The main objectives of this update are: 1. Let you print blank forms of the new specified forms 2. Add new company types and capacities for OFC
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1 T he Securities and Futures (Amendment) Ordinance 2016 ( the Amendment Ordinance ) introduces a new type of company called Open-ended Fund Company ( OFC ) in Hong Kong. The Amendment Ordinance has been come into operation on 30 July, This version is the Phase I of CSA Expert s updates for helping users to generate the blank forms of the new specified forms and record the data. The main objectives of this update are: 1. Let you print blank forms of the new specified forms 2. Add new company types and capacities for OFC For more information about the forms, legislations and other requirements can be downloaded from the OFC section on Company Registry s website at: DOWNLOAD AND UPDATE Program Update Please get your password and download the update program posted at: A detailed guideline Procedure of Execution posted at: CONTENTS DOWNLOAD AND UPDATE... 1 CONTENTS... 1 DEVELOPMENT PHASES OF CSA EXPERT... 2 MAJOR UPDATES NEW SPECIFIED FORMS... 2 A. Specified forms for use under Part IVA of the Securities and Futures Ordinance (Cap.571) ( SFO )... 2 B. Specified forms for use under the Securities and Futures (Open-ended Fund Companies) Rules (Cap.571AQ) ( OFC Rules )... 2 C. Specified forms for use under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32) ( CWUMPO ) BLANK FORMS NEW COMPANY TYPE - OFC ADDITIONAL CAPACITIES FOR OFC DOCUMENT DATE OF REGISTERS OBSOLESCENCE OF SIGNIFICANT CONTROLLER (INITIAL NOTICE)... 7 Copyright P & L Associates, Hong Kong. All rights reserved. Page 1 of 7
2 DEVELOPMENT PHASES OF CSA EXPERT The development of CSA for the new OFC requirements is divided into phases: First Phase (this update) 25 new specified forms are added to the Blank Form function. The new company type OFC is added to the Client Master File. New capacities such as Investment Manager and Custodian are added to the Capacities Master File for OFC. Coming Phases: Jobs for incorporation of OFC, changes of company particulars (e.g. registered office) and changes of officers (e.g. appointment and resignation of directors) will be released by different phases. MAJOR UPDATES 1. New Specified Forms A. Specified forms for use under Part IVA of the Securities and Futures Ordinance (Cap.571) ( SFO ) Form No. Section in SFO Description of Form Incorporation 1. OFCNC1 (SFC) IRBR3 112C(1)(a) Open-ended Fund Company - Incorporation Form Notice to Business Registration Office (Notice specified by the Commissioner of Inland Revenue) B. Specified forms for use under the Securities and Futures (Open-ended Fund Companies) Rules (Cap.571AQ) ( OFC Rules ) Auditors Form No. Rule(s) in OFC Rules Description of Form 1. OFCA1 140(4) Open-ended Fund Company - Notice of Removal of Auditor 2. OFCA2 138(3) Open-ended Fund Company - Notice of Resignation of Auditor Change of Company Name 3. OFCNC2 (SFC) 9(4) Open-ended Fund Company - Notice of Change of Company Name Copyright P & L Associates, Hong Kong. All rights reserved. Page 2 of 7
3 Form No. Rule(s) in OFC Rules Directors and Process Agent (Director) 4. *OFCD1 (SFC) Description of Form 106(1) Open-ended Fund Company - Notice of Appointment of Director 5. OFCD2 107(1) Open-ended Fund Company - Notice of Cessation of Appointment of Director 6. OFCD3 107(1) Open-ended Fund Company - Notice of Change in Particulars of Director 7. OFCD4 107(2) Open-ended Fund Company - Notice of Resignation of Director (by Resigning Director) 8. OFCPA1 102(6) Open-ended Fund Company - Notice of Change in Particulars of Process Agent (Director) Instrument of Incorporation 9. OFCIN1 15 Open-ended Fund Company - Notice of Alteration of Instrument of Incorporation Registered Offices and Location of Registers 10. OFCR1 20(1) Open-ended Fund Company - Notice of Change of Address of Registered Office 11. OFCR2 68(2) & (4), 98(2) & (3) & 104(3) & (4) Receiver / Mortgagee Open-ended Fund Company - Notice of Location of Registers and Records 12. OFCRC1 174(1) & (3) Open-ended Fund Company - Notice of Appointment of Receiver or Manager or Mortgagee Entering into Possession of Property 13. OFCRC2 175(1) & (2) Open-ended Fund Company - Notice of Cessation of Appointment of Receiver or Manager or Mortgagee Going out of Possession of Property 14. OFCRC3 175(3) Open-ended Fund Company - Notice of Change in Particulars of Receiver, Manager or Mortgagee in Possession of Property 15. OFCRC4 172 Open-ended Fund Company - Statement of Affairs 16. OFCRC5 172 Open-ended Fund Company - Receiver or Manager s Abstract of Receipts and Payments 17. OFCRC6 172 Notice to Open-ended Fund Company of Appointment of Receiver or Manager Winding Up (Voluntary winding-up) 18. OFCW1 177 & 188 Open-ended Fund Company - Certificate of Solvency 19. OFCW2 177 & 188 Open-ended Fund Company - Statement of Voluntary Winding Up under Special Procedure in Case of Inability to Continue Business 20. OFCW3 177 & 188 Open-ended Fund Company - Notice of Appointment of Liquidator or Provisional Liquidator 21. OFCW4 177 & 188 Open-ended Fund Company - Notice of Change in Particulars of Liquidator or Provisional Liquidator 22. OFCW5 177& 188 Open-ended Fund Company - Notice of Cessation to Act as Liquidator or Provisional Liquidator Copyright P & L Associates, Hong Kong. All rights reserved. Page 3 of 7
4 C. Specified forms for use under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32) ( CWUMPO ) Form No. Rule(s) in CWUMPO Winding Up (Court winding-up) 1. OFCW3 195(a), 228A(10) & 253(1)(b) Description of Form Open-ended Fund Company - Notice of Appointment of Liquidator or Provisional Liquidator 2. OFCW6 226A(1) Open-ended Fund Company - Certificate of Release of Liquidator 2. Blank Forms You can print the new OFC forms at { Tools > Blank Form }. Click [Yes] at the following prompt if you want to include the company name and presentor s reference on the semi-blank form. Copyright P & L Associates, Hong Kong. All rights reserved. Page 4 of 7
5 3. New Company Type - OFC Two new company type OFC is available when you create a new Hong Kong company: Open-ended Fund (Private) Open-ended Fund (Public) 4. Additional Capacities for OFC The new capacities are specifically for OFC: Investment Manager Custodian Sub-custodian Process Agent (non-hong Kong Custodian) Process Agent (non-resident Director) Copyright P & L Associates, Hong Kong. All rights reserved. Page 5 of 7
6 5. Document Date of Registers To better express the document date stated on Registers, we have changed the wordings from As of [Date] to Printed on [Date], and moved it from the top right corner to the footer. Example before this update: Example after this update: Copyright P & L Associates, Hong Kong. All rights reserved. Page 6 of 7
7 6. Obsolescence of Significant Controller (Initial Notice) The special function at { Report > Significant Controller (Initial Notice) } was for the mass production of SC notices and board resolutions in early March only. Since the jobs and documents for SC and DR have been added to standard functions now, the said special function has been obsoleted. Changes of and documents for SC and DR should be done by the following standard Job functions: Standard Job functions For Documents Job > Company Formation Job > Change of Officers Job > Alteration of Significant Controller Meeting > First Board Meeting Job > Alteration of Company Particulars > Change of Location of Registers First SC First DR Appointment / Cessation of DR Became / Ceased to be SC Change of nature of control Change of additional matters First DR Location of SCR Change of location of SCR Notice & confirmation to SC Acceptance of appointment as DR Acceptance of appointment as DR Letter of Resignation as DR Board resolution Notice & confirmation to SC First board meeting / written resolution Board meeting / written resolution Determining significant controllers may sometimes be a hard (or even complicated) job in some cases. If you have difficulties in doing so, please consult your own legal professionals (Solicitors, CPAs, or a Chartered Secretaries). ~ End ~ Copyright P & L Associates, Hong Kong. All rights reserved. Page 7 of 7
Please get your password and download the update program posted at:
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