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SFC Key Risk Indicator Survey

SFC Key Risk Indicator Survey

Overview of the SFC’s recent circular requiring in-scope licensed corporations to complete a Key Risk Indicator Survey

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In August 2019, the Securities and Futures Commission (SFC) issued a circular requiring in-scope licensed corporations (LCs) to complete the Key Risk Indicator Survey with data relating to their business operations, conduct and prudential risk exposure. Initially, 22 global financial institutions, considered systemically important are in-scope.

The SFC’s goal is to enhance regulatory oversight by leveraging Supervisory Technology (SupTech) and data analytics capabilities. As highlighted in the circular, the scope of data collection will be expanded and additional LCs will be included going forward.

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