Securities & Futures Commission of Hong Kong

Subordinated Loan Application Guidelines & Proforma Agreements

Model subordinated loan agreements for the purpose of the Securities and Futures (Financial Resources) Rules can be downloaded from the following links. Licensed corporations which intend to apply for approval of a subordinated loan for the purpose of the Securities and Futures (Financial Resources) Rules should plan for its regulatory capital need well ahead of time and to submit the related applications, with all required documentation and details in a timely manner. They may contact the relevant case officer in the Intermediaries Supervision Department for enquiry.

Item Name of the forms Forms
1 Subordinated Loan Application Guidelines PDF
2 Model Long Term Subordinated Loan Agreement PDF
3 Model Agreement for Revolving Subordinated Loan Facility PDF
4 Model Agreement for Revolving Facility (Incorporating Stand-by Subordinated Loan Facility) PDF
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