SFC Financial Resources Returns

All licensed corporations regulated by the SFC are required to submit monthly or semi-annually financial resources returns through the SFC’s Electronic Submission of Financial Return (“eFRR”) system. Duff & Phelps provides support to firms to ensure they complete and return the required information in line with the SFC expectations.

Examples of assistance we can provide include:

• Preparation and review of the financial resources returns and the supporting documents

• Notification to the SFC for breaches of the SFC financial resources requirement and the subsequent correspondences

• Application of the SFC e-certificate

• Training and adhoc advice on financial resources-related matters