Events listed in form
Compliance Checklist for Application of Pooled Investment Funds
ID 26502
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Compliance Checklist for Application of Pooled Investment Funds (PIFs). The checklist MUST be submitted to the SFC alongside the prescribed documents or filing forms in the application process for being registered as a PRF. Among others, it contains or requires information on (1) the (sub)fund (i.e. name, type ...
Ongoing Compliance Form for Reporting of Material Breaches
ID 26501
The Securities and Futures Commission of Hong Kong, SFC, has issued an entirely new form for the reporting of various breaches under the Code on Unit Trusts and Mutual Funds and under the SFC’s Overarching Principles Section of its Handbook. These breaches include, among others, violations of investment restrictions, derivative exposures, position limits, or information reporting. The new form thereby requires information on – ...
Compliance Checklist for Application of Pooled Retirement Funds
ID 26500
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Compliance Checklist for Application of Pooled Retirement Funds (PRF). The checklist MUST be submitted to the SFC alongside the prescribed documents or filing forms in the application process for being registered as a PRF. Among others, it contains or requires information on (1) the fund (i.e. name, type ...
Ongoing Compliance Form for Filing of Material Breaches
ID 26497
The Securities and Futures Commission of Hong Kong, SFC, has issued an entirely new form for the reporting of various breaches under the Code on Unit Trusts and Mutual Funds and under the SFC’s Overarching Principles Section of its Handbook. These breaches include, among others, violations of investment restrictions, derivative exposures, position limits, or information reporting. The new form thereby requires information on – ...
Information Checklist for Application for Authorization of Unit Trusts and Mutual ...
ID 26496
The Securities and Futures Commission of Hong Kong (SFC) has published a revised Information Checklist for Application for Authorization of Unit Trusts and Mutual Funds under the Revamped Process. The checklist MUST be submitted to the SFC along with the prescribed documents when filing for authorization under the „revamped process“ (accelated processing via the SFC). The checklist contains or requires information on: (1) the ...
Form of confirmation and undertaking on compliance with the OP Section of the ...
ID 26493
The Securities and Futures Commission, SFC, has issued a revised Form of Confirmation and Undertaking to be used by so-called paper gold schemes (PGS) which facilitate investments in gold primarily through the use of ownership certificates. The form confirms and undertakes that: – the applicant and the scheme comply with the overarching principles section of the *SFC Handbook for Unit Trusts and Mutual Funds, ...
Information Checklist for Application for Authorization of Swiss Funds under the ...
ID 26491
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Swiss 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 ...
Information Checklist for Application for Authorization of Luxembourg Funds under ...
ID 26490
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Luxembourg 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 Notice of Mergers/Restructuring/Termination/Withdrawal ...
ID 26489
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form to be used by mutual funds and unit trusts in case of mergers with another fund/trust, restructuring, termination in case of mergers/restructuring, or withdrawal of authorization. Among others, the form seeks information on – on the number of units / share affected; – the latest size (assets under management); – ...
FinDatEx publishes EET V1.1.2
ID 26450
The Financial Data Exchange (FinDatEx) platform has published a revised version of the European ESG Template (EET V1.1.2) of the dedicated working group to implement the following minor amendments – as quoted: – typo corrections, – transition from M/C to O of transitional scope 1, 2 data fields, and – two new data fields 103 (Frequency of providing information on PAI) and 616 (Snapshot ...