The Applicant/Entrant/Holding Company, the appointed financial intermediary(ies) and the relevant designated account(s) are required to comply with the ring-fencing and reporting requirements as stipulated in the Scheme Rules once the designated account is opened; and the New CIES Application Reference Number is assigned by the New CIES Office upon receipt of the application for Net Asset Assessment.

A contract must also be made between an Applicant/Entrant/Holding Company and a financial intermediary to clearly set out the requirements to be complied with by the Applicant/Entrant/Holding Company, as well as the obligations of the financial intermediary. For details, please refer to Annex A of the Scheme Rules and the contract template (for reference only) on this website.

The appointed financial intermediary(ies) can use the following online platform to serve notifications to InvestHK on reportable incidents relating to the designated account of the Applicant/Entrant/Holding Company as required under the Scheme Rules and upload a report in accordance with paragraph 4 of Annex A of the Scheme Rules within 14 working days after the first anniversary of the grant of Formal Approval to the Applicant/Entrant and within 14 working days after each subsequent anniversary.

Financial Intermediary Online Notification Platform 

Please refer to the Guidance Notes for Submission of Online Notifications by Financial Intermediary on this website for more information.