Hong Kong SFC Proposed Investor Identification Regime for Exchange-Traded Derivatives Market (HKIDR-DM) Similar to Securities Market Launched in 2023 March, Licensed Corporations & Registered Institutions Offering Brokerage Services or Conducting Proprietary Trading Required to Submit Clients’ Names & Identity Information to Centralised Data Repository 

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Hong Kong SFC Proposed Investor Identification Regime for Exchange-Traded Derivatives Market (HKIDR-DM) Similar to Securities Market Launched in 2023 March, Licensed Corporations & Registered Institutions Offering Brokerage Services or Conducting Proprietary Trading Required to Submit Clients’ Names & Identity Information to Centralised Data Repository 

23rd September | Hong Kong 

The Hong Kong Securities and Futures Commission (SFC) has launched a 3-month consultation on the proposed investor identification regime for the Exchange-Traded Derivatives Market (HKIDR-DM) similar to securities market launched in 2023 March, requiring licensed corporations & registered institutions offering brokerage services or conducting proprietary trading to submit clients’ names & identity information to centralised data repository.  Announcement (22/9/25): “The Securities and Futures Commission (SFC) today launched a consultation on the proposed investor identification regime for the exchange-traded derivatives market (HKIDR-DM) to further bolster the integrity and sustainable development of Hong Kong’s capital markets (Note 1).  Building upon the successful implementation of a similar regime for the securities market (HKIDR-S) since March 2023, the proposed HKIDR-DM would cover on-exchange orders for futures contracts, options contracts and stock options traded through the Hong Kong Futures Exchange Limited’s trading system (Note 2).  The HKIDR-DM would adopt a model similar to that of the HKIDR-S, under which licensed corporations and registered institutions offering brokerage services or conducting proprietary trading would be required to submit clients’ names and identity information to a centralised data repository (Note 3).  The consultation period will last for three months. Interested parties are invited to submit their feedback to the SFC on or before 22 December 2025 through the SFC website (www.sfc.hk), via email at [email protected], or by post.”

“ Hong Kong SFC Proposed Investor Identification Regime for Exchange-Traded Derivatives Market (HKIDR-DM) Similar to Securities Market Launched in 2023 March, Licensed Corporations & Registered Institutions Offering Brokerage Services or Conducting Proprietary Trading Required to Submit Clients’ Names & Identity Information to Centralised Data Repository “

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Rico Leung, the SFC’s Executive Director of Supervision of Markets: ”To keep up with Hong Kong’s fast-growing derivatives market and align with global best practices, the proposed extension of our investor identification regime represents a major stride in detecting irregularities and protecting investors whilst minimising operational burden on the industry.  Our enhanced cross-market surveillance capabilities will help reinforce market integrity and investors’ confidence – both essential in solidifying Hong Kong’s sustainable development as an international financial centre.”

Notes:

1. The proposed regime is expected to be implemented in the first quarter of 2028.
2. Hong Kong Futures Exchange Limited is a wholly-owned subsidiary of Hong Kong Exchanges and Clearing Limited.
3. These entities must comply with the Personal Data (Privacy) Ordinance by obtaining the client’s express consent before collecting and passing on any client information under the proposed regime.

Hong Kong SFC Proposed Investor Identification Regime for Exchange-Traded Derivatives Market (HKIDR-DM) Similar to Securities Market Launched in 2023 March, Licensed Corporations & Registered Institutions Offering Brokerage Services or Conducting Proprietary Trading Required to Submit Clients’ Names & Identity Information to Centralised Data Repository

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