What are the 2021 hot compliance action items for licensed companies?
The deadline for the submission of responses to the SFC’s and HKMA’s joint annual survey on the sale of non-exchange traded investment products by licensed corporations for the year 2020 is coming up – see the circular of 18 December 2020. Firms that did not sell any non-exchange traded investment products during 2020 should submit their survey by 5 February 2021. Those that sold non-exchanges traded investment products are due to submit theirs by 26 February 2021 or 12 March 2021 depending on whether the transaction amounts were below or above certain thresholds.
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