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  1. The Registrar of Companies has specified 25 forms for the purposes of the open-ended fund companies under Part IVA of the Securities and Futures Ordinance (Chapter 571), the Securities and Futures (Open-ended Fund Companies) Rules (Chapter 571AQ) and the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Chapter 32). These new forms can be used with effect from 30 July 2018.

    A CD-ROM containing a full set of the new forms (HK$30 each) and hard copies of individual forms (HK$4 or HK$7 each) are also available for purchase at the Information Counter on the 14th floor of the Queensway Government Offices, 66 Queensway, Hong Kong. Please refer to the “Price List of Specified Forms of Open-ended Fund Companies” (Hard Copies / CD-ROM) (pdf format) and Information Note on "How to Obtain Specified Forms (Open-ended Fund Companies)" (pdf format) for details.

    Important Note:
    • Personal data collected by the Registrar of Companies (“the Registrar”) in the forms delivered to the Registrar will be used for the purposes set out in the Personal Information Collection Statement.
    • All bilingual forms should be completed consistently either in English or in Chinese. For forms in either English or Chinese, please complete all items in the same language of the form. Traditional Chinese characters should be used if the form is completed in Chinese.
    • Specified forms must be delivered in complete format including all pages of inapplicable items (except the Notes for Completion and unused continuation sheets).
    • If the required fee is paid by cheque, the cheque should be crossed and made payable to 'Companies Registry'. Please do not send cash.

  1. Incorporation

    1.
    Form *OFCNC1 (SFC)
    Open-ended Fund Company - Incorporation Form
    $3,034
    [Section 112C(1)(a)]
      (This Form must be delivered with IRBR3 to the Securities and Futures Commission for sending to the Companies Registry)
     
     
    2.
    Form IRBR3
    Notice to Business Registration Office
    (Notice specified by the Commissioner of Inland Revenue)
    (This Notice must be delivered with Form OFCNC1(SFC) to the Securities and Futures Commission for sending to the Companies Registry)

    Note: Please refer to the website of the Inland Revenue Department for details of renewal of business registration.
     
     

  1. Auditors

    3.
    Form OFCA1
    Open-ended Fund Company - Notice of Removal of Auditor
    [Section 140(4)]
     
     
    4.
    Form OFCA2
    Open-ended Fund Company - Notice of Resignation of Auditor
    [Section 138(3)]
     
     

    Change of Company Name

    5.
    Form *OFCNC2 (SFC)
    Open-ended Fund Company - Notice of Change of Company Name
    $1,405
    [Section 9(4)]
    (This Form must be delivered to the Securities and Futures Commission for sending to the Companies Registry)
     
     

    Directors and Process Agent (Director)

    6.
    Form *OFCD1 (SFC)
    Open-ended Fund Company - Notice of Appointment of Director
    [Section 106(1)]
    (This Form must be delivered to the Securities and Futures Commission for sending to the Companies Registry)
     
     
    7.
    Form OFCD2
    Open-ended Fund Company - Notice of Cessation of Appointment of Director
    [Section 107(1)]
     
     
    8.
    Form OFCD3
    Open-ended Fund Company - Notice of Change in Particulars of Director
    [Section 107(1)]
     
     
    9.
    Form OFCD4
    Open-ended Fund Company - Notice of Resignation of Director
    [Section 107(2)]
    (by Resigning Director)
     
     
    10.
    Form OFCPA1
    Open-ended Fund Company - Notice of Change in Particulars of Process Agent
    [Section 102(6)]
    (Director)
     
     

    Instrument of Incorporation

    11.
    Form OFCIN1
    Open-ended Fund Company - Notice of Alteration of Instrument of Incorporation
    [Section 15]
     
     

    Registered Offices and Location of Registers

    12.
    Form OFCR1
    Open-ended Fund Company - Notice of Change of Address of Registered Office
    [Section 20(1)]
     
     
    13.
    Form OFCR2
    Open-ended Fund Company - Notice of Location of Registers and Records
    [Section 68(2) & (4), 98(2) & (3) & 104(3) & (4)]
     
     

    Receiver / Mortgagee

    14.
    Form OFCRC1
    Open-ended Fund Company - Notice of Appointment of Receiver or Manager or Mortgagee Entering into Possession of Property
    $40
    [Section 174(1) & (3)]
     
     
    15.
    Form OFCRC2
    Open-ended Fund Company - Notice of Cessation of Appointment of Receiver or Manager or Mortgagee Going out of Possession of Property
    [Section 175(1) & (2)]
     
     
    16.
    Form OFCRC3
    Open-ended Fund Company - Notice of Change in Particulars of Receiver, Manager or Mortgagee in Possession of Property
    [Section 175(3)]
     
     
    17.
    Form OFCRC4
    Open-ended Fund Company - Statement of Affairs
    [Section 172]
     
     
    18.
    Form OFCRC5
    Open-ended Fund Company - Receiver or Manager’s Abstract of Receipts and Payments
    [Section 172]
     
     
    19.
    Form **OFCRC6
    Notice to Open-ended Fund Company of Appointment of Receiver or Manager
    [Section 172]
     
     

    Winding Up (Voluntary winding-up)

    20.
    Form OFCW1
    Open-ended Fund Company - Certificate of Solvency
    [Section 177 & 188]
     
     
    21.
    Form OFCW2
    Open-ended Fund Company - Statement of Voluntary Winding Up under Special Procedure in Case of Inability to Continue Business
    [Section 177 & 188]
     
     
    22.
    Form OFCW3
    Open-ended Fund Company - Notice of Appointment of Liquidator or Provisional Liquidator
    [Section 177 & 188]
     
     
    23.
    Form OFCW4
    Open-ended Fund Company - Notice of Change in Particulars of Liquidator or Provisional Liquidator
    [Section 177 & 188]
     
     
    24.
    Form OFCW5
    Open-ended Fund Company - Notice of Cessation to Act as Liquidator or Provisional Liquidator
    [Section 177 & 188]
     
     

  1. Winding Up (Court winding-up)

    25.
    Form OFCW3
    Open-ended Fund Company - Notice of Appointment of Liquidator or Provisional Liquidator
    [Section 195(a), 228A(10) & 253(1)(b)]
     
     
    26.
    Form OFCW6
    Open-ended Fund Company - Certificate of Release of Liquidator
    [Section 226A(1)]
     
     

  1. Securities and Futures Ordinance (Cap. 571) and Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ)


    Purpose of Collection

    1. Personal data provided to the Registrar of Companies (“the Registrar”) pursuant to any requirement of the Securities and Futures Ordinance (Cap. 571) and the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ) will be used by the Registrar for one or more of the following purposes:

      1. to administer the Securities and Futures Ordinance (Cap. 571) and the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ);

      2. to enforce relevant provisions of the Securities and Futures Ordinance (Cap. 571) and the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ);

      3. to make available for public inspection the OFC register (containing personal data), so as to enable any member of the public –

        1. to ascertain whether he is dealing with -

          1. an open-ended fund company or its directors, in matters of or connected with any act of the company;

          2. a director of an open-ended fund company, in matters of or connected with the administration of the company, or of its property;

          3. a person who has entered into possession of the property of an open-ended fund company as mortgagee;

          4. a person who is appointed as the provisional liquidator or liquidator in the winding up of an open-ended fund company under Part 11 of the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ); or

          5. a person who is appointed as the receiver or manager of the property of an open-ended fund company; and

        2. to ascertain the particulars of the company, its directors, or its former directors (if any), or the particulars of any person mentioned in paragraphs I (iii) to (v) above;

      4. to provide copies of any documents containing such personal data to any person subject to payment of a fee; and

      5. to administer functions of the Companies Registry in relation to simultaneous business registration applications under the Business Registration Ordinance (Cap. 310).


    Classes of Transferees

      1. The personal data collected will be available in the OFC register for public inspection subject to any restriction in law.

      2. Some personal data as required under the Business Registration Ordinance (Cap. 310) will be transmitted to the Commissioner of Inland Revenue for the purposes of business registration. The Commissioner of Inland Revenue will use the data for tax purposes and may disclose the data to other parties authorised by law to receive it.

      3. The personal data collected may be disclosed to the Securities and Futures Commission for the purposes of the Securities and Futures Ordinance (Cap. 571) or the Securities and Futures (Open-ended Fund Companies) Rules (Cap. 571AQ).


    Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32)


    Purpose of Collection

    1. Personal data provided to the Registrar pursuant to any requirement of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32) will be used by the Registrar for one or more of the following purposes:

      1. to administer the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32);

      2. to enforce relevant provisions of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32);

      3. to make available for public inspection the Companies Register (containing personal data), so as to enable any member of the public -

        1. to ascertain whether he is dealing with -

          1. a person against whom a disqualification order has been made by a court; or

          2. a person who is appointed as the provisional liquidator or liquidator in the winding up of an open-ended fund company; and

        2. to ascertain the particulars of the provisional liquidator or liquidator in the winding up of an open-ended fund company;

      4. to provide copies of any documents containing such personal data to any person subject to payment of a fee.


    Classes of Transferees

    1. The personal data collected will be available in the Companies Register for public inspection subject to any restriction in law.


    Notice

    1. The provisions of the Personal Data (Privacy) Ordinance (Cap. 486) ("PDPO") apply to the use of personal data obtained from the Companies Registry's public registers. Any person who uses personal data for any purpose other than the purposes stated in the PICS or in contravention of the requirements under the PDPO is liable to pay compensation and may be subject to enforcement action under the PDPO.

    2. Individuals have a right to request access to and correction of his/her personal data held in the public registers maintained by the Companies Registry pursuant to sections 18 and 22 of the PDPO. Any such request for access to and correction of such personal data may be made to any officer acting for or on behalf of the Registrar at the Companies Registry, 15th Floor, Queensway Government Offices, 66 Queensway, Hong Kong.

* For delivery to the Securities and Futures Commission (“SFC”) for applying approval
**Not for delivery to the Companies Registry or SFC



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