Circular to Licensed Corporations and Associated Entities – Revised Business and Risk Management Questionnaire and New Analysis of Scheme Assets for Associated Entity of an RA13 Intermediary

The Securities and Futures Commission (SFC) has issued a revised Business and Risk Management Questionnaire (BRMQ) for licensed corporations (LCs) and associated entities (AEs), and introduced a new analysis form for scheme assets of associated entities of RA13 intermediaries. These updates, effective for financial years ending on or after 31 December 2024, support the implementation of the RA13 regime. LCs and AEs must submit the revised BRMQ electronically via WINGS, while the new analysis form for RA13 intermediaries’ associated entities is available on the SFC website. These tools enhance the SFC’s supervision by collecting data to monitor market trends and emerging risks.

Resources: https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/intermediaries/supervision/doc?refNo=24EC68