Mon, Oct 6, 2014

Licensed Hedge Fund Managers Must Complete the New SFC Hedge Fund Survey

In line with the previous Hedge Fund surveys issued in 2006, 2009, 2011 and 2013, the SFC has once again requested all licensed corporations who engage in asset management and/or give advice on hedge funds or managed portfolios, to complete the Hedge Fund survey (the “Survey”) for 2014. The Survey is divided into two Sections:

  • Section 1: Mandatory for all Hedge Fund Managers
  • Section 2: Required for Hedge Fund Managers who advise one or more qualifying Hedge Funds from Hong Kong (see the Survey for clarification on whether Section 2 is applicable to your firm).

The Survey was issued to all licensed corporations on 30 September and submissions need to be made by 31 October 2014. If your firm is required to complete both sections, the deadline is extended to 28 November 2014. Non-Hedge Fund Managers and Hedge Fund Managers whose Hedge Funds are launched after 30 September need only confirm that status, then complete the cover page to be returned to the SFC.


  • Please find here the survey along with its corresponding annex
  • Submissions can be made on the same attached link above
  • Format should be saved in “Microsoft Office Excel 97-2003”
  • Macros will need to be enabled when opening the Excel file

How Kinetic Partners can help

Should you have any concerns regarding completion of the Survey or if you need to understand whether you should complete the Survey, Kinetic Partners can liaise with the SFC on your behalf.

For more information, please contact Katrina Banh.

Financial Services Compliance and Regulation

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