Forms

Securities and Futures Commission

Eng 繁簡

Intermediaries

Licensing forms
Financial returns
Audit questionnaire
Business & risk management questionnaire
Account disclosure document
Analysis of client assets for associated entity
Subordinated Loan Application Guidelines & Proforma Agreements

Trading

Section 181 return
OTC Securities Transactions Reporting
Short position reporting

Takeovers and mergers

Disclosure of interests

Forms & Notes for Filing DI Notice

Investment products

Forms

› Intermediaries

› Trading

› Takeovers and mergers

› Disclosure of interests

› Investment products

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