Events listed in Securities and Futures Ordinance
Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap. ...
ID 26603
A new version of the Securities and Futures (Contracts Limits and Reportable Positions) Rules was published on Hong Kong e-Legislation, the official platform of the Hong Kong government for publicizing legal documents. The latest version contains amendments to the main body and both schedules of the rules to reflect the recent revisions to the position limits regime which came into force on December 22, ...
Circular to Management Companies of SFC-authorised Exchange Traded Funds (“ETFs”) – ...
ID 26594
The Securities and Futures Commission of Hong Kong (SFC) has issued a new circular addressed at managers of exchange traded funds (ETFs). In this circular, the SFC outlines the key changes in an ETF that must be notified to investors in order to enable them to make informed investment decisions and to stay up-to-date on the key characteristics of a fund. Such changes include, ...
Checklist for Application for Authorisation of Real Estate Investment Trusts
ID 26555
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Checklist for Application for Authorisation of Real Estate Investment Trusts. 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 REIT (i.e. name ...
Information Checklist for Application for Authorization of Dutch Funds under the ...
ID 26554
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Dutch 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 Filing of Pricing Errors
ID 26553
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form for the reporting of erroneous NAVs to the Commission. The form requires information on – the investment fund affected by the error (fund name, custodian, fund management company, etc.); – type of error occurred and the respective error date; – the duration of the error and the impact upon investors; ...
Joint circular on intermediaries’ virtual asset-related activities
ID 26548
The Hong Kong Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have issued a new joint circular addressed at financial market intermediaries engaged in virtual asset-related activities. The circular thereby provides guidance and updates on the regulatory approach for distributing virtual asset-related products (VA-related products) and providing virtual asset dealing services to investors. The circular supersedes a previous one recently ...
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, ...