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This form is used to collect information about the chief executive officer and directors of the applicant under the Securities and Futures Act (Cap. 289), including personal details, qualifications,
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How to fill out securities and futures clearing
How to fill out Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors
01
Begin by gathering necessary personal information for the Chief Executive Officer (CEO) and all directors including their full names, positions, and contact details.
02
Confirm the identification details of the CEO and directors, such as national identification numbers or other relevant identification.
03
Provide information on any professional qualifications or certifications held by the CEO and directors.
04
Disclose any relevant experience in the securities and financial sector, including previous roles, responsibilities, and duration of service.
05
Ensure to include details of any directorships held in other companies and if applicable, any potential conflicts of interest.
06
Review the completed forms for accuracy and completeness before submission.
07
Submit the filled-out Securities and Futures (Clearing Facilities) Regulations 2013 form to the relevant regulatory authority.
Who needs Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
01
Entities involved in the operation of clearing facilities in the securities and futures markets.
02
Companies that are required to comply with regulatory oversight in the financial sector.
03
Individuals seeking to understand the regulatory requirements for leadership roles within financial institutions.
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People Also Ask about
What is Section 82 of the Securities and Futures Act SFA?
2.1 Section 82(1) of the SFA provides that no person shall, whether as principal or agent, carry on business in any regulated activity as specified in the Second Schedule to the SFA, or hold himself out as carrying on such business for any regulated activity1 under the SFA, unless he is a holder of a capital markets
Who is the chief executive officer of the Securities and Futures Commission?
Ms Julia Leung has been Chief Executive Officer (CEO) of the Securities and Futures Commission (SFC) since 1 January 2023.
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What is Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
The Securities and Futures (Clearing Facilities) Regulations 2013 outlines the requirements and guidelines for clearing facilities operating under the Securities and Futures Ordinance. The section on Information on Chief Executive Officer and Directors focuses on the disclosure and qualifications of key personnel managing these facilities.
Who is required to file Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
Entities that operate clearing facilities under the Securities and Futures Ordinance are required to file this information. This includes the Chief Executive Officer and Directors of the clearing facility.
How to fill out Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
To fill out the required information, entities must provide details such as the names, qualifications, professional backgrounds, and any previous regulatory issues of the Chief Executive Officer and Directors as specified in the regulations.
What is the purpose of Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
The purpose is to ensure transparency and regulatory compliance regarding the leadership of clearing facilities. It aims to assess the integrity and qualifications of key personnel to maintain confidence in the regulatory framework.
What information must be reported on Securities and Futures (Clearing Facilities) Regulations 2013 - Information on Chief Executive Officer and Directors?
The information required includes the names, roles, educational qualifications, relevant experience, and any disciplinary actions or regulatory breaches associated with the Chief Executive Officer and Directors.
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