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【活動回顧】感謝您的參與：「FRR 申報實務與監控」網絡研討會及要點總結 (2026.06)



衷心感謝各位踴躍參與我們於 2026 年 6 月 11 日（星期四）舉辦的「FRR 實務申報與監控」網絡研討會。本次活動反應熱烈，吸引了眾多客戶及來賓出席，我們深感榮幸。

 

本次研討會由我們的專業團隊成員——Tommy Chung 與 Ryan Lee 主講，針對「不持有客戶資產」的持牌法團，就如何應對及遵守《財務資源規則》（FRR）分享了寶貴的實務見解。

 

以下為本次演講的核心合規要點總結：

 

📌 網絡研討會要點總結

  • 以最高門檻為準：資本要求並非按擁有的多個牌照疊加計算；企業必須嚴格滿足其所持牌照中，單一最高的資本門檻要求。

  • 嚴格的 24 小時通知機制：若速動資金跌至低於規定金額的 120%，或較上一次申報的金額暴跌超過 50%，企業必須在一個工作天內向證監會（SFC）發出通知。

  • 資產計入有時限要求：就受規管活動所產生的應收費用及預付費用只有在未結清期不超過一個月，或在 3 個月內到期的情況下，方可視為速動資產。

  • 持續進行每月追踪：即使是每半年申報一次的持牌法團，亦應每月進行內部 FRR 計算，以確保能及時捕捉資金的快速波動，避免隱蔽性違規。


我們非常重視您的寶貴意見。若您對本次培訓有任何建議，或希望我們在未來的研討會中涵蓋特定主題，歡迎隨時與我們分享。

 

期待不久的將來再次為業界舉辦更多具啟發性的專題分享！




[Seminar Review] Thank You for Participating: Practical FRR Filing Webinar & Key Summary (2026.06)

 

 

We sincerely appreciate your participation in our recent webinar, "Practical FRR Filing/Monitoring," held on Thursday, 11th June 2026. We are pleased to share that the session received an excellent response, with a strong turnout from both our clients and guests.

 

Led by our team, Tommy Chung, and Ryan Lee, the session offered valuable insights into navigating the Financial Resources Rules (FRR) for licensed corporations that do not hold client assets.

 

Here are the core compliance takeaways from the presentation:

 

📌 Webinar Key Summary

  • Highest Threshold Governs: Capital requirements do not aggregate across multiple licenses; firms must strictly satisfy the single highest threshold among the licenses they hold.

  • Strict 24-Hour Notifications: Firms must notify the SFC within one business day if liquid capital drops below 120% of the required amount, or plunges below 50% of their last filed return.

  • Time-Bound Asset Rules: Accrued fees which are generated from regulated activities and prepaid expenses only qualify as liquid assets if they are outstanding for one month or less, or fall due within 3 months.

  • Continuous Monthly Tracking: Even semi-annual filers should run monthly internal FRR computations to safely catch rapid capital fluctuations and avoid hidden breaches.


We greatly value your insights.  If you have any suggestions regarding this training or topics you would like us to cover in future sessions, please feel free to share them with us.


We look forward to hosting more insightful presentations for industry participants soon!



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