Events listed in form
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 ...
On-Going Compliance Form for Reporting of Pricing Errors
ID 26524
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form for the reporting of erroneous NAVs to the Commission. Just like the form mentioned in EventID 24455 on the filing of pricing errors, this form requires information on – the investment fund affected by the error (fund name, custodian, fund management company, etc.); – type of error occurred and the ...
General form for registration of securities pursuant to Section 12(b) or (g) (PDF)
ID 26519
The U.S. Securities and Exchange Commission (SEC) has published new Form 10 which will be valid through November 30, 2025 unless otherwise modified before. The form is to be used in connection with the registration of securities with the SEC in accordance with Section 12B and 12G (exemptions) of the Securities Exchange Act of 1934. It shall be noted that the form is NOT ...
General form for quarterly reports under Section 13 or 15(d) (PDF)
ID 26518
The U.S. Securities and Exchange Commission (SEC) has published Form 10-Q which is required to be filed by publicly traded companies with the SEC on a quarterly basis. It provides detailed financial information about a company’s operations and financial condition for the preceding fiscal quarter. The form must be used by domestic and foreign companies that have registered securities with the SEC under the ...
Notification of late filing (PDF)
ID 26514
The U.S. Securities and Exchange Commission (SEC) has published new Form 12b-25 which will be valid through April 30, 2025 unless otherwise modified before. The form is to be used to notify the Commission and each exchange where a security of the issuer is registered of any delays in the filing of the forms listed below. It must only be used by non-electronic filers. ...
Filing Form for Notice of Scheme Change(s) falling within 11.1B of the Code on Unit ...
ID 26509
The Securities and Futures Commission of Hong Kong, SFC, has published a revised form in connection with modifications to a collective investment scheme (CIS). Specifically, the new form must be submitted to the SFC, if changes occur that are minor in nature and do not require the SFC’s prior approval in accordance with the Point 11.1B of the Code on Unit Trusts and Mutual ...
Information Checklist for Application for Authorization of Thai Funds under the ...
ID 26508
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Thai Funds under the Mutual Recognition of Funds Arrangement. 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) ...
Compliance Checklist for Application of MPF Schemes
ID 26506
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Compliance Checklist for Application of MPF Schemes. The checklist MUST be submitted to the SFC alongside the prescribed documents or filing forms in the application process for being registered as an MPF scheme. Among others, it contains or requires information on (1) the funds offered by the scheme, ...
Information Checklist for Investment-linked Assurance Schemes
ID 26503
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised Information Checklist for Investment-Linked Assurance Schemes (ILAS). The checklist was introduced in 2021 to be used from November 1, 2021 when applying for authorization of an investment-linked assurance scheme (ILAS). Among other issues, the checklist contains or requires information on: (1) the scheme itself (i.e. name, investment objectives, fees, etc.); (2) ...