Circular on the Record-filing for Hong Kong Institutions Offering Consulting Services for Investment in Hong Kong Stocks

Circular on the Record-filing for Hong Kong Institutions Offering Consulting Services for Investment in Hong Kong Stocks

September 19, 2018

All relevant Hong Kong institutions,

The China Securities Regulatory Commission ("CSRC") released the Interim Provisions on the Securities Investment Consulting Services Offered by Hong Kong-based Institutions to Securities and Fund Operators (hereinafter referred to as the "Interim Provisions") on June 28, 2018, to regulate activities of mainland securities companies under the Southbound Trading and fund managers publicly offering securities investment funds to receive consulting services offered by Hong Kong institutions for securities investment.
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