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29 Dec 2020

SFC proposes new investor ID regime


On 4 December 2020, the SFC issued a consultation on proposals to implement a new investor identification regime at the trading level (as opposed to the ownership level) for the securities market, as well as an OTC securities transaction reporting regime for SEHK-listed shares. If the proposals are implemented, "licensed corporations" and "registered institutions" may need to make changes to their trading systems.

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