Its contents do not constitute legal advice and it should not be regarded as a substitute for detailed advice in individual cases. Another change is that substantial shareholders of the applicant may need to provide the SFC with only basic information in relation to their identity when they apply for approval. These help us improve our services by providing analytical data on how users use this site.Consent (i) to the processing of your personal data for the purposes specified in our
Preliminary Figures 2013. 04.02.2014. You may also refer to the e-FRR System User Guide for guidance on how to submit your financial returns … 27.03.2014. 8. The SFC states that this is justified in cases where the applicant and the substantial shareholder have a remote relationship, such as in large groups with complex shareholding structures. Starting from 11 April 2019, the Securities and Futures Commission (Registered institution applicants and existing registered institutionsThe SFC has stated that the new forms are designed to assess the fitness and properness of new applicants by focusing on four major areas: (i) business profile and clientele; (ii) financial strength and sustainability of substantial shareholders; (iii) management (including corporate governance, responsible officers and managers-in-charge of core functions); and (iv) risk management and internal control measures.Among the changes introduced in the new forms, corporate applicants will be required to provide a projection of their operating expenses incurred in the first six months after receiving their licence so that their financial soundness can be assessed. Preliminary Figures 2019 / Conference Call (9 o’clock)Interim Disclosure Q1 2020 / Conference Call (9 o’clock)Interim Disclosure Q3 2020 / Conference Call (9 o’clock)Preliminary Figures 2018 / Conference Call (9 o’clock)Interim Disclosure Q1 2019 / Conference Call (9 o’clock)Interim Disclosure Q3 2019 / Conference Call (9 o’clock)Conference call on the publication of the quarterly report Q3 2018Conference Call on the figures for the first quarter of 2015 at 1 pm2 pm (room Paris) Presentation of SFC Energy at the German Equity Forum in FrankfurtThis site uses cookies. To proceed with your submission, click here to access the e-FRR System. Q1 Report. SFC sees return of broker license fee. Financial returns template: for users using Microsoft Office Excel 2007 and 2010; Submit your financial returns online. The Securities and Futures Commission has proposed charging 50 percent of the annual license fee for … If the corporate applicant cannot cover its projected expenses with its excess liquid capital during that period, it must provide a plan to demonstrate that additional funding would be available.
Both of these services are free of charge and are available by contacting the Communications Team, tel: 0131 313 6500 or email: webmaster@sfc.ac.uk. If the corporate applicant cannot cover its projected expenses with its excess liquid capital during that period, it must provide a plan to demonstrate that additional funding would be available. The SFC states that this is justified in cases where the applicant and the substantial shareholder have a remote relationship, such as in large groups with complex shareholding structures. Starting from 11 April 2019, the Securities and Futures Commission (Registered institution applicants and existing registered institutionsThe SFC has stated that the new forms are designed to assess the fitness and properness of new applicants by focusing on four major areas: (i) business profile and clientele; (ii) financial strength and sustainability of substantial shareholders; (iii) management (including corporate governance, responsible officers and managers-in-charge of core functions); and (iv) risk management and internal control measures.Among the changes introduced in the new forms, corporate applicants will be required to provide a projection of their operating expenses incurred in the first six months after receiving their licence so that their financial soundness can be assessed. During the two-month transition period between 11 February and 11 April, both the old and the new licensing forms are acceptable for submission.
Annual aggregate return . ... (room Paris) Presentation of SFC Energy at the German Equity Forum in Frankfurt. Lastly, where the new forms require disclosure of investigations, disciplinary actions and civil litigation against the applicant, emphasis is placed on recent (within the past five years) or significant matters.Applications made with the new forms are currently accepted by the SFC. The SFC annual report is a comprehensive document which it is worth reading in detail, but there are a number of interesting elements which illustrate the regulator’s priorities. Annual Report 2019 / Conference Call (9 o’clock) 18.05.2020. We use cookies to offer you a better browsing experience. Licensed corporations and licensed individuals are required to submit annual returns to the SFC through the SFC Online Portal within one month after each anniversary date ... Failure to submit annual return before the due date could result in suspension and revocation of the licence (sections 195(4)(b) and (6) of the SFO). Another change is that substantial shareholders of the applicant may need to provide the SFC with only basic information in relation to their identity when they apply for approval. If you continue to use this website, you consent to our Cookies that are necessary for the site to function properly.These are used to track user interaction and detect potential problems. 2. complete and submit annual returns and notifications; 3. complete and submit online applications; 4. arrange for online payment of annual fees and application fees; and 5. act as delegated users for licensees/registrants to (a) complete annual returns and/or notifications (but such forms can only be submitted to the SFC by such other