Events listed in Asset Management
List of market makers and authorised primary dealers [pdf]
ID 26536
The Financial Conduct Authority (FCA) has published an updated list of UK authorized market makers and primary dealers pursuant to Article 17(13) of the retained EU Short Selling Regulation (UK SSR) which are exempt from short selling prohibitions in accordance with paragraph 1 or 3 of same regulation. A comparison with the previous list reveals that SPIRE EUROPE LIMITED (SPIRGB21) has been replaced by ...
Filing Form for Notice of Scheme Change(s) falling within 10.1B of the Code on ...
ID 26535
The Securities and Futures Commission of Hong Kong, SFC, has published a revised Filing Form for Notice of Scheme Change(s) falling within 10.1B of the Code on Pooled Retirement Funds (PRF Code) and do not require SFC’s prior approval to be used from December 22, 2023 onward. Specifically, the filing of the new form is required, if changes regarding a Pooled Retirement Fund occur ...
Information Checklist for Application for Authorization of UK Funds under the ...
ID 26534
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of UK Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process. The checklist which shall be used beginning on the application date outlined above MUST be submitted to the SFC along with the prescribed documents. The checklist contains or ...
Publication des rapports du FSB et de l’OICV sur la gestion de la liquidité des ...
ID 26533
Back in Septembr 2023, the AFG responded to corresponding consultations by the FSB and IOSCO on open-ended fund liquidity management, of which both organizations now published their respective final reports. These comprehensive reports reflect a concerted effort to address challenges related to liquidity management in open-end funds. **The FSB’s focus on harmonizing the use of anti-dilution tools is particularly noteworthy, aiming to enhance the ...
Current report pursuant to Section 13 or 15(d) (PDF)
ID 26532
The U.S. Securities and Exchange Commission (SEC) has published revised Form 8-K relating to the notification of certain „material“ events to the Commission. Specifically, the revised form must be used for a variety of purposes, including reporting changes in control of the company, resignations of directors or officers, bankruptcy filings, and the entry into material agreements. Form 8-K requires companies to disclose information promptly, ...
Filing Form for Notice of Scheme Change(s) falling within 8.2B of the SFC Code on ...
ID 26531
The Securities and Futures Commission of Hong Kong, SFC, has published a revised filing form in connection with modifications to the offering document of a Pooled Retirement Fund (PRF). The filing of the form is required, if changes occur in the offering document that are minor in nature and do not change the basic content and format of such (no prior approval is required) ...
Confirmation of fulfilment of authorization conditions (Annex 2 to the Guide on ...
ID 26530
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form for the confirmation that all conditions for the authorization of a mutual fund or unit trust have been fulfilled, including that – the offering document aligns with the expectations of the SFC; – the offering document for foreign funds aligns with the offering document of the home jurisdiction; – necessary ...
Circular to management companies of SFC-authorised unit trusts and mutual funds ...
ID 26529
On December 22, 2023, the Securities and Futures Commission (SFC) issued a circular to inform that it has updated various documents, including FAQs, checklists, and guidances for SFC-authorized funds after a thorough review and engagement with market participants. The aim was to improve operational efficiency particularly in the authorization process without compromising investor protection. The key changes include the following: **(1) Appointment of investment ...
Registration statement / Annual report / Transition report (PDF)
ID 26528
The U.S. Securities and Exchange Commission (SEC) has published new Form 20-F which will be valid through December 31, 2026 unless otherwise modified before. The form is to be used by foreign private issuers to register their securities with the SEC under the Securities Exchange Act of 1934. Form 20-F requires extensive disclosures, including information about the issuer’s business operations, financial statements, risk factors, ...
Annual report pursuant to Section 13 or 15(d) (PDF)
ID 26527
The U.S. Securities and Exchange Commission (SEC) has published new Form 10-K which will be valid through December 31, 2026 unless otherwise modified before. Form 10-K is a comprehensive annual report that all publicly traded companies must file with the Commission. It provides a detailed overview of the company’s financial performance, business operations, risk factors, and management’s discussion and analysis of the company’s financial ...