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2024年5月20日 · In August 2021, the SFC issued consultation conclusions on proposals to introduce an investor identification regime (HKIDR) at trading level for the securities market in Hong Kong and an over-the-counter securities transaction reporting regime (OTCR) for shares listed on the Stock Exchange of Hong Kong (SEHK). Under the HKIDR, relevant licensed ...
- Conclusion
4 OTCR – key comments and corresponding changes ...
- OTC Securities Transactions Reporting
Over-the-counter Securities Transactions Reporting ...
- Conclusion
2022年11月28日 · OTCR WebApp is released to facilitate manual preparation of the OTCR Reporting File. RRIs are advised to check the WINGS Platform in due course for updates and use the latest Template version for submitting the reports.
其他人也問了
What action types does the otcr reporting file support?
What information will be reported under the otcr?
What is otcr reporting file?
How to report OTC securities transactions on behalf of a firm?
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.
Reporting Regime (OTCR) on the preparation and submission of information in relation to share transfers, and deposits and withdrawals of physical share certificates under the OTCR.
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What types of transactions are subject to the reporting obligation? Under phase 2 Reporting Rules, all specified OTC derivative transactions, as defined in the SFO, under the five asset classes are required to be reported.
The SFC will issue an information paper on the technical details for the OTCR including file specifications, reporting templates and submission channels by the end of 2021. The HKIDR is expected to be launched in the second half of 2022 and the OTCR in the first half of 2023.
2021年11月23日 · 23 November 2021. These FAQs are prepared jointly by the HKMA and the SFC. They are intended to help market participants better understand their obligations and responsibilities under the OTC derivatives regime so that they are better able to prepare for implementation of the new regime and ensure compliance going forward.
