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| Subordinated Loan Application Guidelines and Proforma Agreements |
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| Model subordinated loan agreements for the
purpose of the Securities and Futures (Financial Resources)
Rules can be downloaded from the following links. Licensed corporations
which intend to apply for approval of a subordinated loan for
the purpose of the Securities and Futures (Financial Resources)
Rules should plan for its regulatory capital need well ahead
of time and to submit the related applications, with all required
documentation and details in a timely manner. They may contact
the relevant case officer in the Intermediaries Supervision
Department for enquiry. |
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| Item |
Name of the forms |
Forms |
| 1 |
Subordinated Loan Application Guidelines |
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| 2 |
Model Long Term Subordinated Loan Agreement |
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| 3 |
Model Agreement for Revolving Subordinated Loan Facility |
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| 4 |
Model Agreement for Revolving Facility (Incorporating Stand-by Subordinated Loan Facility) |
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