Circular to licensed corporations - Revised financial return

29 Mar 2019



The Securities and Futures Commission (SFC) today published a revised form for the submission of financial returns by licensed corporations as from 1 May 2019.

The revisions were made to reflect changes effected by the Securities and Futures (Financial Resources) (Amendment) Rules 2018, which will come into effect on 1 April 2019 (Note).

The electronic version of the revised form is available on the SFC website:

https://www.sfc.hk/web/EN/forms/intermediaries/financial-returns.html

A Gazette notice (Annex) was published today to specify that the above electronic form shall be used for a return required to be submitted under section 56 of the Securities and Futures (Financial Resources) Rules with effect from 1 May 2019. On this date, the new form will supersede all previous versions.

Should you have any questions regarding the contents of this circular, please contact your case officers in charge.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures Commission

End

SFO/IS/012/2019

Note: Other than those amendments relating to the exclusion of certain lease liabilities from licensed corporations’ liquid capital calculations which took effect on 1 January 2019. A circular published on 25 January 2019 informed licensed corporations of the revisions to reflect those amendments.


Click here to download the document

Supplementary document:
Annex


Page last updated : 29 Mar 2019