Investor Presentaiton
Hong Kong Investor ID Regime
Relevant Regulated Intermediary
Custodian/Fund Manager
Un
Hong Kong Investor ID Regime
Whether a custodian will be subject to the Hong Kong Investor ID Regime will depend on
whether it is acting in the capacity of a Relevant Regulated Intermediary when it handles a
securities order
.
if a custodian submits an On-Exchange Order, carries out an Off-Exchange Trade which is
subject to the OE Trade Reporting requirement or carries out an Off-Exchange Order in the
capacity of a Relevant Regulated Intermediary (for example, if a custodian opens and
maintains a securities trading account for an investor at its own entity and provides securities
brokerage services to the investor), it will be subject to the Hong Kong Investor ID Regime
if a fund manager provides discretionary investment management services and places orders.
with an executing broker for execution, it will not be subject to the Hong Kong Investor ID
RegimeView entire presentation