Investment products: Forms & checklists
Notes:
e-IP1 is an online application/submission system on the WINGS portal for making new product applications and post-authorisation/registration submissions to the Investment Products Division.
The main forms and checklists (as indicated below) are converted into Smart-forms2 to facilitate applications or submissions via e-IP. Once applicants provide the specified input for their application/submission on the cover page of e-IP, the required Smart-forms will be automatically listed. Smart-forms are also available for applicants when they are required to submit confirmation of fulfilment of approval/authorisation condition(s). Throughout the e-IP process, applicants will be guided step-by-step to provide required information and supporting documents to complete the application/submission.
You are strongly encouraged to read the e-IP (Investment Products Division) User Guide and watch the training video before using the relevant functions in e-IP.
1 e-IP, including the Smart-forms, is only available in English.
2 Smart-forms are electronic forms on e-IP which are transformed from the forms and checklists published on this webpage to facilitate applicants in providing input for their application/submission.
Unit Trusts and Mutual Funds
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products | Download | Download | Yes |
| 2 | Information Checklist for Application for Authorization of Unit Trusts and Mutual Funds | Download | Download | Yes Note1 |
| 3 | Application Form for Scheme Change(s) | Download | Download | Yes Note1 |
| 4 | Application Form for Approval of Appointment of Director, Custodian or Investment Manager of an Open-ended Fund Company | Download | Download | Yes |
| 5 | Application Form for Approval of Change of Name of an Open-ended Fund Company or Sub-fund of an Open-ended Fund Company | Download | Download | Yes |
| 6 | Information Checklist for (i) a Change of Director of a Public Open-ended Fund Company; or (ii) a Change of Name of a Public Open-ended Fund Company or a Publicly Offered Sub-fund of an Open-ended Fund Company | Download | Download | Yes Note1 |
| 7 | Application Form for Revised Offering Documents that Incorporate Changes Falling within 11.1 of the Code on Unit Trusts and Mutual Funds (UT Code) that Require SFC’s Prior Approval | Download | Download | Yes |
| 8 | Filing Form for Notice of Scheme Change(s) falling within 11.1B of the Code on Unit Trusts and Mutual Funds (UT Code) and Do Not Require SFC’s Prior Approval | Download | Download | Yes Note1 |
| 9 | Filing Form for Revised Offering Documents that Incorporate Changes Falling within 11.1B of the Code on Unit Trusts and Mutual Funds (UT Code) and Do Not Require SFC’s Prior Approval | Download | Download | Yes Note1 |
| 10 | Confirmation of fulfilment of authorization conditions (Annex 2 to the Guide on Practices and Procedures for Application for Authorization of Unit Trusts and Mutual Funds) | Download | Download | Yes |
| 11 | Confirmation of fulfilment of approval/authorization condition(s) | Download | Download | Yes Note1 |
| 12 | List of Confirmations of Compliance related to Application for Approval of Scheme Change(s) pursuant to 11.1 of the Code on Unit Trusts and Mutual Funds (UT Code) | Download | Download | - |
| 13 | Template of Instrument of Incorporation for Umbrella Public OFC | Download | Download | - |
| 14 | Application Form for Cancellation of Registration of an Open-ended Fund Company or Termination of a Sub-fund of an Open-ended Fund Company | Download | Download | Yes |
| 15 | Application Form for Registration of a Non-Hong Kong Fund Corporation as a Re-domiciled Open-ended Fund Company | Download | Download | Yes |
| 16 | Information Checklist for Application for Registration of a Non-Hong Kong Fund Corporation as a Re-domiciled Open-ended Fund Company | Download | Download | Yes |
Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
Schemes under Mutual Recognition Arrangements
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| France | ||||
| 1 | Information Checklist for Application for Authorization of French Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process | Download | Download | - |
| 2 | Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of French Funds under the Mutual Recognition of Funds Arrangement and the Revamped Process) | Download | Download | - |
| 3 | Form of Confirmation from Hong Kong Covered Management Company to the SFC pursuant to paragraph 16 of the AMF requirement and process for mutual recognition of Hong Kong Funds dated 10 July 2017 | Download | Download | - |
| Luxembourg | ||||
| 1 | Information Checklist for Application for Authorization of Luxembourg Funds under the Mutual Recognition of Funds Arrangement | Download | Download | - |
| 2 | Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of Luxembourg Funds under the Mutual Recognition of Funds Arrangement) | Download | Download | - |
| Mainland | ||||
| 1 | Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement | Download | - | |
| 2 | Form for Scheme Change Application(s) or Filing of Notice of Scheme Change(s) in relation to Recognised Mainland Funds | Download | Download | Yes Note1 |
| 3 | Filing Form for Revised Offering Documents that Do Not Require SFC’s Prior Approval in relation to Recognised Mainland Funds | Download | Download | Yes |
| 4 | Application Form for Revised Offering Documents that Require SFC’s Prior Approval in relation to Recognised Mainland Funds | Download | Download | Yes |
| 5 | Confirmation of Fulfilment of Authorization conditions (Annex F to the Information Checklist for Application for Authorization of Mainland Funds under the Mutual Recognition of Funds Arrangement) | - | ||
| 6 | List of Confirmations of Compliance related to Application for Change(s) that Require SFC’s Prior Approval in relation to Recognised Mainland Funds | Download | Download | - |
| 7 | Confirmation of fulfilment of approval/authorization condition(s) in relation to Recognised Mainland Funds | Download | Download | Yes Note1 |
| Netherlands | ||||
| 1 | Information Checklist for Application for Authorization of Dutch Funds under the Mutual Recognition of Funds Arrangement | Download | Download | - |
| 2 | Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of Dutch Funds under the Mutual Recognition of Funds Arrangement) | Download | Download | - |
| Switzerland | ||||
| 1 | Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement | Download | Download | - |
| 2 | Confirmation of Fulfilment of Authorization conditions (Annex H to the Information Checklist for Application for Authorization of Swiss Funds under the Mutual Recognition of Funds Arrangement) | Download | Download | - |
| Thailand | ||||
| 1 | Information Checklist for Application for Authorization of Thai Funds under the Mutual Recognition of Funds Arrangement | Download | Download | - |
| 2 | Confirmation of fulfilment of authorization conditions (Annex F to the Information Checklist for Application for Authorization of Thai Funds under the Mutual Recognition of Funds Arrangement) | Download | Download | - |
| UK | ||||
| 1 | Information Checklist for Application for Authorization of UK Funds under the Mutual Recognition of Funds Arrangement | Download | Download | - |
| 2 | Confirmation of fulfilment of authorization conditions (Annex G to the Information Checklist for Application for Authorization of UK Funds under the Mutual Recognition of Funds Arrangement) | Download | Download | - |
|
Remark
For applicants seeking authorization of the following jurisdictions under the mutual recognition of funds arrangements between SFC, please refer to the specific requirements set out in the relevant circulars on the SFC’s website and contact the Investment Products Division.
- Australia
- Malaysia
- Taiwan, China
|
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Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
Mandatory Provident Fund Products and Pooled Retirement Funds
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Application form – Application for Authorization of Mandatory Provident Fund Products or Pooled Retirement Funds under Part IV of the Securities and Futures Ordinance | Download | Download | Yes |
| 2 | Compliance Checklist for Application of MPF Schemes | Download | Download | Yes Note1 |
| 3 | Compliance Checklist for Application of Pooled Investment Funds | Download | Download | Yes Note1 |
| 4 | Application Form for Scheme Change(s) in respect of MPF Products | Download | Download | Yes |
| 5 | Application Form for Revised Offering Documents that Incorporate Changes Falling within 8.2 of the SFC Code on MPF Products (MPF Code) that Require SFC’s Prior Approval | Download | Download | Yes |
| 6 | Filing Form for Notice of Scheme Change(s) falling within 8.2B of the SFC Code on MPF Products (MPF Code) and Do Not Require SFC’s Prior Approval | Download | Yes | |
| 7 | Filing Form for Revised Offering Documents that Incorporate Changes Falling within 8.2B of the SFC Code on MPF Products (MPF Code) and Do Not Require SFC’s Prior Approval | Download | Yes | |
| 8 | Compliance Checklist for Application of Pooled Retirement Funds | Download | Download | Yes Note1 |
| 9 | Confirmation of fulfilment of approval-in-principle condition(s) of approved pooled investment funds offered to retail investors (“APIF I”) (For post authorization applications) | Download | Download | Yes |
| 10 | Application Form for Scheme Change(s) in respect of Pooled Retirement Funds | Download | Download | Yes |
| 11 | Application Form for Revised Offering Documents that Incorporate Changes Falling within 10.1 of the Code on Pooled Retirement Funds (PRF Code) that Require SFC’s Prior Approval | Download | Download | Yes |
| 12 | Filing Form for Notice of Scheme Change(s) falling within 10.1B of the Code on Pooled Retirement Funds (PRF Code) and Do Not Require SFC’s Prior Approval | Download | Download | Yes |
| 13 | Filing Form for Revised Offering Documents that Incorporate Changes Falling within 10.1B of the Code on Pooled Retirement Funds (PRF Code) and Do Not Require SFC’s Prior Approval | Download | Download | Yes |
Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
Investment-Linked Assurance Schemes
| Name of the forms and checklists | Forms and checklists | ||
|---|---|---|---|
| MS Word | Smart-forms available on e-IP | ||
| Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products | See item 1 under “Unit Trusts and Mutual Funds” | See item 1 under “Unit Trusts and Mutual Funds” | Yes |
| Information Checklist for Investment-Linked Assurance Schemes | Download | Download | Yes Note1 |
| Application Form for Scheme Change(s) in respect of Investment-Linked Assurance Schemes | Download | Download | Yes |
| Application Form for Revised Offering Documents that Incorporate Changes Falling within 7.1 of the Code on Investment-Linked Assurance Schemes (ILAS Code) that Require SFC's Prior Approval | Download | Download | Yes |
| Filing Form for Notice of Scheme Change(s) that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes | Download | Download | Yes |
| Filing Form for Revised Offering Documents that Do Not Require SFC's Prior Approval in respect of Investment-Linked Assurance Schemes | Download | Download | Yes |
Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
Paper Gold Schemes
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Form of confirmation and undertaking on compliance with the OP Section of the Handbook and the Advertising Guidelines | Download | Download | - |
| 2 | Form of confirmation regarding compliance with Guidance on Internal Product Approval Process | Download | Download | - |
| 3 | Form of Chinese translation confirmation | Download | Download | - |
Unlisted Structured Investment Products
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Application Form for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products | See item 1 under “Unit Trusts and Mutual Funds” | See item 1 under “Unit Trusts and Mutual Funds” | Yes |
| 2 | Checklist for Contents Requirement in Offering Documents for Unlisted Structured Investment Products | Download | Download | - |
| 3 | Form of Information and Undertakings for Unlisted Structured Investment Products | Download | Download | - |
| 4 | Confirmation from the nominated approved person in support of an application for the nomination of approved person in respect of unlisted structured investment product(s) | Download | Download | - |
| 5 | Form of Confirmation of Compliance with Guidance on Internal Product Approval Process | Download | Download | - |
Real Estate Investment Trusts
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Application Form for Real Estate Investment Trusts | Download | Download | Yes |
| 2 | Checklist for Application for Authorisation of Real Estate Investment Trusts | Download | Download | Yes Note1 |
| 3 | Guidance on REIT Authorisation Process and Documentary Requirements | Download | Yes Note1 | |
| 4 | Size Tests for Acquisitions / Disposals by Real Estate Investment Trusts | Download | Download | Yes |
| 5 | Compliance Checklist for Unit Buy-back Circular | Download | Download | - |
Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
Private Open-ended Fund Companies
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | Application Form for Registration of a Private Open-ended Fund Company or Establishment of a Privately Offered Sub-fund of an Open-ended Fund Company | Download | Download | Yes |
| 2 | Information Checklist for Application for Registration of a Private Open-ended Fund Company or Establishment of a Privately offered Sub-fund of an Open-ended Fund Company | Download | Download | Yes Note1 |
| 3 | Application Form for Approval of Appointment of Director, Custodian or Investment Manager of an Open-ended Fund Company | Download | Download | Yes |
| 4 | Application Form for Approval of Change of Name of an Open-ended Fund Company or Sub-fund of an Open-ended Fund Company | Download | Download | Yes |
| 5 | Information Checklist for Application for Approval of Appointment of Director, Custodian or Investment Manager of a Private Open-ended Fund Company | Download | Download | Yes Note1 |
| 6 | Template of Instrument of Incorporation for Umbrella Private OFC | Download | Download | - |
| 7 | Application Form for Cancellation of Registration of an Open-ended Fund Company or Termination of a Sub-fund of an Open-ended Fund Company | Download | Download | Yes |
| 8 | Information Checklist for Termination of a Private OFC or Privately Offered Sub-fund under Chapter 10 of the Code on Open-ended Fund Companies | Download | Download | Yes |
| 9 | Application Form for Registration of a Non-Hong Kong Fund Corporation as a Re-domiciled Open-ended Fund Company | Download | Download | Yes |
| 10 | Information Checklist for Application for Registration of a Non-Hong Kong Fund Corporation as a Re-domiciled Open-ended Fund Company | Download | Download | Yes Note1 |
Note1: Currently, the annexes to this document have not been converted into Smart-forms in e-IP to allow applicants to customise them to fit their individual situations.
On-Going Compliance Forms
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| MS Word | Smart-forms available on e-IP | |||
| 1 | On-Going Compliance Form For Money Market Funds Reporting | Download | - | |
| 2 | On-Going Compliance Form For Notice of Mergers/Restructuring/Termination/Withdrawal of Authorization | Download | Download | Yes |
| 3 | On-Going Compliance Form for Reporting of Pricing Errors | Download | Download | Yes |
| 4 | On-Going Compliance Form for Filing of Pricing Errors |
Download | Download | Yes |
| 5 | Ongoing Compliance Form for Reporting of Material Breaches |
Download | Download | - |
| 6 | Ongoing Compliance Form for Filing of Material Breaches |
Download |
Download |
- |
Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
| Name of the forms and checklists | Forms and checklists | |||
|---|---|---|---|---|
| PDF / Excel | MS Word / Excel | Smart-forms available on e-IP | ||
| 1 |
Application Form for the Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts Annex 2: Details of the expenses to be claimed under the OFC Grant Scheme Annex 3: Details of the expenses to be claimed under the REIT Grant Scheme |
- - - |
||
| 2 | Public Open-ended Fund Companies – Confirmation of Intention to Apply for a Grant under the Grant Scheme for Open-ended Fund Companies |
Download | Download | - |
Last update: 4 Nov 2024