Business & risk management questionnaire

Pursuant to section 402 of the Securities and Futures Ordinance (SFO), the Securities and Futures Commission (SFC) specifies that the electronic forms published on the SFC's online portal, WINGS, shall be used for the purpose of submitting the business and risk management questionnaires to the SFC required under section 156 of the SFO (as amplified by section 3 of the Securities and Futures (Accounts and Audit) Rules (Chapter 571P)) with effect from 1 April 2019. These electronic forms should be completed and submitted by licensed corporations and associated entities through WINGS for financial years ending on or after 31 March 2019.

 

Item

Name of the forms

Electronic forms published on Commission’s online portal, WINGS

1 Business and risk management questionnaire for Licensed Corporation Form
2 Business and risk management questionnaire for Associate Entity Form

 

Last update: 30 Jul 2020