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S181/183 Return submission user guide A. Download blank form 1. Type http://www.sfc.hk/web in Internet Explorer

S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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Page 1: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

S181/183 Return submission user guide

A. Download blank form

1. Type http://www.sfc.hk/web in Internet Explorer

Page 2: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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2. Click ‘Forms’

Page 3: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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3. Click ‘Market infrastructure & trading’ --> ‘Section 181 return’

4. Click ‘Yes’

Page 4: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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5. Choose the file you want to download. Then save the file.

Page 5: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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6. Enter the path and the filename and then click ‘Save’ button.

Page 6: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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B. Submit filled form

1. Fill in the details in the blank form 2. Save as the Excel document 3. Type http://www.sfc.hk/web in Internet Explorer

Page 7: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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4. Click ‘Forms’

Page 8: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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5. Click ‘Market infrastructure & trading’ --> ‘Section 181 return’

6. Click ‘Yes’

Page 9: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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7. Fill in all the information. Submission key and our file reference can be

found on the letter of ‘Demand for information made under S.181(1) of the SFO’

Page 10: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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8. Click ‘Browse…’ button to select the form to be submitted.

Page 11: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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9. Only Excel or CSV format can be submitted. 10. Click ‘Submit’ button

11. Click ‘OK’ button

12. Acknowledgement page will be displayed

Page 12: S181/183 Return submission user guideNew regulatory measures take effect under Securities and Futures (Amendment) Ordinance > Consultations & conclusions SFC Portal F RR Short position

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C. Acknowledgement Email

1. Acknowledgement of receipt will be received after submission. Here is the sample as follows: