Hong Kong Regulation

SFC Financial Resources Returns

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Explore Financial Services Compliance and Regulation

All licensed corporations regulated by the SFC are required to submit monthly or semi-annually financial resources returns through the SFC’s Electronic Submission of Financial Return (“eFRR”) system. Kroll provides support to firms to ensure they complete and return the required information in line with the SFC expectations.

Examples of assistance we can provide include:

  • Preparation and review of the financial resources returns and the supporting documents

  • Notification to the SFC for breaches of the SFC financial resources requirement and the subsequent correspondences

  • Application of the SFC e-certificate

  • Training and adhoc advice on financial resources-related matters

Related Team

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Nicolas Inman
Nicolas Inman
Managing Director
Financial Services Compliance and Regulation
London
Phone
Aaron Weiss
Aaron Weiss
Managing Director and Head of Asia Pacific
Financial Services Compliance and Regulation
Singapore
Phone

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