Circular to intermediaries on compliance with notification requirements

Phone: 650.723.2465
Fax: 650.725.0253

Type: Informal guidance
Date: 06/01/2018
Agency: Securities and Futures Commission
Jurisdiction: Hong Kong
Type of Law: Guidance
Status: Existing
Official URL: External link

This circular serves to remind intermediaries of the notification requirements under the Securities and Futures (Licensing and Registration) (Information) Rules (Information Rules) under which intermediaries are required to notify the Securities and Futures Commission (SFC) of any significant changes in the nature of their business and the types of service they provide.