Securities & Futures Commission of Hong Kong

Investment products: Forms & checklists

Item

Name of the forms and checklists Forms and checklists
1 Application Form for Real Estate Investment Trusts PDF 
MS Word 
2 Checklist for Application for Authorisation of Real Estate Investment Trusts PDF
MS Word
Guidance on REIT Authorisation Process and Documentary Requirements PDF
3A Size Tests for Acquisitions / Disposals by Real Estate Investment Trusts PDF 
MS Word
4 Application form – Application for Authorization of Mandatory Provident Fund Products or Pooled Retirement Funds under Part IV of the Securities and Futures Ordinance PDF
MS Word 
5 Compliance Checklist for Application of MPF Schemes  PDF
MS Word 
6 Compliance Checklist for Application of Pooled Investment Funds PDF
MS Word 
7 On-Going Compliance Form For Money Market Funds Reporting PDF
8 On-Going Compliance Form For Notice of Mergers/Restructuring/Termination/Withdrawal of Authorization PDF
MS Word
9 On-Going Compliance Form For Pricing Errors PDF
MS Word
10 Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products PDF
MS Word
11 Information Checklist for Application for Authorization of Unit Trusts and Mutual Funds under the Revamped Process PDF
MS Word
12 Information Checklist for Investment-Linked Assurance Schemes PDF
MS Word
13 Information Checklist for Product Key Facts Statement in respect of Investment-Linked Assurance Schemes PDF 
MS Word
14 Checklist for Contents Requirement in Offering Documents for Unlisted Structured Investment Products PDF
MS Word
15 Form of Information and Undertakings for Unlisted Structured Investment Products PDF
MS Word
16 Application Form for Scheme Change(s) PDF
MS Word
17 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 PDF
MS Word
18 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 PDF
MS Word
19 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 PDF
MS Word
20 Filing Form for Product Key Facts Statement(s) that Do Not Require SFC's Prior Approval PDF 
MS Word
21 Checklist for Australian-registered managed investment schemes seeking SFC's authorisation under the mutual recognition arrangement (NOTE: THIS IS CURRENTLY BEING UPDATED) PDF 
MS Word
22 Filing Form for Revised Offering Documents that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes PDF
MS Word
23 Filing Form for Notice of Scheme Change(s) that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes PDF
MS Word
24 Application Form for Scheme Change(s) in respect of Investment-Linked Assurance Schemes PDF
MS Word
25 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 PDF
MS Word
26 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 PDF
MS Word
27 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 PDF
MS Word
28 Form of Confirmation of Compliance with Guidance on Internal Product Approval Process PDF
MS Word
29 Application Form for Scheme Change(s) in respect of MPF Products PDF
MS Word
30 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 PDF
MS Word
31 Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process PDF
MS Word
32 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) PDF
MS Word
33 Compliance Checklist for Application of Pooled Retirement Funds PDF
MS Word
34 Form for Scheme Change Application(s) or Filing of Notice of Scheme Change(s) in relation to Recognised Mainland Funds PDF
MS Word
35 Filing Form for Revised Offering Documents that Do Not Require SFC’s Prior Approval in relation to Recognised Mainland Funds PDF
MS Word
36 Application Form for Revised Offering Documents that Require SFC’s Prior Approval in relation to Recognised Mainland Funds PDF
MS Word
37 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) PDF
MS Word
38 Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process PDF
MS Word
39 Confirmation of Fulfilment of Authorization conditions (Annex I to the Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process)  PDF
MS Word 
40 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) PDF
MS Word
41 Confirmation of fulfilment of approval/authorization condition(s) (For post authorization applications) PDF
MS Word
42 Confirmation of fulfilment of approval-in-principle condition(s) of approved pooled investment funds offered to retail investors (“APIF I”) (For post authorization applications) PDF  
MS Word
43 List of Confirmations of Compliance related to Application for Change(s) that Require SFC’s Prior Approval in relation to Recognised Mainland Funds PDF  
MS Word
44 Confirmation of fulfilment of approval/authorization condition(s) in relation to Recognised Mainland Funds (For post authorization applications) PDF
MS Word
45 Information Checklist for Application for Authorization of French Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process  PDF
MS Word
46 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)  PDF  
MS Word
47 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  PDF  
MS Word
48 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) PDF
MS Word
49 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) PDF  
MS Word 
50 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 PDF
MS Word
51 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 PDF
MS Word
52 Application Form for Approval of Appointment of Director, Custodian or Investment Manager of an Open-ended Fund Company PDF
MS Word
53 Application Form for Approval of Change of Name of an Open-ended Fund Company or Sub-fund of an Open-ended Fund Company PDF
MS Word
54 Information Checklist for Application for Approval of Appointment of Director, Custodian or Investment Manager of a Private Open-ended Fund Company PDF
MS Word
55 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 PDF
MS Word
56 Application Form for Cancellation of Registration of an Open-ended Fund Company or Termination of a Sub-fund of an Open-ended Fund Company PDF
MS Word
57 Information Checklist for Termination of a Private OFC or Privately Offered Sub-fund under Chapter 10 of the Code on Open-ended Fund Companies PDF
MS Word
58 Template of Instrument of Incorporation for Umbrella Public OFC PDF
MS Word
59 Template of Instrument of Incorporation for Umbrella Private OFC PDF
MS Word

 

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