Investor identification and OTC securities reporting
Frequently Asked Questions on the HKIDR and OTCR
These FAQs aim to address some frequently asked questions from market participants and to help them better understand the investor identification regime at trading level for the securities market in Hong Kong (HKIDR) and an over-the-counter securities transaction reporting regime for shares listed on the Stock Exchange of Hong Kong (OTCR) so that they can better prepare for the implementation of the regimes and ensure compliance going forward.
Please click here for the definitions and interpretation of key terms.
| Topic | Last Updated |
|---|---|
| A. FAQs on the product scope of HKIDR | 21 Jan 2022 |
| B. FAQs on Relevant Clients | 21 Jan 2022 |
| C. FAQs on collection of client identification data | 28 Jan 2022 |
| D. FAQs on obtaining express individual client consent | 17 Jun 2022 |
| E. FAQs on dormant accounts | 26 Nov 2021 |
| F. FAQs on BCAN generation and assignment | 21 Jan 2022 |
| G. FAQs on BCAN assignment in a chain of RRIs | 17 Jun 2022 |
| H. FAQs on multiple BCANs | 26 Nov 2021 |
| I. FAQs on aggregated orders | 17 Mar 2023 |
| J. FAQs specific to OTCR | 29 May 2023 |