Facebook   LinkedIn   WeChat   YouTube Alert List
Business & risk management questionnaire

Pursuant to section 402 of the Securities and Futures Ordinance (SFO), the Securities and Futures Commission (SFC) specifies that the electronic forms published on the SFC's online portal, WINGS, shall be used for the purpose of submitting the business and risk management questionnaires to the SFC required under section 156 of the SFO (as amplified by section 3 of the Securities and Futures (Accounts and Audit) Rules (Chapter 571P)). These electronic forms should be completed and submitted by licensed corporations and associated entities through WINGS.

 

 

Item

Name of the forms

Electronic forms published on 

Commission’s online portal, WINGS

For financial year ending on 30 November 2023 and thereafter 

For financial year ending on 29 November 2023 or before

1 Business and risk management questionnaire for Licensed Corporation Form Form
2 Business and risk management questionnaire for Associated Entity Form Form

Last update: 23 Dec 2022

We use cookies to improve the website performance and user experience. If you continue to use this website, you are agreeing to their uses. Learn more about our privacy policy.