Circular to Licensed Corporations – Submission of information on Managers-In-Charge of Core Functions (MIC) and organisational charts

16 Jun 2017

With reference to the circular issued on 16 December 2016 regarding Measures for Augmenting the Accountability of Senior Management, all licensed corporations should submit their MIC information and organisational charts to the SFC on or before 17 July 2017. The SFC wishes to remind licensed corporations, which have not yet submitted the required information (including the organisational charts), to do so within the stated timeframe. 

Furthermore, MICs of Overall Management Oversight function and Key Business Lines function, who are not yet responsible officers, should apply for approval to become responsible officers on or before 16 October 2017.

If you have any queries on the matter, please contact your Licensing case officers whose contact details can be found on the SFC Online Portal.

Licensing Department
Intermediaries Division
Securities and Futures Commission

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Page last updated : 16 Jun 2017