SFC and SEC ERA Reporting and Notification Checklists
Navigating the ever-changing regulatory environment is complex — and it becomes even more challenging when managing compliance across multiple jurisdictions.
For Hong Kong managers licensed by the Securities and Futures Commission (SFC) who also hold Exempt Reporting Adviser (ERA) status with the United States (US) Securities and Exchange Commission (SEC), staying on top of dual regulatory obligations requires careful coordination and proactive oversight.
Cross-border Compliance Resources for Hong Kong Managers
To support dual-jurisdiction compliance, Waystone has developed two practical compliance checklists that outline the key reporting and notification requirements for fund managers regulated by both the SFC and the SEC as an Exempt Reporting Adviser (ERA).
Whether you’re onboarding new compliance staff, reviewing internal compliance policies, or preparing for regulatory audits, these downloadable resources offer practical support. They serve as a clear, structured reference to help licensed fund managers meet ongoing regulatory obligations and maintain day-to-day compliance across both Hong Kong and US jurisdictions.
SFC Reporting and Notification Checklist
Stay aligned with Hong Kong SFC requirements, including:
- Key ongoing notification requirements to the SFC
- Summary of periodic reporting obligations
- Timeframes for critical submissions
- Key considerations for changes in business structure or personnel
- A practical reference for day-to-day compliance oversight.
ERA Reporting and Notification Checklist
- Key ongoing notification requirements under the SEC’s framework
- Annual and periodic filing deadlines
- Triggers for Form ADV amendments and state-level filings
- Operational considerations including insider trading, best execution, and cyber security
- A practical reference for day-to-day compliance oversight.
How Waystone Can Help
Waystone supports Hong Kong fund managers operating across multiple jurisdictions through expert regulatory insight and practical tools. Our global compliance team helps you meet your obligations efficiently and confidently.
To find out more about how to ensure you are meeting SFC and SEC regulatory requirements, please reach out to your usual Waystone representative or contact our APAC Compliance Solutions team below.