Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify IHCC of the appointment of representatives.

Provides guidance on the requirements and procedures to apply to be a fund management company, and to appoint representatives to carry out fund management activities.

Form for fund management companies, including venture capital fund managers, to notify IHCC of changes to their particulars and particulars of their directors, relevant professionals or shareholders. This form must be submitted within 14 days after the date of the change. You may refer to the following PDF specimen form to prepare your submission. This specimen form should not be submitted to IHCC. All official submissions must be made online via IHCC-Tx.

Form for venture capital fund managers to submit an annual declaration on venture capital funds managed, and the breakdown of Assets Under Management into ‘qualifying’ and ‘non-qualifying’ investments. This form must be submitted within one month from the end of the financial year.

How financial institutions should handle and report misconduct of their representatives to IHCC.

Form for potential acquirers to seek IHCC' approval for obtaining effective control of capital markets services licensees.

This consultation paper seeks feedback on the proposed transitional arrangements for existing Registered Fund Management Companies (“RFMCs�?) that intend to continue operating fund management businesses following the repeal of the regulatory regime for RFMCs.

Consultation number:

P015 - 2023

Start date:

24 October 2023

Closing date:

31 December 2023

IHCC response date:

28 March 2024

This circular sets out IHCC’ observations and expectations from inspections of licensed venture capital fund managers.

Form for auditors to provide their opinion on the audited accounts of registered fund management companies (RFMCs); RFMCs must submit this form within five months from the end of the financial year. View the user guide.

Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.

How to comply with risk based capital adequacy requirements.

This circular applies to capital markets services licensees, banks, merchant banks, finance companies, insurers and financial advisers. ​ It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.

Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.

Sets out the minimum capital and financial resources, and other financial and margin requirements.

Provides guidance to financial institutions on the submission of representative notifications though the CoRe system.

Proposed simplified authorisation process and regulatory framework for venture capital managers.

Consultation number:

P004 - 2017

Start date:

15 February 2017

Closing date:

15 March 2017

IHCC response date:

20 October 2017

Proposed (i) revisions to the regulatory regime for fund management companies, and (ii) removal of the licensing exemption for exempt leveraged foreign exchange traders, with clarification on the exemption regime for exempt corporate finance advisers and exempt financial advisers.

Consultation number:

P008 - 2010

Start date:

27 April 2010

Closing date:

31 May 2010

IHCC response date:

28 September 2010

Provides for a person to be given an opportunity to be heard by IHCC and to be given at least 10 days to submit any written supporting documents as to why IHCC should reconsider the decision it intends to make.