Securities & Futures Commission

SFC e-FRR System Disk Submission Guide

Revised on Jan 31, 2005

Special Note About Disk Submission & Printing CheckSum This user guide will show you all steps involved in submitting your FRR with Disk. You must follow all steps illustrated in this guide to avoid CheckSum mismatch problem. In general, the sequence of preparing disk submission is: 1)

Preparing your e-FRR file in Excel (Step 9 - Step 10)

2)

Save the completed file in Hard Disk

3)

Close the e-FRR file

4)

Prepare Hard copy with SFO_PrintCheckSum program (Step 11 – Step 18)

5)

The file will be automatically marked read only to avoid inadvertent changes

6)

Have the hard copy signed by authorized signer (Step 19)

7)

Compress the (read only) e-FRR file with WinZip or other compression program in Zip format (Step 20 – 25)

8)

Submit the compressed e-FRR file along with the signed hard copy

Again, please note that if you are not following this sequence when preparing your e-FRR file, the CheckSum shown on your hard copy may not match with the one calculated from the zipped e-FRR file.

Download Template From SFC Web Site Please note that if you are using the FRR template on Disks provided by SFC, you may proceed directly to Step 8 Connect to SFC Web Site. URL: www.sfc.hk

Click "Intermediaries, Licensing & Investment Products" option

Step 1 Our "Intermediaries, Licensing & Investment Products" page will be opened.

Locate and click the "Forms" option under "Intermediaries Supervision Related Matters" Section

Step 2 This "Intermediaries Supervision Related Matters" Page will be opened

Click "Financial Return" Option

Step 3

When the "Financial Return" forms download page is opened, **scroll down** until you will the following options:

Step 4

**Right-Click** Excel file icon on the right of "Financial return under the SF(FR)R (MS Excel)" option and then select "Save Target As" option to save the template

Step 5 When this "Save As" Dialog Box appear, specify a location to save the file and then click "Save" to download the file

Step 6

Return to the "Financial Return" forms download page and then **RightClick** the Excel file icon on the right of "Financial return under the SF(FR)R (Print Checksum Program)" and then select "Save Target As" option to save the Checksum program

Step 7 When this "Save As" Dialog Box appear, specify a location to save the file and then click "Save" to download the file

Step 8

Note on Completing the e-FRR Template After downloading the e-FRR Template or you have it on disk already, you may prepare your FRR by completing sections that are relevant to your company in this template. To fill out your FRR electronically, open the "SFO_FRR_Template_v5 _Ext.xls" template you have downloaded with Excel 97 or above

Step 9 When this dialog box appear, click "Enable Macro" button

The FRR template will be opened. Please be reminded to fill out:

•

Your company name in the "Name of registrant" Section

•

CE Number, which is a 6-character code (e.g. AAA000). Your CE number can be found in our Internet Website under the "Registry" section

•

Other information

required

Step 10

You may then complete the rest of the form. When you have completed you return, refer to the steps in the next section to generate the hard copy of your return.

Generating Hard Copy of Your FRR with Print CheckSum Template To generate hard copy of your FRR, open the "SFO_PrintCheckSum.xls " template you have downloaded with Excel 97 or above

Step 11 When this dialog box appear, click "Enable Macro" button

Click Print Checksum

FRR

with

Step 12

This Message dialog box will appear. Click "OK to continue

Step 13 Note: We will set your file to read-only to avoid any inadvertent changes to the Excel file after printing with checksum When this "Print Excel File" dialog box appear, select the file that you want to print. Click "Open" to print the file **Note: It may take about 2 minutes to open the file

Step 14 The selected file will be opened in Print Preview mode, a CheckSum figure will be affixed on the top right hand corner of each page Click "Print" to print out the hard copy of your FRR submission form

Step 15

Important Note: In case you were prompted to save changes after printing checksum, click "NO"

Note: If you are using a HP LaserJet printer model 3L, 4L or 5L, you may notice that all the check marks were missing from the hardcopy printed out, but it shows on the print preview. You may try installing a HP LaserJet II printer driver instead of the original LaserJet 3L/4L/5L driver in Windows 95/98 to work around this problem. In addition, if you have verified that your hard copy bears the same Checksum figure as the spreadsheet file, you may manually add the check marks on the hard copy.

After printing out the hard copy of the FRR, have it passed to the dealing director for signing Before signing the hard copy, the dealing director may open the "SFO_PrintCheckSum.xl s" and click the "Show Checksum" button to verify that the hard copy is identical to the soft copy

Step 16

When this "Print Excel File" dialog box appear, select the file that you want to print. Click "Open" to print the file **Note: It may take about 2 minutes to calculate the Checksum figure

Step 17 The Checksum figure will be calculated. Please compare it with the one on your hard copy. If they are identical, the file is the same as the hard copy and you may have it signed Click "OK" to close the window

Step 18

Compare the checksum figure shown here with the one generated from soft copy

Sign the Hard copy in the "Signature Box" Your Hard copy is ready to submit to SFC

Step 19

Compress the Submission File & Copy it to a Disk Because the file size of our FRR submission file is huge, you must have the submission file compressed before copying it to a disk. Even if it seems small enough to fit onto a floppy disk, it is a mandatory requirement to have the file compressed to ensure the whole submission file can be saved onto a disk without any data loss. To compress your submission file, ZIP compression is REQUIRED as it is a universal compression standard. Although the following illustrations show you the way to create a "zipped" file with the WINZIP software, you may choose to compress your file with other software as long as it makes use of ZIP compression. Launch the WinZip Software

Step 20

When this WinZip window appears, click the "New" button

Step 21

This "New Archive" Dialog Box will appear. Select the location where you want to create your compressed file (ZIP file)

Name your "ZIP" file here

Click "OK" to create your compressed file

Step 22

This "Add" dialog box will appear:

Select your submission file to compress

Click "Add" to compress your file

Step 23

Your submission file will be compressed and added into the "ZIP" file Exit the Program by clicking the "Close" button A "ZIP" file will promptly create in the location you specified

Step 24

Copy the "ZIP" compressed FRR submission file onto a floppy disk. Please label clearly on the disk the purpose with report period, CE Number & Registrant Name (e.g. FRR for 11/2000, AAA999, AAA Securities Ltd.

Step 25 Submitting your Soft and Hard Copy of FRR to SFC Now you have both the zipped FRR form saved on a floppy disk and a signed hard copy of your FRR ready. To ensure data consistency between the zipped file and the signed hard copy, you are required to sign off the 'Proforma letter for diskette submission', which you can download from the SFC web site. You should send all of them to the SFC. Please be reminded that SFC will not return the diskettes to avoid logistic complication. Should you have any further questions or comment, please call our e-FRR Helpdesk at 121-389, or send us a fax at 2521-7936. Thanks! ~ End of Document ~