Aggregated News From Investment Management Regulators

Launch of investor identification for southbound trading under Stock Connect


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As a further step in the enhancement of Mainland-Hong Kong Stock Connect, the Securities and Futures Commission (SFC) and the China Securities Regulatory Commission on 11 October 2019 jointly announced the commencement of preparations for an investor identification regime for southbound trading.

The Mainland and Hong Kong exchanges and clearing houses have been making technical preparations. The southbound trading investor identification regime is scheduled for implementation on 13 January 2020.

After the regime is implemented, southbound investor identification information will be available to facilitate the SFC’s regulation and the orderly operation of the Stock Connect programme.

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Regulator Information

Abbreviation: SFC
Jurisdiction: Hong Kong

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