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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 21 Jan 2022
B. FAQs on Relevant Clients 21 Jan 2022
C. FAQs on collection of client identification data 28 Jan 2022
D. FAQs on obtaining express individual client consent 17 Jun 2022
E. FAQs on dormant accounts 26 Nov 2021
F. FAQs on BCAN generation and assignment 21 Jan 2022
G. FAQs on BCAN assignment in a chain of RRIs 17 Jun 2022
H. FAQs on multiple BCANs 26 Nov 2021
I. FAQs on aggregated orders 17 Mar 2023
J. FAQs specific to OTCR 29 May 2023
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