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What is Mandatory Reporting and Disclosure?

Mandatory reporting and disclosure is the process by which SFC licensed corporations must file returns with the SFC. The SFC uses these returns to generate a profile of each licensed corporation which can then be compared to its benchmark data to identify outliers generally or in respect of specific matters which are the subject of the returns.

Quick Facts

SFC Licensed Corporations in Hong Kong

Spotlight on Intermediary Supervision

Did You Know…

4 Facts Regarding Intermediary Supervision

  1. Risk-Based Supervision Approach

  2. Regular On-Site Inspections

  3. Mandatory Reporting

  4. Fit & Proper Requirement

Mandatory Reporting and Disclosures

SFC licensed intermediaries are subject to stringent reporting and disclosure obligations.

SFC licensed corporations must submit:

  • Audited accounts

  • Report any significant incidents that could impact their financial stability or compliance status.

Details to be reported:

  • Any breaches of legal or regulatory requirements

  • Or financial difficulties

  • Significant changes in its business operations or control structures.

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