Circular to Licensed Corporations Frequently Asked Questions (FAQs) on Mandatory Reporting Regime

6 Oct 2017

Today the Securities and Futures Commission (SFC) and the Hong Kong Monetary Authority (HKMA) issued a revised set of FAQs to provide clarification on reporting and record keeping requirements under the Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules.  Major changes include new questions and updates incidental to the implementation of phase 2 reporting which took effect on 1 July 2017.

The revised FAQs document is accessible at the SFC’s website:

Licensed Corporations that may be subject to mandatory reporting obligations are advised to refer to the revised FAQs above.

If you have any questions regarding the substance of the reporting requirements, please call (852) 2231 1788. For questions about the service and operation of the electronic reporting system, or about training and simulation tests, please contact the HKTR on (852) 8100 3115 or email


Supervision of Markets Division
Securities and Futures Commission

Click here to download the document

Page last updated : 6 Oct 2017