1. Home
2. Regulatory functions
   • Corporates
     • Dual filing
     • Corporate disclosure
     • Takeovers and mergers
     • Unlisted shares, debentures
     • Circulars
     • Consultations and conclusions
     • FAQs
   • Intermediaries
     • Licensing
     • Supervision
   • Products
     • List of publicly offered investment products
     • List of ESG funds
     • Open-ended fund companies
     • Real estate investment trusts
     • Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
     • Circulars
     • Consultations and conclusions
     • Forms & checklists
     • FAQs
     • List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)
     • Quick Reference to FASTrack Applications
   • Markets
     • Market statistics and research
     • Approved or authorised entities
     • Short position reporting
     • OTC derivatives regulatory regime
     • Mainland-Hong Kong Stock Connect
     • Consultations and conclusions
     • FAQs
   • Enforcement
     • Disciplinary proceedings
     • Secrecy provisions
     • Enforcement actions
     • Have you seen these people?
     • Upcoming hearings calendar
     • Circulars
     • Consultations and conclusions
3. Products
   • List of publicly offered investment products
     • Specific information about unlisted structured investment products
     • Mutual recognition of funds arrangements
     • List of recognised jurisdiction schemes and inspection regimes
     • Products Key Facts Statements (KFS)
     • Format of Illustration Document for ILAS
     • Information Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
   • List of ESG funds
   • Open-ended fund companies
     • OFC Structure
     • Regulatory requirements
     • List of Registered OFCs
     • Post-registration matters
     • Useful materials
   • Real estate investment trusts
     • Circular
     • Consultations and conclusions
   • Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
   • Circulars
   • Consultations and conclusions
   • Forms & checklists
   • FAQs
   • List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)
   • Quick Reference to FASTrack Applications
4. Open-ended fund companies
   • OFC Structure
   • Regulatory requirements
   • List of Registered OFCs
   • Post-registration matters
   • Useful materials
5. Post-registration matters

The following changes to an OFC are the only changes subject to the SFC’s approval:

1. Appointment of a director, custodian or investment manager
2. Change of name of an OFC or sub-fund of an OFC
3. Establishment of a new sub-fund under an OFC
4. Termination of an OFC or a sub-fund and cancellation of registration of an OFC

Various filings have to be made with the SFC, including:

• Annual report
• Interim report (if any)
• Offering documents
• Alteration of instrument of incorporation

Public OFCs have to also comply with the requirements in the UT Code.

Forms and checklists

• Public OFCs
• Private OFCs
  
  

Last update: 15 Oct 2021