Hong Kong

Financial return, Business and Risk Management Questionnaire and Account Disclosure Document under the Securities and Futures Ordinance

On 20 December 2002, the Securities and Futures Commission (“SFC”) released the financial return under the Securities and Futures (Financial Resources) Rules and the Business and Risk Management Questionnaire and Account Disclosure Document under the Securities and Futures (Accounts and Audit) Rules. The forms are required to be submitted by the licensed corporation periodically to the SFC when the Securities and Futures Ordinance (“SFO”) commences.