Events listed in Hong Kong
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 ...
FAQs – Publicly offered investment products: Post Authorization Compliance ...
ID 26546
The Securities and Futures Commission of Hong Kong (SFC) has published revised Frequently Asked Questions (FAQs) on Post Authorization Compliance Issues of SFC-authorized Unit Trusts and Mutual Funds. These FAQs cover issues such as ongoing requirements after the fund or trust was approved, notification requirements in case of (possible) trading suspension, or subsequent authorization obligations, if a fund’s strategy is to be changed – ...
FAQs – Publicly offered investment products: Pooled Retirement Funds
ID 26544
The Securities and Futures Commission of Hong Kong (SFC) published revised frequently asked questions (FAQs) relating to Pooled Retirement Funds (PRF). The FAQs address various issues, ranging from the application process for a PRF product, to the documents to be provided in this context and corresponding time limits, to the authorization of marketing material and permitted sales and marketing practices of PRFs. In comparing ...
FAQs – Publicly offered investment products: Guide on the Use of Financial ...
ID 26543
The Securities and Futures Commission, SFC, has published updated guidelines in connection with the use of financial derivative instruments by Unit Trusts and Mutual Funds. The guide primarily outlines the principles to determine net derivatives exposure and corresponding disclosure requirements. It also sets forth circumstances where such calculation isn’t needed (provisions for omitting the determination). This most recent update includes revisions to Annex 2, ...
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 ...
United Nations Sanctions (Central African Republic) Regulation 2020 (Cap. 537CM) ...
ID 26540
A revised version of the United Nations Sanctions (Central African Republic) Regulation 2020 was published on Hong Kong e-Legislation, the official platform of the Hong Kong government for legislative publications. The revised version contains the amendments made by the United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2023 which renewed or better extended already existing sanction provisions with respect to the following: ...
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 ...
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 ...