Events listed in [SFC] Securities and Futures Commission
Filing Form for Notice of Scheme Change(s) falling within 11.1B of the Code on Unit ...
ID 26509
The Securities and Futures Commission of Hong Kong, SFC, has published a revised form in connection with modifications to a collective investment scheme (CIS). Specifically, the new form must be submitted to the SFC, if changes occur that are minor in nature and do not require the SFC’s prior approval in accordance with the Point 11.1B of the Code on Unit Trusts and Mutual ...
Information Checklist for Application for Authorization of Thai Funds under the ...
ID 26508
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Thai Funds under the Mutual Recognition of Funds Arrangement. 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) ...
Compliance Checklist for Application of MPF Schemes
ID 26506
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Compliance Checklist for Application of MPF Schemes. The checklist MUST be submitted to the SFC alongside the prescribed documents or filing forms in the application process for being registered as an MPF scheme. Among others, it contains or requires information on (1) the funds offered by the scheme, ...
FAQs – Publicly offered investment products: Application Procedures for ...
ID 26504
The Securities and Futures Commission of Hong Kong (SFC) published revised „Frequently Asked Questions (FAQs) on Application Procedures for Authorization of Unit Trusts and Mutual Funds under the Revamped Process“. These FAQs cover issues such as (1) basic documentary requirements for fund application such as the forms to be filed as well as some general information as regards the application fees; (2) the revamped ...
Information Checklist for Investment-linked Assurance Schemes
ID 26503
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised Information Checklist for Investment-Linked Assurance Schemes (ILAS). The checklist was introduced in 2021 to be used from November 1, 2021 when applying for authorization of an investment-linked assurance scheme (ILAS). Among other issues, the checklist contains or requires information on: (1) the scheme itself (i.e. name, investment objectives, fees, etc.); (2) ...
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 ...
FAQs – Publicly offered investment products: Paper Gold Schemes
ID 26498
On December 22, 2023, the Securities and Futures Commission of Hong Kong (SFC) published revised Frequently Asked Questions on „Paper Gold Schemes“ which facilitate investments in gold, but do not involve the physical purchase or storage of actual gold bars. Instead, these schemes typically involve the sale of paper certificates or other financial instruments that represent ownership of gold. The gold may thereby be ...
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 – ...