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SFC Handbook for Unit Trusts and Mutual Funds Investment

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Frequently Asked Questions on SFC Authorisation of Unit .

Frequently Asked Questions on the Code of Unit Trusts and Mutual Funds This FAQ is prepared by the Investment Products Department and aims to provide basic information to market practitioners concerning the Code on Unit Trusts and Mutual Funds (“UT Code”). Applicants are encouraged to contact the relevant case team in the Investment Products

SFC CONSULTS ON RULES AND CODE ON OPEN-ENDED FUND COMPANI

will have to obtain the SFC’s authorisation under Part IV of the SFO and comply with the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products (SFC Products Handbook), which includes the ongoing post-authorisation requirements.

Guide on the Use of Financial Derivative Instruments for .

to the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products (“Handbook”), UT Code and other guidance (including this Derivative Guide) issued by the SFC and seek professional advice in case of doubt.

Codes | Securities & Futures Commission of Hong Ko

SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products. Note: Code on Unit Trusts and Mutual Funds and Code on Investment-Linked Assurance Schemes became parts of the Handbook since its launch on 25 June 2010, and their previous versions are set out below under Section II and III, respectively.

PROSPECTUS VANGUARD ETF SERIES Ordinance (Cap. 571) of .

Code on Unit Trusts and Mutual Funds (“Code”) and the “Overarching Principles” of the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products for the purposes of giving information with regard to Units in each Sub-Fund.

Fund authorization - The Chin Fami

Funds must be authorized by the SFC before they can be marketed to the public in Hong Kong. Authorised funds have to comply with requirements of the Code on Unit Trusts and Mutual Funds. These include a proper structure, well-defined investment guidelines and restrictions, ongoing disclosure requirements and other requirements related to the fund's daily administration.

Review of SFC’s circular on leveraged and inverse products .

L&I Products seeking SFC authorization for public offering in Hong Kong must meet the applicable requirements in the Overarching Principles Section and the Code on Unit Trusts and Mutual Funds in SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products.

SFC Handbook for Unit Trusts and Mutual Funds, Investment .

(p) “unit trust(s)/mutual fund(s)” means collective investment scheme(s) commonly regarded as unit trusts or mutual funds that are subject to the UT Code; and (q) “UT Code” means the Code on Unit Trusts and Mutual Funds administered by the Commission as set out in Section II of the Handbook. SFC’s authorization

SFC's Code on Unit Trusts and Mutual Funds | REI

SFC's Code on Unit Trusts and Mutual Funds Hong Kong SFC-Authorised Funds And Unit Trusts Permitted To Invest In Listed REITs Hong Kong SFC-authorised Schemes Hong Kong SFC Chapter 7.14 Code on Unit Trusts and Mutual Funds amendments Hong Kong Real Estate Investment Trusts Hong Kong SFC-authorised Schemes allowed to invest in REIT listed on any ...

MANDATORY PROVIDENT FUND SCHEMES AUTHORITY III.2 .

MANDATORY PROVIDENT FUND SCHEMES AUTHORITY III.2 Guidelines on Equities and Other Securities INTRODUCTION ... specify the authorized unit trusts or authorized mutual funds approved by the Authority for the purposes of section 8(2)(c) of ... Chapter 7 of Section II of the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance ...

HK SFC’s New Regime on Unlisted Structured Investment Produc

Introduction of a consolidated SFC Handbook The Handbook is a consolidation of the two existing codes on Unit Trusts and Mutual Funds (“UT”) and Investment-Linked Assurance Schemes (“ILAS”) and a new Code on Unlisted Structured Investment Products (the “SIP Code,” formerly known as the Code on Unlisted Structured Products).

Appendix A: Final form of the SFC Handbook for Unit Trusts .

forms part of the Handbook, establishes guidelines for the authorization of collective investment schemes in the nature of mutual fund corporations or unit trusts, and codifies practices established in relation to the former Code on Unit Trusts and Mutual Funds published pursuant to the Securities and Futures Ordinance SFO.

Our Ref: B1/15C The Chief Executive - hkma.gov.

to follow standards similar to Securities and Futures Commissionthe (SFC)’s standards on marketing materials, such as the Advertising uidelines Applicable to Unlisted SG tructured Investment Products under the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products. In

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requirements in the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products including ...

Understanding the difference between authorized funds and .

Funds must be authorized by the Securities and Futures Commission (SFC) before they can be marketed to the public in Hong Kong. It is an offence to offer unauthorized funds to the public unless an exemption applies. An unauthorised fund, as the title implies, is a fund that has not been authorised by the SFC. Unauthorised funds cannot be marketed to the public but they can be placed privately ...

Memorandum of Understanding (MoU) - fca.org.

z) “UT Code” means the Code on Unit Trusts and Mutual Funds of the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products issued by the SFC, as may be amended, supplemented or otherwise modified from time to time. Article 2 General provisions 1.

Sfc Onsultation Ode On Unit Trusts And Mutual Funds What .

Sfc onsultation ode on unit trusts and mutual funds what is the difference between investment trust fund of. Mutual funds difference between unit trust and fund investing in whats the what is handbook for trusts. Difference between unit trust and mutual fund code sfc handbook for trusts funds investment linked frequently asked questions on the.

Enhanced Investor Protection Regarding Unlisted Structured .

Enhanced Investor Protection Regarding Unlisted Structured Investment Products 9 June 2010 Following public consultation, the Securities and Futures Commission published the Consultation Conclusions on Proposals to Enhance Protection for the Investing Public and the final form of the SFC Handbook for Unit Trusts and Mutual Funds, Investment ...

SFC updates Code on Unit Trusts and Mutual Funds, and .

The updated forms are available on the SFC website. The SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products can be viewed here. Please feel free to contact us should you require additional information.

PROSPECTUS - blackrock.c

investment in the SENSEX India ETF may not be suitable for everyone. If you are in any doubt about the contents of this Prospectus, you should ... “SEHK”) and the Code on Unit Trusts and Mutual Funds (the “Code”) and the Overarching Principles of the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and ...

Our Ref: B1/15C G16/1C Dear Sir / Madam, - hkma.gov.

Products following the Introduction of the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products”. 6.2 AIs should follow the measures set out in the HKMA circular of 25 March 2009 in assessing a customer’s risk profile. One of the objectives of these measures