Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements

Category A

Date Name
13 Aug 2013 ABC International Holdings Limited (農銀國際控股有限公司)
7 Aug 2013 Allen & Overy (安理國際律師事務所)
14 Aug 2013 Baker & McKenzie (貝克‧麥堅時律師事務所)
11 Jul 2013 BOCI Securities Limited (中銀國際證券有限公司)
13 Aug 2013 Bright Smart Securities International (H.K.) Limited (耀才證券國際(香港)有限公司)
15 Aug 2013 Celestial Securities Limited (時富證券有限公司) / Celestial Commodities Limited (時富商品有限公司)
14 Aug 2013 Chow Sang Sang Securities Limited (周生生證券有限公司)
13 Aug 2013 Clifford Chance (高偉紳律師行)
3 Jul 2013 CompliancePlus Consulting Limited (天智合規顧問有限公司)
2 Jul 2013 Complyport (HK) Limited
23 Aug 2013 Consumer Council (消費者委員會)
14 Aug 2013 Davis Polk & Wardwell
18 Jul 2013 FCL Advisory Ltd
14 Aug 2013 FXCM Asia Limited (福匯亞洲有限公司)
6 Aug 2013 Hon Cheung Wah Fung (立法會議員張華峰) / Business and Professionals Alliance for Hong Kong (香港經濟民生聯盟)
14 Aug 2013 Hong Kong Investment Funds Association (香港投資基金公會)
5 Aug 2013 Hong Kong Securities & Futures Employees Union (香港證券及期貨從業員工會)
1 Aug 2013 Hong Kong Securities & Futures Professionals Association (香港證券及期貨專業總會)
15 Aug 2013 Hong Kong Securities Association (香港證券業協會)
13 Aug 2013 Hong Kong Securities Professionals Association (香港證券學會) (with over 300 signed template submissions)
12 Aug 2013 iFAST Financial (HK) Limited (奕豐金融(香港)有限公司) / iFAST Platform Services (HK) Limited (奕豐投資平台服務(香港)有限公司)
2 Aug 2013 Karl-Thomson Securities Company Limited (高信證券有限公司)
9 Aug 2013 Kinetic Partners (Hong Kong) Limited
15 Aug 2013 Linklaters responded on behalf of 26 financial institutions (年利達律師事務所代表26家金融機構)
13 Aug 2013 SinoPac Securities (Asia) Limited (永豐金證券(亞洲)有限公司)
2 Aug 2013 Suen Chi Wai
14 Aug 2013 Sun Hung Kai Financial Limited (新鴻基金融有限公司)
14 Aug 2013 The Alternative Investment Management Association Limited, Hong Kong Branch (另類投資管理協會(香港分部))
13 Aug 2013 The Hong Kong Association of Banks (香港銀行公會)
12 Aug 2013 The Hong Kong Association of Online Brokers Limited (香港網上經紀協會)
14 Aug 2013 The Hong Kong Society of Financial Analysts (香港財經分析師學會)
14 Aug 2013 The Institute of Financial Planners of Hong Kong (香港財務策劃師學會)
20 Aug 2013 The Law Society of Hong Kong (香港律師會)
14 Aug 2013 Timothy Loh Solicitors
15 Aug 2013 Tung Shing Securities Brokerage (Limited) (東盛證券(經紀)有限公司)
14 Aug 2013 Veco Invest (Asia) Limited (瑞士域寶資產管理(亞洲)有限公司)
13 Aug 2013 Yue Xiu Asset Management Limited (越秀資產管理有限公司)
13 Aug 2013 Yue Xiu Securities Company Limited (越秀証券有限公司)
13 Aug 2013 Yue Xiu Securities Holdings Limited (越秀証券控股有限公司)
15 Aug 2013 蔡思聰
1 Aug 2013 陳志華

Category B

Date Name
14 Aug 2013 Respondent 8
13 Aug 2013 Respondent 7
13 Aug 2013 Respondent 6
13 Aug 2013 Respondent 5
12 Aug 2013 Respondent 4
8 Aug 2013 Respondent 3
27 Jul 2013 Respondent 2
27 Jul 2013 Respondent 1

Total number of comments received: 51
Total number of anonymous comments received: 10

Page last updated: 15 May 2013