Events listed in [SFC] Securities and Futures Commission
Information Checklist for Application for Authorization of Unit Trusts and Mutual ...
ID 26496
The Securities and Futures Commission of Hong Kong (SFC) has published a revised Information Checklist for Application for Authorization of Unit Trusts and Mutual Funds under the Revamped Process. The checklist MUST be submitted to the SFC along with the prescribed documents when filing for authorization under the „revamped process“ (accelated processing via the SFC). The checklist contains or requires information on: (1) the ...
FAQs – Mainland-Hong Kong Mutual Recognition of Funds: Frequently Asked ...
ID 26494
The Securities and Futures Commission of Hong Kong (SFC) published revised Frequently Asked Questions (FAQs) on Mainland-Hong Kong Mutual Recognition of Funds. The FAQs outline, among other things, the eligibility requirements for being recognized as a mutually recognized fund (MRF), ongoing operations requirements, disclosure requirements for MRF funds, licensing requirements of the Hong Kong representative of a Mainland fund, and distribution and sales obligations ...
Form of confirmation and undertaking on compliance with the OP Section of the ...
ID 26493
The Securities and Futures Commission, SFC, has issued a revised Form of Confirmation and Undertaking to be used by so-called paper gold schemes (PGS) which facilitate investments in gold primarily through the use of ownership certificates. The form confirms and undertakes that: – the applicant and the scheme comply with the overarching principles section of the *SFC Handbook for Unit Trusts and Mutual Funds, ...
FAQs – Publicly offered investment products: MPF products
ID 26492
The Securities and Futures Commission of Hong Kong (SFC) has published revised „Frequently Asked Questions relating to MPF Products“. The FAQs address – among others – issues such as the application process for a MPF product, documents to be provided along with the application form, time limits for supplying relevant documentation, fees to be paid in this context, or the authorization of marketing material. ...
Information Checklist for Application for Authorization of Swiss Funds under the ...
ID 26491
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 ...
Information Checklist for Application for Authorization of Luxembourg Funds under ...
ID 26490
The Securities and Futures Commission of Hong Kong (SFC) has issued a revised version of its Information Checklist for Application for Authorization of Luxembourg 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 Notice of Mergers/Restructuring/Termination/Withdrawal ...
ID 26489
The Securities and Futures Commission of Hong Kong, SFC, has issued a revised form to be used by mutual funds and unit trusts in case of mergers with another fund/trust, restructuring, termination in case of mergers/restructuring, or withdrawal of authorization. Among others, the form seeks information on – on the number of units / share affected; – the latest size (assets under management); – ...
SFC’s enhanced position limit regime to take effect
ID 26376
The Securities and Futures Commission (SFC) has published a press release to inform that the new position limits regime as outlined in the above noted consultation conclusions will come into force on December 22, 2023. The final changes to the Securities and Futures (Contracts Limits and Reportable Positions) Rules have been made and will come into force on that day. Among other things, the ...
FAQs – Publicly offered investment products: Open-ended Fund Companies
ID 26340
The Securities and Futures Commission (SFC) has published revised frequently asked questions (FAQs) relating to Open-ended Fund Companies (OFCs). The FAQs aim to „provide basic information to market practitioners in respect of open-ended fund companies“, thereby addressing a wide range of topics ranging from registration issues to the discontinuation of sub-funds. Besides some editorial changes, this latest revised version contains a new added FAQ ...
Circular to intermediaries SFC and HKMA joint product survey 2023
ID 26156
The Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) have issued a joint circular to inform intermediaries with type 1 or type 4 registrations about the upcoming yearly survey on sales data on certain investment products. In detail, the survey covers „the sale of non-exchange-traded investment products such as collective investment schemes, debt securities, structured products, swaps, swaptions and repos“ ...