Hong Kong Regulations

SECURITIES AND FUTURES (LICENSING AND REGISTRATION) (INFORMATION) RULES - SECT 5

Information to be contained in annual returns

For the purposes of section 138(4) of the Ordinance, an annual return required
to be submitted to the Commission shall-

(a) in the case of a licensed corporation-

        (i)    state the reporting period of the licensed corporation; and

        (ii)   where there has been a change in the information provided to
               the Commission pursuant to Part V of the Ordinance, or rules
               made for the purposes of Part V of the Ordinance, and a full
               description of such change has not been provided to the
               Commission, contain a full description of the change; or

   (b)  in the case of a licensed representative-

        (i)    state the reporting period of the licensed representative; and

        (ii)   where there has been a change in the information provided to
               the Commission pursuant to Part V of the Ordinance, or rules
               made for the purposes of Part V of the Ordinance, and a full
               description of such change has not been provided to the
               Commission, contain a full description of the change.