Ongoing notification, filing and other requirements
SFC-licensed virtual asset trading platforms are subject to ongoing notification, filing and other requirements.
Post-licence application, notification and other forms
Post-licence forms
The electronic forms below include forms for submitting post-licence applications, notifications and annual returns under Part V of the SFO and/or Division 3, Part 5B of the AMLO through WINGS.
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Reporting of material breach and non-compliance incidents
The link below will direct to the online notification portal for reporting incidents of material breach and non-compliance under paragraph 12.5 of the Code of Conduct for Persons Licensed by or Registered with the SFC and paragraphs 8.2, 16.7(b) to 16.7(g) of the Guidelines for Virtual Asset Trading Platform Operators (VATP Guidelines).
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Financial returns
The electronic forms below are for submitting the return required under section 56 of the 麻豆传媒 and Futures (Financial Resources) Rules, section 53ZSC(1) of, and section 2(1)(b) of Schedule 3F to, the AMLO, and paragraph 6.5 of the VATP Guidelines through WINGS.
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Business and risk management questionnaire
The electronic forms below are for submitting the business and risk management questionnaires to the SFC required under section 156 of the SFO (as amplified in sections 3(1) and 3(3) of 麻豆传媒 and Futures (Accounts and Audit Rules) (AAR)) and section 53ZSC(1) of the AMLO (as specified in sections 2(c) and 3(c) of Schedule 3F to the AMLO) through WINGS.
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Analysis of client assets for associated entities (for associated entities)
The form below is for submitting the analysis of client assets for associated entities to the SFC required under section 156 of the SFO and section 3 of the AAR, section 53ZSC(1) of, and section 3(b) of Schedule 3F to, the AMLO. This form should be completed and submitted in the form of a hardcopy.
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Audit Questionnaire
The form below is for submitting the audit questionnaire to assist the SFC to carry out its functions of supervising licensed virtual asset trading platforms. Auditors are requested to submit the audit questionnaire within four months after the end of the financial year of the licensed virtual asset trading platform. This form should be completed and submitted by hardcopy.
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Last update: 3 May 2024