Regulatory Alerts2015-07-10
Added · Updated
Frequently Asked Questions on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
The Securities and Futures Commission issued these FAQs to clarify the mandatory reporting and record-keeping obligations for OTC derivative transactions under the Securities and Futures Ordinance. The rules require authorized institutions, licensed corporations, and other specified entities to report transactions to the Hong Kong Trade Repository, subject to specific exemptions for small positions and transitional grace periods. Compliance involves adhering to T+2 reporting timelines for new transactions and utilizing defined concession periods for historical data and newly specified product types.
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