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18 Aug 2021

SFC's consultation conclusions on new investor ID and OTC securities transactions reporting regimes

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SFC issues consultation conclusions on proposals to implement investor identification regime at the trading level for the securities market and an OTC securities transactions reporting regime for SEHK-listed shares

Last year, we wrote an article on the Hong Kong Securities and Futures Commission's (the "SFC") consultation on the proposals to implement the 2 abovementioned regimes. The consultation was launched on 4 December 2020. On 10 August 2021, the SFC issued their conclusions to the consultation. The conclusions stated that respondents generally agreed with the matters proposed in the consultation paper. In this client alert, we summarize (a) the main ways in which the SFC is prepared to deviate from what they had originally proposed, and (b) some of the clarifications that the SFC has made.

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