GN 4169 of 2023

The Securities and Futures Commission of Hong Kong, SFC, has published a General Notice, G.N. 4169/2023, to gazette several new forms to be used for filings with the Commission pursuant to Section 402 of the Securities and Futures Ordinance when WINGS, the electronic filing platform of the SFC, is unavailable. The affected forms are the following:
#### Forms
1U – Application for Licence – Corporation
2U – Post-licence Application by Licensed Corporation
3U – Application for New Registration (For Authorized Institution only)
4U – Post-registration Applications (For Registered Institution Only)
5U – New licence application for Responsible Officer or Licensed Representative
6U – Post-licence application for Responsible Officer or Licensed Representative
7U – New Substantial Shareholder Application
8U – Notification by Substantial Shareholder
9U – Notification and Application by Associated Entity
10U – Officer for Signing Financial Resources Returns (other than Responsible Officer)
#### Supplements
1U – Information on Corporation
2U – Personal Information
3U – Bank Accounts and Financial Information
4U – Manager-In-Charge of Core Functions
#### Questionnaires
1U – General Business Profile and Internal Control Summary
2U – Specific Business Profile and Internal Control Summary
#### Annual Returns
1U – Annual Return — Licensed Corporation
2U – Annual Return — Licensed Representative
#### Notification
1U – Notification by Licensed Corporation/ Registered Institution/ Licensed Representative/ Responsible Officer
All forms are included in the enclosed Notice. All previous versions of the forms are revoked as of July 21, 2023.