Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process

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 requires information on:
(1) the Swiss fund (i.e. name, custodian, type of fund, type of management, derivatives exposure, etc.);
(2) the basic documents that must be submitted to the SFC along with a corresponding checklist that must also be filled out; and
(3) the confirmation form to be submitted to verify compliance with the authorization conditions and terms of the SFC.
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The SFC notes that it reserves the right to dismiss any incomplete application forms or request additional information, if so needed. The changes to the previous version are indicated in the document.