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WINGS. A common platform for SFC electronic forms and submission services. Applications, Notifications and Regulatory Filings. Applications for exemption from Part XV of the Securities and Futures Ordinance. You can submit the application for exemption from Part XV of the Securities and Futures Ordinance (Category 2 application) here. 1.
The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version.
WINGS is a common platform for SFC electronic forms and submission services. Learn how to open an account and prepare an application on WINGS.
SFC welcomes industry-led public consultation on voluntary code of conduct for ESG ratings and data products providers 19 Apr 2024 HKMA and SFC consult on annual updates to Financial Services Providers list under OTC derivatives regulatory regime
1. Payment Details and Payment Method. This form is solely used for the purpose of a Category 2 application for exemption under Part XV. An application in respect of Category 1, 4 or 5 should be directed to the Corporate Finance Division of the SFC in writing.
Over-the-counter Securities Transactions Reporting Regime (OTCR) Under the OTCR, a Relevant Regulated Intermediary (“RRI”) would be required to report to the SFC when an RRI, whether as principal or agent, makes a transfer of shares in connection with an OTC Securities Transaction, or deposits or withdraws a physical share certificate.
Licensing Handbook. * Mandatory field. Quick Links. Help. Submission Rights Requirements User Guide Online Demo Security Tips System Requirements WINGS Record Accessibility. Related Sites. SFC Corporate Website Investor and Financial Education Council Public Register of Licensees and Registrants List of Investment Products.
