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Securities and Futures Commission

Eng 繁簡

Alert List

Intermediaries

Licensing forms
Financial returns
Audit questionnaire
Business & risk management questionnaire
Account disclosure document
Analysis of client assets for associated entity
Subordinated Loan Application Guidelines & Proforma Agreements

Trading

Section 181 return
OTC Securities Transactions Reporting
Short position reporting

Investment products

Takeovers and mergers

Disclosure of interests

Forms & Notes for Filing DI Notice

Trading

› Section 181 return

› OTC Securities Transactions Reporting

› Short position reporting

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