Launch of investor identification for northbound trading under Stock Connect

24 Aug 2018



The Securities and Futures Commission (SFC) has reached an agreement with the China Securities Regulatory Commission (CSRC) to implement an investor identification regime for northbound trading under Mainland-Hong Kong Stock Connect on 17 September 2018 (Note 1).

The investor identification regime will facilitate more effective monitoring and surveillance by the CSRC and Mainland stock exchanges to safeguard market integrity. The Stock Exchange of Hong Kong Limited will soon issue an announcement to provide more information about the launch of the new regime.

As announced by the SFC and the CSRC in November 2017, the SFC and the CSRC agreed, on a reciprocal basis, to introduce a similar investor identification regime for southbound trading to assist one another in performing their regulatory functions under Stock Connect. The investor identification regime for southbound trading will be implemented as soon as practicable.

Note:

  1. Please see the SFC’s press release dated 30 November 2017


Page last updated : 24 Aug 2018