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SFC Consults on Investor Identification Regime and OTC Securities Transactions Reporting Regime

Hong Kong Law

December 2020

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Charltons - Hong Kong Law - 529 - 21 December 2020

SFC consults on investor identification regime and OTC securities transactions reporting regime

SFC proposed investor identification regime

Hong Kong market surveillance practices

proposed investor identification regime Hong Kong

Broker-to-Client Assigned Number

Amendments to the SFC Code of Conduct

SFC licensed intermediary investor identification

SFC proposed OTC securities transactions reporting regime

Hong Kong OTC securities transactions reporting regime

Personal Data (Privacy) Ordinance licensed intermediary

Consultation on proposals to (1) implement an investor identification regime at trading level for the securities market in Hong Kong and (2) introduce an over-the-counter securities transactions reporting regime for shares listed on the Stock Exchange of Hong Kong