Compliance Calendar & Obligations
Needs Attention74/100Filings, returns and deadlines with owners and evidence
Overdue
1
immediate attention
Due in 30 Days
2
Open Obligations
6
Completed
1
Obligation Finder Agent
Derives this firm's standing HK obligations from its licences, entity type and financial year end, registers anything missing, and flags dates for you to verify.
| Obligation | Regulator | Frequency | Due | Status | Owner |
|---|---|---|---|---|---|
| Audited accounts & auditor's report filing | SFC | Annual | 3 May 2026 | Completed | Dennis Ng |
| Business & Risk Management Questionnaire (BRMQ) | SFC | Annual | 5 Jul 2026 · 12d overdue | Overdue | Rachel Ho |
| Quarterly best execution review | Internal | Quarterly | 26 Jul 2026 · in 9d | In Progress | Rachel Ho |
| FRR return – semi-annual (June period) | SFC | Semi-annual | 4 Aug 2026 · in 18d | In Progress | Dennis Ng |
| Cayman feeder fund – FATCA/CRS reporting | Other | Annual | 10 Sept 2026 · in 55d | Upcoming | Dennis Ng |
| SFC Annual Return (licence anniversary) | SFC | Annual | 19 Sept 2026 · in 64d | Upcoming | Rachel Ho |
| Annual compliance training – all staff | Internal | Annual | 14 Nov 2026 · in 120d | Upcoming | Rachel Ho |
7 of 7 obligations · click a row to view or edit