Events listed in form
Checklist for Application for Authorisation of Real Estate Investment Trusts
ID 26555
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Checklist for Application for Authorisation of Real Estate Investment Trusts. 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 requires information on: (1) the REIT (i.e. name ...
Information Checklist for Application for Authorization of Dutch Funds under the ...
ID 26554
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Dutch 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 ...
On-Going Compliance Form for Filing of Pricing Errors
ID 26553
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form for the reporting of erroneous NAVs to the Commission. The form requires information on – the investment fund affected by the error (fund name, custodian, fund management company, etc.); – type of error occurred and the respective error date; – the duration of the error and the impact upon investors; ...
Application Form for Scheme Change(s)
ID 26547
The Securities and Futures Commission of Hong Kong (SFC) has issued a *[revised „Application Form for Scheme Change(s)“ in respect of mutual funds and unit trusts](https://www.sfc.hk/-/media/files/PCIP/Checklist-and-Forms/UT/UT_3_pdf_20231222_111-SC-Form.pdf?rev=fccd1124d54e45bfbe97976afd626a72&hash=53AE096F875051444061DC4789AA93C4)** subject to the requirements set out in the Code on Unit Trusts and Mutual Funds. The new form shall be used beginning on t ...
Information Checklist for Application for Authorization of Mainland Funds under the ...
ID 26542
The Securities and Futures Commission of Hong Kong (SFC) has issued a *Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process](https://www.sfc.hk/-/media/files/PCIP/Checklist-and-Forms/MRF/Mainland/1_MRF-Mainland_Information-checklist_20231222_PDF.pdf?rev=73921d30579a4eeb89dd7bbbf7d85bf0&hash=4849463E42EB7D11F3EBA59BE68AD8FA)**. The checklist MUST be submitted to the SFC alo ...
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 ...
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 ...