Securities & Futures Commission of Hong Kong

Investment products: Forms & checklists

 Unit Trusts and Mutual Funds 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products Download Download
2 Information Checklist for Application for Authorization of Unit Trusts and Mutual Funds under the Revamped Process Download Download
3 Application Form for Scheme Change(s) Download Download
4 Application Form for Approval of Appointment of Director, Custodian or Investment Manager of an Open-ended Fund Company Download Download
5 Application Form for Approval of Change of Name of an Open-ended Fund Company or Sub-fund of an Open-ended Fund Company Download Download
6 Information Checklist for (i) a Change of Director of a Public Open-ended Fund Company; or (ii) a Change of Name of a Public Open-ended Fund Company or a Publicly Offered Sub-fund of an Open-ended Fund Company Download Download
7 Application Form for Revised Offering Documents that Incorporate Changes Falling within 11.1 of the Code on Unit Trusts and Mutual Funds (UT Code) that Require SFC’s Prior Approval Download Download
8 Filing Form for Notice of Scheme Change(s) falling within 11.1B of the Code on Unit Trusts and Mutual Funds (UT Code) and Do Not Require SFC’s Prior Approval Download Download
9 Filing Form for Revised Offering Documents that Incorporate Changes Falling within 11.1B of the Code on Unit Trusts and Mutual Funds (UT Code) and Do Not Require SFC’s Prior Approval Download Download
10 Confirmation of fulfilment of authorization conditions (Annex 2 to the Guide on Practices and Procedures for Application for Authorization of Unit Trusts and Mutual Funds) Download Download
11 Confirmation of fulfilment of approval/authorization condition(s) Download Download
12 List of Confirmations of Compliance related to Application for Approval of Scheme Change(s) pursuant to 11.1 of the Code on Unit Trusts and Mutual Funds (UT Code) Download Download
13 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of SFC-authorized collective investment scheme(s) Download Download
14 Template of Instrument of Incorporation for Umbrella Public OFC Download Download
15 Application Form for Cancellation of Registration of an Open-ended Fund Company or Termination of a Sub-fund of an Open-ended Fund Company Download Download
16 Confirmation on Use of Derivatives for Unit Trusts and Mutual Funds Download Download

 

 Schemes under Mutual Recognition Arrangements 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Checklist for Australian-registered managed investment schemes seeking SFC's authorisation under the mutual recognition arrangement (NOTE: THIS IS CURRENTLY BEING UPDATED) Download
 
Download
2 Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
3 Form for Scheme Change Application(s) or Filing of Notice of Scheme Change(s) in relation to Recognised Mainland Funds Download Download
4 Filing Form for Revised Offering Documents that Do Not Require SFC’s Prior Approval in relation to Recognised Mainland Funds Download Download
5 Application Form for Revised Offering Documents that Require SFC’s Prior Approval in relation to Recognised Mainland Funds Download Download
6 Confirmation of Fulfilment of Authorization conditions (Annex F to the Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process)

Download

Download

7 List of Confirmations of Compliance related to Application for Change(s) that Require SFC’s Prior Approval in relation to Recognised Mainland Funds Download Download
8 Confirmation of fulfilment of approval/authorization condition(s) in relation to Recognised Mainland Funds Download Download
9 Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
10 Confirmation of Fulfilment of Authorization conditions (Annex H to the Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) Download Download
11 Information Checklist for Application for Authorization of French Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
12 Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of French Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) Download Download
13 Form of Confirmation from Hong Kong Covered Management Company to the SFC pursuant to paragraph 16 of the AMF requirement and process for mutual recognition of Hong Kong Funds dated 10 July 2017 Download Download
14 Information Checklist for Application for Authorization of UK Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
15 Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of UK Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) Download Download
16 Information Checklist for Application for Authorization of Luxembourg Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
17 Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of Luxembourg Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) Download Download
18 Information Checklist for Application for Authorization of Dutch Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process Download Download
19 Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of Dutch Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) Download Download

 Mandatory Provident Fund Products and Pooled Retirement Funds 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application form – Application for Authorization of Mandatory Provident Fund Products or Pooled Retirement Funds under Part IV of the Securities and Futures Ordinance Download Download 
2 Compliance Checklist for Application of MPF Schemes Download Download
3 Compliance Checklist for Application of Pooled Investment Funds Download Download
4 Application Form for Scheme Change(s) in respect of MPF Products Download Download
5 Application Form for Revised Offering Documents that Incorporate Changes Falling within 8.2 of the SFC Code on MPF Products (MPF Code) that Require SFC’s Prior Approval Download Download
6 Filing Form for Notice of Scheme Change(s) falling within 8.2B of the SFC Code on MPF Products (MPF Code) and Do Not Require SFC’s Prior Approval Download

Download

7 Filing Form for Revised Offering Documents that Incorporate Changes Falling within 8.2B of the SFC Code on MPF Products (MPF Code) and Do Not Require SFC’s Prior Approval

Download

Download
8 Compliance Checklist for Application of Pooled Retirement Funds Download Download
9 Confirmation of fulfilment of approval-in-principle condition(s) of approved pooled investment funds offered to retail investors (“APIF I”) (For post authorization applications) Download Download
10 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of MPF scheme(s) / constituent fund(s) Download Download
11 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of pooled investment fund(s) Download Download
12 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of pooled retirement fund(s) / investment portfolio(s) Download Download

 Investment-Linked Assurance Schemes 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products See item 1 under “Unit Trusts and Mutual Funds” See item 1 under “Unit Trusts and Mutual Funds”
2 Information Checklist for Investment-Linked Assurance Schemes Download Download
3 Information Checklist for Product Key Facts Statement (KFS) for Investment-Linked Assurance Schemes (ILAS) Download Download
4 Application Form for Scheme Change(s) in respect of Investment-Linked Assurance Schemes Download Download
5 Application Form for Revised Offering Documents that Incorporate Changes Falling within 7.1 of the Code on Investment-Linked Assurance Schemes (ILAS Code) that Require SFC's Prior Approval Download Download
6 Filing Form for Notice of Scheme Change(s) that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes Download Download
7 Filing Form for Revised Offering Documents that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes Download Download
8 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of SFC-authorized collective investment scheme(s) See item 13 under “Unit Trusts and Mutual Funds” See item 13 under “Unit Trusts and Mutual Funds”

 Paper Gold Schemes 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Form of confirmation and undertaking on compliance with the OP Section of the Handbook and the Advertising Guidelines Download Download
2 Form of confirmation regarding compliance with Guidance on Internal Product Approval Process Download Download
3 Form of nomination letter and confirmation from the nominated approved person for an appointment of approved person under a new paper gold scheme application Download Download
4 Form of Chinese translation confirmation Download Download
5 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of SFC-authorized collective investment scheme(s) See item 13 under “Unit Trusts and Mutual Funds” See item 13 under “Unit Trusts and Mutual Funds”

 Unlisted Structured Investment Products 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products See item 1 under “Unit Trusts and Mutual Funds” See item 1 under “Unit Trusts and Mutual Funds”
2 Checklist for Contents Requirement in Offering Documents for Unlisted Structured Investment Products Download Download
3 Form of Information and Undertakings for Unlisted Structured Investment Products Download Download
4 Confirmation from the nominated approved person in support of an application for the nomination of approved person in respect of unlisted structured investment product(s) Download Download
5 Form of Confirmation of Compliance with Guidance on Internal Product Approval Process Download Download

 Real Estate Investment Trusts 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application Form for Real Estate Investment Trusts Download Download
2 Checklist for Application for Authorisation of Real Estate Investment Trusts Download Download
Guidance on REIT Authorisation Process and Documentary Requirements Download  
4 Size Tests for Acquisitions / Disposals by Real Estate Investment Trusts Download Download
5 Confirmation from the nominated approved person in support of an application for a change of approved person in respect of SFC-authorized collective investment scheme(s) See item 13 under “Unit Trusts and Mutual Funds” See item 13 under “Unit Trusts and Mutual Funds”

 Private Open-ended Fund Companies 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 Application Form for Registration of a Private Open-ended Fund Company or Establishment of a Privately Offered Sub-fund of an Open-ended Fund Company Download Download
2 Information Checklist for Application for Registration of a Private Open-ended Fund Company or Establishment of a Privately offered Sub-fund of an Open-ended Fund Company Download Download
3 Application Form for Approval of Appointment of Director, Custodian or Investment Manager of an Open-ended Fund Company Download Download
4 Application Form for Approval of Change of Name of an Open-ended Fund Company or Sub-fund of an Open-ended Fund Company Download Download
5 Information Checklist for Application for Approval of Appointment of Director, Custodian or Investment Manager of a Private Open-ended Fund Company Download Download
6 Template of Instrument of Incorporation for Umbrella Private OFC Download Download
7 Application Form for Cancellation of Registration of an Open-ended Fund Company or Termination of a Sub-fund of an Open-ended Fund Company Download Download
8 Information Checklist for Termination of a Private OFC or Privately Offered Sub-fund under Chapter 10 of the Code on Open-ended Fund Companies Download Download

 On-Going Compliance Forms 

Item

Name of the forms and checklists Forms and checklists
    PDF MS Word
1 On-Going Compliance Form For Money Market Funds Reporting Download  
2 On-Going Compliance Form For Notice of Mergers/Restructuring/Termination/Withdrawal of Authorization Download Download
3 On-Going Compliance Form For Pricing Errors Download Download
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