Business & risk management questionnaire
Pursuant to section 402 of the Securities and Futures Ordinance (SFO), the Securities and Futures Commission (SFC) specifies that the electronic forms published on the SFC's online portal, WINGS, shall be used for the purpose of submitting the business and risk management questionnaires to the SFC required under section 156 of the SFO (as amplified by section 3 of the Securities and Futures (Accounts and Audit) Rules (Chapter 571P)). These electronic forms should be completed and submitted by licensed corporations and associated entities through WINGS.
|
Item |
Name of the forms |
Electronic forms published on Commission’s online portal, WINGS | ||
|---|---|---|---|---|
| For financial year ending on 31 December 2024 and thereafter |
For financial year ending between 30 November 2023 and 30 December 2024 |
For financial year ending on 29 November 2023 or before |
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| 1 | Business and risk management questionnaire for Licensed Corporation | Form | Form | Form |
| 2 | Business and risk management questionnaire for Associated Entity | Form | Form | Form |
Last update: 27 Dec 2024