, 2024 |
Exhibit 107 Filing Fee Table S-8 (Form Type) Prestige Wealth Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (2) Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees To Be Paid Equity ordinary shares, par value |
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| December 30, 2024 |
As filed with the Securities and Exchange Commission on December 30, 2024 As filed with the Securities and Exchange Commission on December 30, 2024 Registration No. |
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| December 30, 2024 |
PRESTIGE WEALTH INC. EQUITY INCENTIVE PLAN Article I PURPOSE Exhibit 10.1 PRESTIGE WEALTH INC. EQUITY INCENTIVE PLAN Article I PURPOSE The purpose of this Prestige Wealth Inc. Equity Incentive Plan (the “Plan”) is to benefit Prestige Wealth Inc., a company incorporated in the Cayman Islands (the “Company”) and its shareholders, by assisting the Company and its subsidiaries to attract, retain and provide incentives to key management employees, directors, and |
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| December 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-41734 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong (Address |
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| December 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| December 19, 2024 |
Prestige Wealth Inc. regain compliance with Nasdaq minimum bid price requirement Exhibit 99.1 Prestige Wealth Inc. regain compliance with Nasdaq minimum bid price requirement Hong Kong, December 19, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on December 18, 2024, it received notice from The Nasdaq Stock Market LLC (“Nasdaq”) informing t |
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| December 19, 2024 |
6-K 1 ea0225320-6kprestige.htm REPORT OF FOREIGN PRIVATE ISSUER UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong |
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| December 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| December 19, 2024 |
Prestige Wealth Inc. Announces Closing of Acquisitions of InnoSphere Tech and Tokyo Bay Exhibit 99.1 Prestige Wealth Inc. Announces Closing of Acquisitions of InnoSphere Tech and Tokyo Bay Hong Kong, December 18, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on December 16, 2024, it completed its acquisition of all shares of InnoSphere Tech Inc ( |
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| December 13, 2024 |
SC 13D 1 ea022473903-13dprestprest.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Prestige Wealth Inc. (Name of Issuer) Class A Ordinary Shares, par value $0.000625 per share (Title of Class of Securities) G7244A119 (CUSIP Number) Prestige Financial Holdings Group Limited Craigmuir ch |
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| December 13, 2024 |
PWM / Prestige Wealth Inc. / WONG NGAT - SCHEDULE 13G Passive Investment SC 13G 1 ea022473901-13gwongprest.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 PRESTIGE WEALTH INC. (Name of Issuer) Class A Ordinary Shares, $0.000625 par value per share (Title of Class o |
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| December 13, 2024 |
PWM / Prestige Wealth Inc. / Wang Qianfan - AMENDMENT NO. 2 TO SCHEDULE 13G Passive Investment SC 13G/A 1 ea022473902-13ga2wangprest.htm AMENDMENT NO. 2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 2)* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 PRESTIGE WEALTH INC. (Name of Issuer) Class A Ordinary Shares, $0.00 |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| November 12, 2024 |
Prestige Wealth Inc. Announces Acquisition of Tokyo Bay Exhibit 99.1 Prestige Wealth Inc. Announces Acquisition of Tokyo Bay Hong Kong, November 13, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on November 12, 2024, it entered into a definitive acquisition agreement pursuant to which PWM will purchase all shares o |
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| November 8, 2024 |
Exhibit 99.1 Prestige Wealth Inc. Announces Acquisitions of InnoSphere Tech and Closing of Acquisition of Wealth AI Hong Kong, November 8, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on November 5, 2024, it entered into a definitive acquisition agreement pur |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of November 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| October 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2024 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong (Address of Principal Executive Offices) Indi |
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| September 13, 2024 |
SERIES B ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| September 13, 2024 |
SERIES A ORDINARY WARRANT PRESTIGE WEALTH INC. Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| September 13, 2024 |
Exhibit 10.1 Execution Version SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 9, 2024, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subje |
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| September 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of September 2024 Commission File Number: 001-41734 PRESTIGE WEALTH INC. (Registrant’s Name) Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong (Address of Principal Executive Offices) In |
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| September 13, 2024 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of , 2024, between Prestige Wealth Inc., a Cayman Islands exempted company (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purchas |
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| September 4, 2024 |
PWM / Prestige Wealth Inc. / Gao Wei - SCHEDULE 13G Passive Investment SC 13G 1 ea0213466-13ggaoprestige.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 PRESTIGE WEALTH INC. (Name of Issuer) Class A Ordinary Share, $0.000625 par value per share (Title of Class of |
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| August 23, 2024 |
Exhibit 99.1 Prestige Wealth Inc. Announces Acquisition of Wealth AI, an AI-Driven Wealth Management Solution Provider Hong Kong, August 23, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on August 20, 2024, it entered into a definitive acquisition agreement pu |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of August 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark whe |
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| July 26, 2024 |
Prestige Wealth Inc. Announces Receipt of Nasdaq Notification Regarding Minimum Bid Price Deficiency Exhibit 99.1 Prestige Wealth Inc. Announces Receipt of Nasdaq Notification Regarding Minimum Bid Price Deficiency Hong Kong, July 26, 2024 /GlobeNewswire/ - Prestige Wealth Inc. (NASDAQ: PWM) (“PWM”, or the “Company”), a wealth management and asset management services provider based in Hong Kong, today announced that, on July 23, 2024, the Company received a letter from the Listing Qualifications |
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| July 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wheth |
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| July 26, 2024 |
PWM / Prestige Wealth Inc. / Tokyo Bay Management Inc. - SCHEDULE 13G Passive Investment SC 13G 1 ea0209017-13gtokyoprestige.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 PRESTIGE WEALTH INC. (Name of Issuer) Class A Ordinary Share, $0.000625 par value per share (Title of Class |
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| July 26, 2024 |
PWM / Prestige Wealth Inc. / FutureTech Systems Inc. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 PRESTIGE WEALTH INC. (Name of Issuer) Class A Ordinary Share, $0.000625 par value per share (Title of Class of Securities) G7244A119 (CUSIP Number) July 02, 2024 |
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| July 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wheth |
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| July 5, 2024 |
CLASS A ORDINARY SHARE PURCHASE WARRANT PRESTIGE WEALTH INC. Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| July 5, 2024 |
Software Technology Service Contract Exhibit 10.1 FutureTech Systems Inc. Software Technology Service Contract Includes project quotation and technical solution Table of Contents Table of Contents 1 Software Technology Service Contract 3 Article 1: Contract Subject 3 Article 2: System Price and Payment 4 Article 3: Acceptance Standards 5 Article 4: Intellectual Property 6 Article 5: Confidentiality Obligations 6 Article 6: Liability |
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| June 28, 2024 |
Business Development & Marketing Consulting Agreement Exhibit 10.1 Business Development & Marketing Consulting Agreement 業務推廣、市場營銷咨詢服務合同 Party A甲方 Prestige Wealth Inc. (Hereinafter referred to as “Party A”, “PWM”) （以下合並稱為“甲方”、“PWM”） Party B/ 乙方: Tokyo Bay Management Inc (Hereinafter referred to as “Party B”, “Tokyo Bay”) 甲方系一家在美國納斯達克上市的公眾公司，股票代碼為。 Party A is a publicly listed company on Nasdaq in the United States, with the stock ticker “PWM”. 乙方是一 |
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| June 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of June 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wheth |
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| June 28, 2024 |
CLASS A ORDINARY SHARE PURCHASE WARRANT PRESTIGE WEALTH INC. Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| February 15, 2024 |
Exhibit 11.1 PRESTIGE WEALTH INC. Statement of Policy Concerning Trading in Company Securities Adopted Jan 31, 2024 TABLE OF CONTENTS Page No. I. Summary of Policy Concerning Trading in Company Securities 1 II. The Use of Inside Information in Connection with Trading in Securities 1 A. General Rule. 1 B. Who Does the Policy Apply To? 2 C. Other Companies’ Stock. 3 D. Hedging and Derivatives. 3 E. |
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| February 15, 2024 |
Exhibit 99.2 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road Central, Hong Kong Date: February 15, 2024 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters We hereby consent to the reference to our firm and the summary of our opinion under the headings, “Item 3. Key Information—D. Risk Factors—Risks Related to Our Ordinary Shares” included in Prestige Wealth Inc.’s Annual |
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| February 15, 2024 |
Exhibit 12.2 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Ngat Wong, certify that: 1. I have reviewed this Annual Report on Form 20-F for the fiscal year ended September 30, 2023 of Prestige Wealth Inc.; 2. Based on my knowl |
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| February 15, 2024 |
Exhibit 2.2 DESCRIPTION OF SECURITIES As of the end of the fiscal year covered by the annual report on Form 20-F (the “Annual Report”) of Prestige Wealth Inc. (“we,” “us” or “our”) to which this description is attached or incorporated by reference as an exhibit, we registered the ordinary shares, par value $0.000625 (the “Ordinary Shares”), as set forth below, pursuant to Section 12 of the Securit |
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| February 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 20-F ☐ REGISTRATION STATEMENT PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended September 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT |
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| February 15, 2024 |
PRESTIGE WEALTH INC. (“the Company”) CLAWBACK POLICY Exhibit 99.1 PRESTIGE WEALTH INC. (“the Company”) CLAWBACK POLICY Introduction The Board of Directors of the Company (the “Board”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performance compensation philosophy. The Board has therefore adopted th |
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| February 15, 2024 |
Exhibit 12.1 Certification of Principal Executive Officer Pursuant to Exchange Act Rule 13a-14(a)/15d-14(a) Under the Securities Exchange Act of 1934, as Amended as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 I, Hongtao Shi, certify that: 1. I have reviewed this Annual Report on Form 20-F for the fiscal year ended September 30, 2023 of Prestige Wealth Inc.; 2. Based on my kno |
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| February 15, 2024 |
Exhibit 13.1 CERTIFICATIONS OF CHIEF EXECUTIVE OFFICER AND CHIEF FINANCIAL OFFICER PURSUANT TO 18 U.S.C. SECTION 1350, AS ADOPTED PURSUANT TO SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Hongtao Shi, certify pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, that the Annual Report on Form 20-F of Prestige Wealth Inc. for the fiscal year en |
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| February 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☒ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report |
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| February 1, 2024 |
Exhibit 3.1 THE COMPANIES ACT (AS REVISED) EXEMPTED COMPANY LIMITED BY SHARES SECOND AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Prestige Wealth Inc. 盛德財富有限公司 (Adopted by way of a special resolution passed on December 29, 2023) 1. The name of the Company is Prestige Wealth Inc. and its dual foreign name is 盛德財富有限公司. 2. The registered office of the Company shall be at the offices of Conyers T |
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| February 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of January 2024 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wh |
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| January 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| December 15, 2023 |
Exhibit 99.1 PRESTIGE WEALTH INC. 盛德財富有限公司 (incorporated under the laws of the Cayman Islands) (NASDAQ: PWM) NOTICE OF EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the extraordinary general meeting of shareholders (the “Meeting”) of Prestige Wealth Inc. (the “Company”) will be held on December 29, 2023, at 10:00 am local time, Suite 3201, Champion Tower, 3 Garden Road, |
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| December 15, 2023 |
Exhibit 99.2 PRELIMINARY PROXY CARD PRESTIGE WEALTH INC. 盛德財富有限公司 PROXY FOR THE EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS THIS PROXY IS SOLICITED BY THE BOARD OF DIRECTORS Important Notice Regarding the Availability of Proxy Materials for the Shareholder Meeting to be Held on December 29, 2023: The Proxy Statement and Annual Report to Shareholders are available on December 13, 2023. The unders |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K/A REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark |
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| December 13, 2023 |
Exhibit 99.1 PRESTIGE WEALTH INC. 盛德財富有限公司 (incorporated under the laws of the Cayman Islands) (NASDAQ: PWM) NOTICE OF EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS NOTICE IS HEREBY GIVEN THAT the extraordinary general meeting of shareholders (the “Meeting”) of Prestige Wealth Inc. (the “Company”) will be held on December 29, 2023, at 10:00 am local time, Suite 3201, Champion Tower, 3 Garden Road, |
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| December 13, 2023 |
Exhibit 99.2 PRELIMINARY PROXY CARD PRESTIGE WEALTH INC. 盛德財富有限公司 PROXY FOR THE EXTRAORDINARY GENERAL MEETING OF SHAREHOLDERS THIS PROXY IS SOLICITED BY THE BOARD OF DIRECTORS Important Notice Regarding the Availability of Proxy Materials for the Shareholder Meeting to be Held on December 29, 2023: The Proxy Statement and Annual Report to Shareholders are available on December 13, 2023. The unders |
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| December 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| December 1, 2023 |
Prestige Wealth Inc. Announces First Half of Fiscal Year 2023 Financial Results Exhibit 99.1 Prestige Wealth Inc. Announces First Half of Fiscal Year 2023 Financial Results Hong Kong, December 1, 2023 /PRNewswire/ - Prestige Wealth Inc. (Nasdaq: PWM) (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced its unaudited financial results for the six months ended March 31, 2023. Mr. Hongtao Shi, the Co |
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| December 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of December 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark w |
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| November 27, 2023 |
PWM / Prestige Wealth Inc / Wang Qianfan - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment SC 13G/A 1 ea189067-13ga1wangprestige.htm AMENDMENT NO. 1 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 Prestige Wealth Inc. (Name of Issuer) ordinary shares, $0.000625 par |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of October 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wh |
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| November 2, 2023 |
Exhibit 16.1 November 2, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Prestige Wealth Inc. in its Form 6-K dated November 2, 2023. We agree with the statements concerning our Firm in such Form 6-K; we are not in a position to agree or disagree with other statements of Prestige Wealth Inc. contained therein. Very |
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| October 17, 2023 |
PWM / Prestige Wealth Inc / Wang Qianfan - SCHEDULE 13G Passive Investment SC 13G 1 ea186793-13gwangprestige.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO §240.13d-2 Prestige Wealth Inc. (Name of Issuer) ordinary shares, $0.000625 par value per share (Title of Class of Securi |
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| July 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 3201, Champion Tower 3 Garden Road, Central Hong Kong (Address of principal executive office) Indicate by check mark wheth |
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| July 31, 2023 |
Prestige Wealth Inc. to Change Business Address Exhibit 99.1 Prestige Wealth Inc. to Change Business Address Hong Kong, July 31, 2023 (GLOBE NEWSWIRE) - Prestige Wealth Inc. (Nasdaq: PWM) (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced that the Company will change its business address and mailing address to Suite 3201, Champion Tower, 3 Garden Road, Central, Ho |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong (Address of principal executive office) Indicate by check |
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| July 10, 2023 |
Prestige Wealth Inc. Announces Pricing of Initial Public Offering Exhibit 99.1 Prestige Wealth Inc. Announces Pricing of Initial Public Offering Hong Kong, July 6, 2023 (GLOBE NEWSWIRE) - Prestige Wealth Inc. (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced the pricing of its initial public offering (the “Offering”) of 1,000,000 ordinary shares at a public offering price of US$5. |
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| July 10, 2023 |
PRESTIGE WEALTH INC. UNDERWRITING AGREEMENT Exhibit 10.1 PRESTIGE WEALTH INC. UNDERWRITING AGREEMENT July 5, 2023 Revere Securities LLC 650 Fifth Avenue, 35th Floor New York, NY 10022 Ladies and Gentlemen: The undersigned, Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the “Company”), hereby confirms its agreement (this “Agreement”) with Revere Securities LLC (the “Underwriter”) to issue and sell to the Underw |
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| July 10, 2023 |
Prestige Wealth Inc. Announces Closing of Initial Public Offering Exhibit 99.2 Prestige Wealth Inc. Announces Closing of Initial Public Offering Hong Kong, July 10, 2023 (GLOBE NEWSWIRE) - Prestige Wealth Inc. (Nasdaq: PWM) (the “Company” or “Prestige Wealth”), a wealth management and asset management services provider based in Hong Kong, today announced the closing of its initial public offering (the “Offering”) of 1,000,000 ordinary shares at a public offering |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 6-K REPORT OF FOREIGN PRIVATE ISSUER PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE SECURITIES EXCHANGE ACT OF 1934 For the month of July 2023 Commission File Number: 001-41734 Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong (Address of principal executive office) Indicate by check |
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| July 7, 2023 |
1,000,000 Ordinary Shares Prestige Wealth Inc. Filed pursuant to Rule 424(b)(4) Registration No. 333-267999 1,000,000 Ordinary Shares Prestige Wealth Inc. We are offering 1,000,000 ordinary shares, $0.000625 par value per share (“Ordinary Shares”). This is the initial public offering of our Ordinary Shares. Prior to this offering, there has been no public market for Ordinary Shares. The initial public offering price of the Ordinary Shares is $ |
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| June 30, 2023 |
June 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| June 30, 2023 |
June 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street, N. |
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| June 30, 2023 |
June 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| June 30, 2023 |
Prestige Wealth Inc. June 30, 2023 Via EDGAR Division of Corporation Finance Office of Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Attention: Madeleine Mateo Susan Block William Schroeder Michael Volley Re: Prestige Wealth Inc. Registration Statement on Form F-1, as amended (File No. 333-267999) Ladies and Gentlemen: On June 28, 2023, Prestige Wealth In |
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| June 30, 2023 |
Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong June 30, 2023 Via EDGAR Division of Corporation Finance Office of Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Attention: Madeleine Mateo Susan Block William Schroeder Michael Volley Re: Prestige Wealth Inc. Registration Statement on Form F-1, as amended (File No. |
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| June 30, 2023 |
June 30, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street, N. |
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| June 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands Not applicable (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identific |
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| June 28, 2023 |
June 28, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street, N. |
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| June 28, 2023 |
Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central Hong Kong June 28, 2023 Via EDGAR Division of Corporation Finance Office of Finance U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Attention: Madeleine Mateo Susan Block William Schroeder Michael Volley Re: Prestige Wealth Inc. Registration Statement on Form F-1, as amended (File No. |
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| June 23, 2023 |
Exhibit 10.15 ESCROW AGREEMENT This Escrow Agreement dated this [ ] day of [ ] 2023 (the “Escrow Agreement”), is entered into by and among Prestige Wealth Inc., a company organized under the laws of the Cayman Islands (the “Company” or “Prestige”), having an address at Suite 5102, 51/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong, Revere Securities, LLC, (the “Representative”), each a “P |
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| June 23, 2023 |
PRESTIGE WEALTH INC. UNDERWRITING AGREEMENT Exhibit 1.1 PRESTIGE WEALTH INC. UNDERWRITING AGREEMENT [●], 2023 Revere Securities LLC 650 Fifth Avenue, 35th Floor New York, NY 10022 Ladies and Gentlemen: The undersigned, Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the “Company”), hereby confirms its agreement (this “Agreement”) with Revere Securities LLC (the “Underwriter”) to issue and sell to the Underwrite |
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| June 23, 2023 |
As filed with the U.S. Securities and Exchange Commission on June 23, 2023. As filed with the U.S. Securities and Exchange Commission on June 23, 2023. Registration No. 333-267999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 5 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 8900 Not Applicable (State or other jurisdiction |
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| June 8, 2023 |
Prestige Wealth Inc. June 8, 2023 Via EDGAR Ms. Madeleine Mateo Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 4 to Registration Statement on Form F-1 Filed May 12, 2023 File No. 333-267999 Dear Ms. Mateo and Ms. Block: This letter is in response to the letter dated May 30, 2023, from the s |
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| May 19, 2023 |
1 Issuer Free Writing Prospectus dated May 19, 2023 Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Relating to Preliminary Prospectus dated May 12 , 2023 Registration Statement No. |
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| May 12, 2023 |
As filed with the U.S. Securities and Exchange Commission on May 12, 2023. As filed with the U.S. Securities and Exchange Commission on May 12, 2023. Registration No. 333-267999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 4 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 8900 Not Applicable (State or other jurisdiction o |
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| May 12, 2023 |
Exhibit 107 Filing Fee Table F-1 (Form Type) Prestige Wealth Inc. |
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| May 12, 2023 |
Exhibit 99.2 Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen’s Road Central Hong Kong Date: May 12, 2023 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters A. INTRODUCTION 1. We, Han Kun Law Offices LLP, act for the Company (together with its subsidiaries, the “Group”) as its legal advisers on matters of the laws of the Hong Kong Special Administrative Region of the P |
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| May 12, 2023 |
Exhibit 99.4 LEGAL OPINION REGARDING CERTAIN PRC LEGAL MATTERS IN RELATION TO THE PROPOSED OFFERING AND LISTING OF PRESTIGE WEALTH INC. May 12, 2023 Sent via Email TO: Prestige Wealth Inc. Attn: Mr. Ngat Wong Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central, Hong Kong I. INTRODUCTION We, Jincheng Tongda & Neal Law Firm (“JT&N”), are duly qualified lawyers of the People’s Republic of Chi |
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| May 12, 2023 |
Prestige Wealth Inc. May 12, 2023 Via EDGAR Mr. David Gessert Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 3 to Registration Statement on Form F-1 Filed March 10, 2023 File No. 333-267999 Dear Mr. Gessert and Ms. Block: This letter is in response to the letter dated March 23, 2023, from t |
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| May 12, 2023 |
Exhibit 8.3 12 May 2023 Matter No.: 828121 Doc Ref: 109032451 (852) 2842 9595 [email protected] Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen’s Road Central Hong Kong Dear Sirs Re: PRESTIGE ASSET INTERNATIONAL INC. PRESTIGE PRIVATE WEALTH MANAGEMENT LIMITED (together, the “Companies”) We have acted as special British Virgin Islands legal counsel to Prestige Wealth Inc. (t |
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| March 10, 2023 |
Prestige Wealth Inc. March 10, 2023 Via EDGAR Mr. David Gessert Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 2 to Registration Statement on Form F-1 Filed February 10, 2023 File No. 333-267999 Dear Mr. Gessert and Ms. Block: This letter is in response to the letter dated February 28, 2023 |
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| March 10, 2023 |
As filed with the U.S. Securities and Exchange Commission on March 10, 2023. F-1/A 1 ff12023a3prestige.htm REGISTRATION STATEMENT As filed with the U.S. Securities and Exchange Commission on March 10, 2023. Registration No. 333-267999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Isl |
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| February 24, 2023 |
Issuer Free Writing Prospectus dated February 24, 2023 Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Relating to Preliminary Prospectus dated F 1 ebruary 10, 2023 Registration Statement No. |
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| February 10, 2023 |
Exhibit 99.2 Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen’s Road Central Hong Kong Date: February 10, 2023 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters A. INTRODUCTION 1. We, Han Kun Law Offices LLP, act for the Company (together with its subsidiaries, the “Group”) as its legal advisers on matters of the laws of the Hong Kong Special Administrative Region of |
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| February 10, 2023 |
Prestige Wealth Inc. February 10, 2023 Via EDGAR Mr. David Gessert Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 1 to Registration Statement on Form F-1 Filed December 2, 2022 File No. 333-267999 Dear Mr. Gessert and Ms. Block: This letter is in response to the letter dated December 19, 20 |
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| February 10, 2023 |
As filed with the U.S. Securities and Exchange Commission on February 10, 2023. As filed with the U.S. Securities and Exchange Commission on February 10, 2023. Registration No. 333-267999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 8900 Not Applicable (State or other jurisdict |
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| February 10, 2023 |
Opinion of Conyers Dill & Pearman regarding certain British Virgin Islands tax matters Exhibit 8.3 10 February 2023 10 February 2023 Matter No.: 828121 Doc Ref: 108806491 (852) 2842 9595 [email protected] Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen’s Road Central Hong Kong Dear Sirs Re: PRESTIGE ASSET INTERNATIONAL INC. PRESTIGE PRIVATE WEALTH MANAGEMENT LIMITED (together, the “Companies”) We have acted as special British Virgin Islands legal counsel to P |
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| February 10, 2023 |
Exhibit 107 Filing Fee Table F-1 (Form Type) Prestige Wealth Inc. |
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| December 7, 2022 |
FWP 1 ea169757-fwpprestigewealth.htm FREE WRITING PROSPECTUS Issuer Free Writing Prospectus dated December 7, 2022 Filed Pursuant to Rule 433 of the Securities Act of 1933, as amended Relating to Preliminary Prospectus dated D 1 ecember 2, 2022 Registration Statement No. 333 - 267999 December 2022 Prestige Wealth Inc. Corporate Presentation This free writing prospectus relates to the proposed publ |
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| December 2, 2022 |
Form of Underwriting Agreement Exhibit 1.1 PRESTIGE WEALTH INC. UNDERWRITING AGREEMENT [?], 2022 Network 1 Financial Securities, Inc. 2 Bridge Avenue, Suite 241 Red Bank, NJ 07701 Ladies and Gentlemen: The undersigned, Prestige Wealth Inc., an exempted company incorporated in the Cayman Islands (the ?Company?), hereby confirms its agreement (this ?Agreement?) with Network 1 Financial Securities, Inc. (the ?Underwriter?) to issu |
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| December 2, 2022 |
Prestige Wealth Inc. December 2, 2022 Via EDGAR Mr. David Gessert Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Registration Statement on Form F-1 Filed October 25, 2022 File No. 333-267999 Dear Mr. Gessert and Ms. Block: This letter is in response to the letter dated November 21, 2022, from the staff ( |
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| December 2, 2022 |
Exhibit 99.2 Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen?s Road Central Hong Kong Date: 2 December, 2022 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters A. INTRODUCTION 1. We, Han Kun Law Offices LLP, act for the Company (together with its subsidiaries, the ?Group?) as its legal advisers on matters of the laws of the Hong Kong Special Administrative Region of t |
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| December 2, 2022 |
Form of Underwriter’s Warrants Exhibit 4.2 Underwriter’s Warrant THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES BY HIS, HER OR ITS ACCEPTANCE HEREOF, THAT SUCH HOLDER WILL NOT FOR A PERIOD OF ONE HUNDRED EIGHTY (180) DAYS BEGINNING ON THE date of the commencemEnt of sales of the offering pursuant the registration statement No: 333-267999 AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION: (A) SELL, TRANSFER, ASSIGN, PL |
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| December 2, 2022 |
As filed with the U.S. Securities and Exchange Commission on December 2, 2022. As filed with the U.S. Securities and Exchange Commission on December 2, 2022. Registration No. 333-267999 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 8900 Not Applicable (State or other jurisdicti |
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| December 2, 2022 |
EX-FILING FEES 8 ff12022a1ex-feeprestige.htm FILING FEE TABLE Exhibit 107 Filing Fee Table F-1 (Form Type) Prestige Wealth Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Un |
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| October 25, 2022 |
Private Placement Memorandum of Prestige Global Allocation Fund dated March 27, 2017 EX-10.8 15 ff12022ex10-8prestige.htm PRIVATE PLACEMENT MEMORANDUM OF PRESTIGE GLOBAL ALLOCATION FUND DATED MARCH 27, 2017 Exhibit 10.8 No: Provided to: PRIVATE PLACEMENT MEMORANDUM Prestige Global Allocation Fund an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 319459 Prestige Global Asset Management Limited Manager Prestige Asse |
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| October 25, 2022 |
Exhibit 21.1 List of Subsidiaries Subsidiary Jurisdiction of incorporation or organization Prestige Asset International Inc. British Virgin Islands Prestige Private Wealth Management Limited British Virgin Islands Prestige Asset Management Limited Hong Kong Prestige Global Asset Management Limited Cayman Islands Prestige Wealth Management Limited Hong Kong Prestige Global Capital Inc. Cayman Islan |
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| October 25, 2022 |
Request for Waiver and Representation under Item 8.A.4 of Form 20-F Exhibit 99.7 Prestige Wealth Inc. October 25, 2022 Via Edgar U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C., 20549 Re: Prestige Wealth Inc. Registration Statement on Form F-1 Request for Waiver and Representation under Item 8.A.4 of Form 20-F Ladies and Gentlemen: The undersigned, Prestige Wealth Inc., a foreign private issuer organized under the laws of the Cayman Islan |
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| October 25, 2022 |
Private Placement Memorandum of Prestige Global Fund SPC dated November 28, 2016 EX-10.9 16 ff12022ex10-9prestige.htm PRIVATE PLACEMENT MEMORANDUM OF PRESTIGE GLOBAL FUND SPC DATED NOVEMBER 28, 2016 Exhibit 10.9 No: Provided to: PRIVATE PLACEMENT MEMORANDUM PRESTIGE GLOBAL FUND SPC an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 312284 PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED Manager PRESTIGE ASSET MANAGEMEN |
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| October 25, 2022 |
Exhibit 10.4 2 3 4 5 |
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| October 25, 2022 |
Employment Agreement by and between Hongtao Shi and the Registrant Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the ?Agreement?), is entered into as of February 1, 2019 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the ?Company?), and Hongtao Shi, an individual (the ?Executive?). The term ?Company? as used herein with respect to all obligations of the Executive hereunder shall be dee |
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| October 25, 2022 |
Form of Ongoing Advisory Agreement between Prestige Asset Management Limited and clients Exhibit 10.14 ONGOING ADVISORY AGREEMENT Between PARTY A and PRESTIGE ASSET MANAGEMENT LIMITED (PAM, the ?Advisor?) BACKGROUND: PARTY A is an asset management company registered in Hong Kong, serving a number of ultra-high net worth family and institutional investors. PAM is a qualified asset management company holding the license of ?providing asset management (type 9)? and providing advice on Se |
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| October 25, 2022 |
Exhibit 10.12 No: Provided to: SUPPLEMENT HYB A FUND SP a segregated portfolio of PRESTIGE GLOBAL FUND SPC an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 312284 PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED Manager SHANGHAI BPS INVESTMENT MANAGEMENT PARTNERSHIP (LIMITED PARTNERSHIP) ??????????????????? Investment Manager April 2020 |
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| October 25, 2022 |
Referral Service Agreement with a licensed insurance broker in Hong Kong Exhibit 10.11 Referral Agreement This contract is entered into by and between [ A ] Limited (hereinafter referred to as Party A), and [ B ] Limited (hereinafter referred to as Party B). Party A agrees that the above is called Party B; both parties understand and accept the contents and terms of the contract. Article 1: Contract Term This contract shall remain valid from the date of signing to the |
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| October 25, 2022 |
Code of Business Conduct and Ethics of the Registrant EX-99.1 25 ff12022ex99-1prestige.htm CODE OF BUSINESS CONDUCT AND ETHICS OF THE REGISTRANT Exhibit 99.1 CODE OF BUSINESS CONDUCT AND ETHICS of PRESTIGE WEALTH INC. INTRODUCTION Purpose This Code of Business Conduct and Ethics contains general guidelines for conducting the business of Prestige Wealth Inc., a Cayman Islands company (the “Company”), consistent with the highest standards of business e |
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| October 25, 2022 |
Specimen Certificate for Ordinary Shares Exhibit 4.1 |
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| October 25, 2022 |
EX-FILING FEES 29 ff12022ex-feeprestige.htm FILING FEE TABLE Exhibit 107 Calculation of Filing Fee Tables F-1 (Form Type) Prestige Wealth Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Fee Proposed Calculation Maximum Maximum Security or Carry Offering Aggregate Amount of Security Class Forward Amo |
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| October 25, 2022 |
Opinion of Miao & Co., Hong Kong counsel to the Registrant, regarding certain Hong Kong law matters Exhibit 99.2 Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen?s Road Central Hong Kong Date: October 25, 2022 Dear Sirs, Re: Legal Opinion on Certain Hong Kong Legal Matters A. INTRODUCTION 1. We, Miao & Co. (in Association with Han Kun Law Offices), act for the Company (together with its subsidiaries, the ?Group?) as its legal advisers on matters of the laws of the Hong Kong Speci |
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| October 25, 2022 |
Form of Prestige Global Fund SPC Subscription Agreement Exhibit 10.7 PRESTIGE GLOBAL FUND SPC INVESTMENT ADVISOR PRESTIGE ASSET MANAGEMENT LIMITED (Securities & Futures Commission of Hong Kong licence: BHS708) SUBSCRIPTION AGREEMENT INSTRUCTIONS Prestige Global Fund SPC (the ?Fund?) is offering the Participating Shares, as specified in the subscription below. Subscribers should carefully review the current private placement memorandum of the Fund and a |
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| October 25, 2022 |
Employment Agreement by and between Ngat Wong and the Registrant Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the ?Agreement?), is entered into as of April 8, 2020 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the ?Company?), and Wong Ngat, an individual (the ?Executive?). The term ?Company? as used herein with respect to all obligations of the Executive hereunder shall be deemed t |
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| October 25, 2022 |
EX-3.2 3 ff12022ex3-2prestige.htm FORM OF AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION, TO BE EFFECTIVE UPON THE CLOSING OF THIS OFFERING Exhibit 3.2 THE COMPANIES ACT (AS REVISED) EXEMPTED COMPANY LIMITED BY SHARES THE AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Prestige Wealth Inc. 盛德財富有限公司 (Conditionally adopted by way of a special resolution passed on [●] 2022 and effectiv |
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| October 25, 2022 |
Form of Prestige Global Allocation Fund Subscription Agreement Exhibit 10.6 PRESTIGE GLOBAL ALLOCATION FUND SUBSCRIPTION AGREEMENT INSTRUCTIONS Prestige Global Allocation Fund (the ?Fund?) is offering the Participating Shares, as specified in the Private Placement Memorandum (as defined below). Subscribers should carefully review the current private placement memorandum of the Fund and any appendix thereto for each Class of Participating Shares as supplied by |
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| October 25, 2022 |
Consent of Frost & Sullivan (Beijing) Inc., Shanghai Branch Co. EX-99.3 27 ff12022ex99-3prestige.htm CONSENT OF FROST & SULLIVAN (BEIJING) INC., SHANGHAI BRANCH CO. Exhibit 99.3 3006, Two Exchange Square 8 Connaught Place Central, Hong Kong Tel: 852 2191 5788 Fax: 852 2191 8500 www.frost.com October 25, 2022 Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central, Hong Kong Re: Prestige Wealth Inc. Ladies and Gentlemen, Reference is ma |
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| October 25, 2022 |
Memorandum and Articles of Association of the Registrant, as currently in effect Exhibit 3.1 THE COMPANIES LAW EXEMPTED COMPANY LIMITED BY SHARES MEMORANDUM OF ASSOCIATION OF Prestige Wealth Inc. ???????? 1. The name of the Company is Prestige Wealth Inc. and its dual foreign name is ????????. 2. The Registered Office of the Company shall be at the offices of Conyers Trust Company (Cayman) Limited, Cricket Square, Hutchins Drive, PO Box 2681, Grand Cayman, KY1-1111, Cayman Isl |
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| October 25, 2022 |
Exhibit 10.5 |
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| October 25, 2022 |
Exhibit 10.13 INVESTMENT Management agreement Prestige Global Capital Inc. and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED relating to PRESTIGE CAPITAL MARKETS FUND I L.P. CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Manager 3 4. Duties of the Manager 3 5. Soft Dollars and Cash Rebates 5 6. Representations and Warranties 6 7. Obligations of the Company 6 8. Restrictions a |
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| October 25, 2022 |
Form of Indemnification Agreement with the Registrant’s directors and officers EX-10.3 10 ff12022ex10-3prestige.htm FORM OF INDEMNIFICATION AGREEMENT WITH THE REGISTRANT'S DIRECTORS AND OFFICERS Exhibit 10.3 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this “Agreement”) is entered into as of by and between Prestige Wealth Inc., a Cayman Islands company (the “Company”), and the undersigned, a director and/or an officer of the Company (“Indemnitee”), as applicable |
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| October 25, 2022 |
Opinion of Conyers Dill & Pearman regarding certain British Virgin Islands tax matters Exhibit 8.3 25 October 2022 Matter No.: 828121 Doc Ref: 107681884 (852) 2842 9595 [email protected] Prestige Wealth Inc. Suite 5102, 51/F Cheung Kong Center 2 Queen?s Road Central Hong Kong Dear Sirs Re: PRESTIGE ASSET INTERNATIONAL INC. PRESTIGE PRIVATE WEALTH MANAGEMENT LIMITED (together, the ?Companies?) We have acted as special British Virgin Islands legal counsel to Prestige Wealth Inc |
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| October 25, 2022 |
Prestige Wealth Inc. October 25, 2022 Via EDGAR Mr. David Gessert Ms. Susan Block Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 5 to Draft Registration Statement on Form F-1 Submitted May 13, 2022 CIK No. 0001765850 Dear Mr. Gessert and Ms. Block: This letter is in response to the letter dated June 15, 20 |
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| October 25, 2022 |
Powers of Attorney (included on signature page) As filed with the U.S. Securities and Exchange Commission on October 25, 2022. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 8900 Not Applicable (State or other jurisdiction of incorporation or or |
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| October 25, 2022 |
Exhibit 10.10 INVESTMENT ADVISORY AGREEMENT Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the “Manager”) and PRESTIGE ASSET MANAGEMENT LIMITED (the “Investment Advisor”) in respect of the Prestige Global Allocation Fund CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Investment Advisor 3 4. Duties of the Investment Advisor 3 5. Delegation 5 6. Voting 5 7. Execution of |
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| May 13, 2022 |
Confidential Draft No. 5 as confidentially submitted to the U.S. Securities and Exchange Commission on May 13, 2022. This draft registration statement has not been publicly filed with the U.S. Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATIO |
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| May 13, 2022 |
Prestige Wealth Inc. May 13, 2022 Via Edgar Mr. David Gessert Ms. Sandra Hunter Berkheimer Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 4 to Draft Registration Statement on Form F-1 Submitted December 20, 2021 CIK No. 0001765850 Dear Mr. Gessert and Ms. Hunter Berkheimer: This letter is in response to th |
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| May 13, 2022 |
Exhibit 21.1 List of Subsidiaries Subsidiary Jurisdiction of incorporation or organization Prestige Asset International Inc. British Virgin Islands Prestige Private Wealth Management Limited British Virgin Islands Prestige Asset Management Limited Hong Kong Prestige Global Asset Management Limited Cayman Islands Prestige Wealth Management Limited Hong Kong Prestige Global Capital Inc. Cayman Islan |
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| December 20, 2021 |
EX-10.1 2 filename2.htm Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of February 1, 2019 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and Hongtao Shi, an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executiv |
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| December 20, 2021 |
EX-10.17 7 filename7.htm Exhibit 10.17 dELEGATION Agreement Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (PGAM) and Prestige Asset Management Limited (PAM) In respect to the advisory agreement with Party A BACKGROUND: (A) PGAM is qualified asset management company incorporated in Cayman Islands. PAM is qualified and asset management company incorporated in Hong Kong. Party A has appointed PGAM |
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| December 20, 2021 |
EX-10.2 3 filename3.htm Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of February 1, 2019 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and Ngat Wong, an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executive |
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| December 20, 2021 |
EX-10.18 8 filename8.htm Exhibit 10.18 No: Provided to: SUPPLEMENT HYB A FUND SP a segregated portfolio of PRESTIGE GLOBAL FUND SPC an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 312284 PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED Manager SHANGHAI BPS INVESTMENT MANAGEMENT PARTNERSHIP (LIMITED PARTNERSHIP) 上海毕朴斯投资管理合伙企业（有限合伙） Inves |
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| December 20, 2021 |
EX-10.15 5 filename5.htm Exhibit 10.15 fund FORMATION ADVISORY Agreement Between Party A And Prestige GLOBAL Asset Management Limited (PGAM, the “Advisor”) in respect of the underlying Fund (the “Fund”) BACKGROUND: (A) Both PARTY A and PGAM are qualified asset management companies incorporated in Cayman Islands. PARTY A plans to set up and issue Fund with approximate million USD of Asset under Man |
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| December 20, 2021 |
EX-10.14 4 filename4.htm Exhibit 10.14 Blue Ocean Wealth Management (Hong Kong) Limited Room 1802A, 18/F, Tower 5, China Hong Kong City, 33 Canton Road, Tsim Sha Tsui, Kowloon, Hong Kong Tel.: (852) 3528 0008 Fax: (852) 3528 0029 Email: [email protected] Website: www.blueoceanhk.com Insurance Authority License FB 1551 A member of Professional Insurance Broker’s Association, Membership No.: M-41 |
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| December 20, 2021 |
EX-10.16 6 filename6.htm Exhibit 10.16 ONGOING ADVISORY Agreement Between Party A and Prestige GLOBAL Asset Management Limited (PGAM, the “Advisor”) in respect of the underlyingFund (the “Fund”) BACKGROUND: (A) Both PARTY A and PGAM are qualified asset management companies incorporated in Cayman Islands. PARTY A plans to set upfund to be issued in Hong Kong markets and intends to cooperate with PG |
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| December 20, 2021 |
Confidential Draft No. 4 as confidentially submitted to the U.S. Securities and Exchange Commission on December 20, 2021. This draft registration statement has not been publicly filed with the U.S. Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGIST |
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| December 20, 2021 |
EX-10.19 9 filename9.htm Exhibit 10.19 INVESTMENT Management agreement Prestige Global Capital Inc. and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED relating to PRESTIGE CAPITAL MARKETS FUND I L.P. CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Manager 3 4. Duties of the Manager 3 5. Soft Dollars and Cash Rebates 5 6. Representations and Warranties 6 7. Obligations of the Co |
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| December 20, 2021 |
Exhibit 21.1 List of Subsidiaries Subsidiary Jurisdiction of incorporation or organization Prestige Asset International Inc. British Virgin Islands Prestige Private Wealth Management Limited British Virgin Islands Prestige Asset Management Limited Hong Kong Prestige Global Asset Management Limited Cayman Islands Prestige Wealth Management Limited Hong Kong Prestige Global Capital Inc. Cayman Islan |
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| December 17, 2021 |
Prestige Wealth Inc. December 20, 2021 Via Edgar Ms. Pamela A. Long Assistant Director Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 3 to Draft Registration Statement on Form F-1 Submitted August 23, 2019 CIK No. 0001765850 Dear Ms. Long: This letter is in response to the letter dated September 17, 2019, |
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| August 23, 2019 |
Exhibit 10.12 PRESTIGE GLOBAL ALLOCATION FUND (the ?Company?) and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) MANAGEMENT AGREEMENT CONTENTS 1. Interpretation 1 2. Appointment of the Manager 3 3. Duties of the Manager 3 4. Soft Dollars and Cash Rebates 6 5. Representations and Warranties of the Company 6 6. Representations and Warranties of the Manager 7 7. Obligations of the Company 8 |
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| August 23, 2019 |
Prestige Wealth Inc. August 23, 2019 Via Edgar Ms. Pamela A. Long Assistant Director Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 2 to Draft Registration Statement on Form F-1 Submitted May 10, 2019 CIK No. 0001765850 Dear Ms. Long: This letter is in response to the letter dated May 22, 2019, from the st |
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| August 23, 2019 |
Exhibit 10.11 investment ADVISORY Agreement Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) and Prestige Asset Management Limited (the ?Investment Adviser?) in respect of the Prestige Global Fund SPC CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Investment Adviser 3 4. Duties of the Investment Adviser 3 5. Delegation 5 6. Voting 6 7. Execution of Orders |
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| August 23, 2019 |
Exhibit 99.5 CONSENT OF ADAM (XIN) HE Prestige Wealth Inc. (the ?Company?) intends to file a Registration Statement on Form F-l (together with any amendments or supplements thereto, the ?Registration Statement?) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby consents to being named in |
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| August 23, 2019 |
EX-99.4 6 filename6.htm Exhibit 99.4 CONSENT OF H. DAVID SHERMAN Prestige Wealth Inc. (the “Company”) intends to file a Registration Statement on Form F-l (together with any amendments or supplements thereto, the “Registration Statement”) registering securities for issuance in its initial public offering. As required by Rule 438 under the Securities Act of 1933, as amended, the undersigned hereby |
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| August 23, 2019 |
Exhibit 10.2 INDEMNIFICATION AGREEMENT This Indemnification Agreement (this ?Agreement?) is entered into as of by and between Prestige Wealth Inc., a Cayman Islands company (the ?Company?), and the undersigned, a director and/or an officer of the Company (?Indemnitee?), as applicable. RECITALS The Board of Directors of the Company (the ?Board of Directors?) has determined that the ability to attra |
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| August 23, 2019 |
This Draft Registration Statement is confidentially submitted to the U.S. Securities and Exchange Commission pursuant to Section 106(a) of the Jumpstart Our Business Startups Act of 2012 on August 23, 2019 and is not being filed publicly under the Securities Act of 1933, as amended. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to FOR |
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| August 23, 2019 |
CODE OF BUSINESS CONDUCT AND ETHICS PRESTIGE WEALTH INC. EX-99.1 5 filename5.htm Exhibit 99.1 CODE OF BUSINESS CONDUCT AND ETHICS of PRESTIGE WEALTH INC. INTRODUCTION Purpose This Code of Business Conduct and Ethics contains general guidelines for conducting the business of Prestige Wealth Inc., a Cayman Islands company (the “Company”), consistent with the highest standards of business ethics. To the extent this Code requires a higher standard than requ |
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| May 10, 2019 |
Exhibit 10.14 ACKNOWLEDGEMENT I, Ms. Xinyu Zhao, the spouse of Prestige Wealth Inc.?s director and majority shareholder, Mr. Sze Chi Tak, hereby acknowledge that between November 2017 and August 2018, I received on my personal bank account the aggregate amount of $3,249,528 from various insurance brokers as referral fees earned by the Company in connection with the subscription of insurance produc |
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| May 10, 2019 |
Prestige Wealth Inc. May 10, 2019 Via Edgar Ms. Pamela A. Long Assistant Director Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Amendment No. 1 to Draft Registration Statement on Form F-1 Submitted April 11, 2019 CIK No. 0001765850 Dear Ms. Long: This letter is in response to the letter dated April 24, 2019, from the s |
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| May 10, 2019 |
CONFIDENTIAL TREATMENT REQUESTED BY PRESTIGE WEALTH INC. As confidentially submitted to the Securities and Exchange Commission on May 10, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cay |
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| April 11, 2019 |
Exhibit 10.8 No: Provided to: PRIVATE PLACEMENT MEMORANDUM Prestige Global Allocation Fund an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 319459 Prestige Global Asset Management Limited Manager Prestige Asset Management Limited Investment Advisor [27 March 2017] WARNING The contents of this document have not been reviewed by an |
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| April 11, 2019 |
Exhibit 10.12 PRESTIGE GLOBAL ALLOCATION FUND (the ?Company?) and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) MANAGEMENT AGREEMENT CONTENTS 1. Interpretation 1 2. Appointment of the Manager 3 3. Duties of the Manager 3 4. Soft Dollars and Cash Rebates 6 5. Representations and Warranties of the Company 6 6. Representations and Warranties of the Manager 7 7. Obligations of the Company 8 |
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| April 11, 2019 |
Exhibit 10.6 PRESTIGE GLOBAL FUND SPC INVESTMENT ADVISOR PRESTIGE ASSET MANAGEMENT LIMITED (Securities & Futures Commission of Hong Kong licence: BHS708) SUBSCRIPTION AGREEMENT INSTRUCTIONS Prestige Global Fund SPC (the ?Fund?) is offering the Participating Shares, as specified in the subscription below. Subscribers should carefully review the current private placement memorandum of the Fund and a |
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| April 11, 2019 |
Exhibit 10.11 investment ADVISORY Agreement Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) and Prestige Asset Management Limited (the ?Investment Advisor?) in respect of the Prestige Global Fund SPC CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Investment Advisor 3 4. Duties of the Investment Advisor 3 5. Delegation 5 6. Voting 5 7. Execution of Orders |
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| April 11, 2019 |
DRS/A 1 filename1.htm CONFIDENTIAL TREATMENT REQUESTED BY PRESTIGE WEALTH INC. As confidentially submitted to the Securities and Exchange Commission on April 11, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter |
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| April 11, 2019 |
Exhibit 10.14 ACKNOWLEDGEMENT I, Ms. Xinyu Zhao, the spouse of the director and majority shareholder of Prestige Wealth Inc., Mr. Sze Chi Tak, hereby acknowledge that between November 2017 and August 2018, I received in my personal bank account, an aggregate amount of $3,249,528 from various insurance brokers as referral fees earned by the Company in connection with the subscription of insurance p |
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| April 11, 2019 |
Prestige Wealth Inc. Suite 5102, 51/F, Cheung Kong Center 2 Queen’s Road Central, Hong Kong +852 2122 8588 April 11, 2019 Via Edgar Ms. Pamela A. Long Assistant Director Division of Corporation Finance Office of Financial Services U.S. Securities and Exchange Commission Re: Prestige Wealth Inc. Draft Registration Statement on Form F-1 Submitted February 15, 2019 CIK No. 0001765850 Dear Ms. Long: T |
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| April 11, 2019 |
Exhibit 10.13 investment ADVISORY Agreement Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) and Prestige Asset Management Limited (the ?Investment Advisor?) in respect of the Prestige Global Allocation Fund CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Investment Advisor 3 4. Duties of the Investment Advisor 3 5. Delegation 5 6. Voting 5 7. Execution of |
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| April 11, 2019 |
EX-10.15 8 filename8.htm Exhibit 10.15 Referral Agreement This contract is entered into by and between Blue Ocean Wealth Management HK Limited (hereinafter referred to as Party A), and Prestige Private Wealth Management Limited (hereinafter referred to as Party B). Party A agrees that the above is called Party B; both parties understand and accept the contents and terms of the contract. Article 1: |
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| February 15, 2019 |
EX-3.2 3 filename3.htm Exhibit 3.2 The Companies Law (Revised) Company Limited by Shares AMENDED AND RESTATED ARTICLES OF ASSOCIATION OF Prestige Wealth Inc. 盛德財富有限公司 (Adopted by way of a special resolution passed on [ ] 2019 and effective immediately prior to the closing of the Company’s initial public offering of Ordinary Shares on the Designated Stock Exchange, effective on [ ] 2019) I N D E X |
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| February 15, 2019 |
Exhibit 10.3 THIS AGREEMENT is made on this 15 July 2018 BETWEEN: (1) Prestige Securities Limited, a company incorporated in Hong Kong with limited liability, whose registered office is situated at Suite 5102, 51/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong (the “Company”); and (2) Prestige Asset Management Limited, a company incorporated in Hong Kong with limited liability, whose regi |
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| February 15, 2019 |
EX-10.1 4 filename4.htm Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”), is entered into as of [ ], 2018 by and between Prestige Wealth Inc., a company incorporated and existing under the laws of the Cayman Islands (the “Company”), and [ ], an individual (the “Executive”). The term “Company” as used herein with respect to all obligations of the Executive hereunder sha |
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| February 15, 2019 |
SUBSEQUENT SUBSCRIPTION FORM Prestige Global Fund SPC (the ?Company?) Exhibit 10.6 SUBSEQUENT SUBSCRIPTION FORM Prestige Global Fund SPC (the ?Company?) Please complete this Subsequent Subscription Form (the ?Form?) carefully in English using block letter and return the ?Form? to Prestige Asset Management Limited either by fax to (852) 2122 8589 or via email to [email protected] Please read the latest private placement memorandum and relevant supplement (?Offering M |
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| February 15, 2019 |
Exhibit 10.11 PRESTIGE GLOBAL ALLOCATION FUND (the ?Company?) and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the ?Manager?) MANAGEMENT AGREEMENT CONTENTS 1. Interpretation 1 2. Appointment of the Manager 3 3. Duties of the Manager 3 4. Soft Dollars and Cash Rebates 6 5. Representations and Warranties of the Company 6 6. Representations and Warranties of the Manager 7 7. Obligations of the Company 8 |
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| February 15, 2019 |
Exhibit 10.8 No: Provided to: PRIVATE PLACEMENT MEMORANDUM PRESTIGE GLOBAL FUND SPC an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 312284 PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED Manager PRESTIGE ASSET MANAGEMENT LIMITED Investment Advisor 28 November 2016 WARNING The contents of this document have not been reviewed by any regu |
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| February 15, 2019 |
EX-3.1 2 filename2.htm Exhibit 3.1 THE COMPANIES LAW EXEMPTED COMPANY LIMITED BY SHARES AMENDED AND RESTATED MEMORANDUM OF ASSOCIATION OF Prestige Wealth Inc. 盛德財富有限公司 (Adopted by way of a special resolution passed on [▪] 2019 and effective immediately prior to the closing of the Company's initial public offering of Ordinary Shares [represented by American Depositary Shares] on the Designated Stoc |
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| February 15, 2019 |
Exhibit 10.7 INVESTMENT Management agreement PRESTIGE GLOBAL FUND SPC (the “Company”) for and on behalf of PRESTIGE GLOBAL FUND SP1 (the “Segregated Portfolio”) and PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the “Manager”) CONTENTS 1. Interpretation 1 2. Appointment of the Manager 3 3. Duties of the Manager 3 4. Soft Dollars and Cash Rebates 6 5. Representations and Warranties of the Company for an |
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| February 15, 2019 |
Exhibit 10.10 investment ADVISORY Agreement Between PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED (the “Manager”) and Prestige Asset Management Limited (the “Investment Advisor”) in respect of the Prestige Global Allocation Fund CONTENTS 1. Interpretation 1 2. Regulatory Status 3 3. Appointment of the Investment Advisor 3 4. Duties of the Investment Advisor 3 5. Delegation 5 6. Voting 5 7. Execution of |
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| February 15, 2019 |
EX-10.9 11 filename11.htm Exhibit 10.9 No: Provided to: supplement PRESTIGE QUANTITATIVE OPPORTUNITIES FUND I SP a segregated portfolio of PRESTIGE GLOBAL FUND SPC an exempted company incorporated with limited liability under the laws of the Cayman Islands with registration number 312284 PRESTIGE GLOBAL ASSET MANAGEMENT LIMITED Manager PRESTIGE ASSET MANAGEMENT LIMITED Investment Advisor 1 Februar |
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| February 15, 2019 |
Exhibit 21.1 List of Subsidiaries Subsidiary Jurisdiction of incorporation or organization Prestige Asset International Inc. British Virgin Islands Prestige Private Wealth Management Limited British Virgin Islands Prestige Asset Management Limited Hong Kong Prestige Global Asset Management Limited Cayman Islands Prestige Wealth Management Limited Hong Kong |
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| February 15, 2019 |
PRESTIGE GLOBAL ALLOCATION FUND SUBSCRIPTION AGREEMENT INSTRUCTIONS Exhibit 10.5 PRESTIGE GLOBAL ALLOCATION FUND SUBSCRIPTION AGREEMENT INSTRUCTIONS Prestige Global Allocation Fund (the “Fund”) is offering the Participating Shares, as specified in the Private Placement Memorandum (as defined below). Subscribers should carefully review the current private placement memorandum of the Fund and any appendix thereto for each Class of Participating Shares as supplied by |
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| February 15, 2019 |
CONFIDENTIAL TREATMENT REQUESTED BY PRESTIGE WEALTH INC. As confidentially submitted to the Securities and Exchange Commission on February 15, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM F-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Prestige Wealth Inc. (Exact name of registrant as specified in its charter) Cayman Islands 89 |
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| February 15, 2019 |
EX-10.4 6 filename6.htm Exhibit 10.4 THIS AGREEMENT is made on this 15 July 2018 BETWEEN: (1) Prestige Securities Limited, a company incorporated in Hong Kong with limited liability, whose registered office is situated at Suite 5102, 51/F, Cheung Kong Center, 2 Queen’s Road Central, Hong Kong (the “Company”); and (2) Prestige Wealth Management Limited, a company incorporated in Hong Kong with limi |
