Investor identification and OTC securities reporting

Frequently Asked Questions on the HKIDR and OTCR

These FAQs aim to address some frequently asked questions from market participants and to help them better understand the investor identification regime at trading level for the securities market in Hong Kong (HKIDR) and an over-the-counter securities transaction reporting regime for shares listed on the Stock Exchange of Hong Kong (OTCR) so that they can better prepare for the implementation of the regimes and ensure compliance going forward.

Please click here for the definitions and interpretation of key terms. 

 

Topic Last Updated
A. FAQs on the product scope of HKIDR 26 Nov 2021
B. FAQs on Relevant Clients 26 Nov 2021
C. FAQs on collection of client identification data 26 Nov 2021
D. FAQs on obtaining express individual client consent 26 Nov 2021
E. FAQs on dormant accounts 26 Nov 2021
F. FAQs on BCAN generation and assignment 26 Nov 2021
G. FAQs on BCAN assignment in a chain of RRIs 26 Nov 2021
H. FAQs on multiple BCANs 26 Nov 2021
I. FAQs on aggregated orders 26 Nov 2021
J. FAQs specific to OTCR 26 Nov 2021
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