Dear Sir/Madam,

Thank you for your email to the Securities and Futures Commission (SFC).
We will reply to you within five working days. However, it may take longer
for particularly complex enquiries.

In the meantime, please visit our website (www.sfc.hk) for where we have
provided some further guidance and sources of information for public
enquiries
([1]http://www.sfc.hk/web/EN/about-the-sfc/c...)
and information where you can to learn more about the SFC and the
regulation of the Hong Kong’s securities and futures markets in Hong Kong.

Regards,

Securities and Futures Commission
54/F, One Island East
18 Westlands Road, Quarry Bay
Hong Kong
Email: [Securities and Futures Commission request email] Fax: (852) 2521 7836

敬啟者 ﹕

本會已收悉閣下的電郵。我們將於5個工作天之內作出回覆。對於一些因性質較為複
雜的查詢，我們或需要較長時間處理。

與此同時，我們亦歡迎閣下隨時瀏覽證監會網站 (www.sfc.hk) ，從而以閱覽我們就
公眾查詢所提供的額外指引及查詢途徑
([2]http://www.sfc.hk/web/TC/about-the-sfc/c...)
，並透過網站了解有關證監會及香港的證券及期貨市場的監管機制。

證券及期貨事務監察委員會
香港鰂魚涌華蘭路18號
港島東中心54樓
電郵：[Securities and Futures Commission request email] 傳真：(852) 2521 7836

-------- Original Message --------
MESSAGE

To: Enquiry/SFC@SFC ER Ext :
cc:
From: Bryan James <[FOI #1202 email]>
Date: 10/30/2022 03:25 PM

Subject: Freedom of Information request - Failed Trades (FTD)

Dear Securities and Futures Commission,

Re: [ Freedom of / Access to Information request : Cross-border Failed
Trades / Failure to delivers of equities  ]

Could I please request a copy/access to data provided to you by any
Clearing and Depository Service, Broker-dealer,  or other legal entity as
it pertains to failed trade deliveries of the US securities listed below
that were bought by, or on behalf of Chinese citizens, Foreign nationals,
legal entities using Hong Kong based or foreign based brokers or legal
entities, from January 1, 2020 to present day ( October, 27, 2022) for the
trade tickers AMC (AMC Entertainment Holdings Inc, NYSE,(ISIN:
US00165C1045)), APE (AMC Entertainment Hldg Pref Equity Units Depositary
Share Rep 1 100th Int Convertible Prf Shs Series A

NYSE: APE ISIN: US00165C2035)), & GME ( GameStop Corp.

NYSE: GME (ISIN: US36467W1099)).

Daily, monthly, yearly breakdown would be appreciated. I do not require
personal information, only the information as to how many fails there has
been in the past and continues to be for each ticker.

I do not want the names of companies reporting the data, just the amount
of failed so the request should not be considered confidential information
. Much like how the regulator in the USA publishes FTD data : just the
fail numbers. [3]https://www.sec.gov/data/foiadocsfailsda...

I’d be grateful for your assistance.

Please email me the information

Yours faithfully,

Bryan James

-------------------------------------------------------------------

This is a request under the Code of Access to Information facilitated via
the accessinfo.hk website.

Please use this email address for all replies to this request:

[FOI #1202 email]

Is [Securities and Futures Commission request email] the wrong address for Freedom of Information requests to
Securities and Futures Commission? If so, please contact us using this
form:

[4]https://accessinfo.hk/en/change_request/...

Disclaimer: This message and any reply that you make will be published on
the internet. Our privacy and copyright policies:

[5]https://accessinfo.hk/en/help/officers

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

-------------------------------------------------------------------

"Consider the environment - think before printing!"

______________________________________________________________________

This message and any attachment are confidential and it may be a criminal
offence for you to disclose or use them without authority. Please follow
the link for further information:
[6]http://www.sfc.hk/web/EN/emailnote.html

"Consider the environment - think before printing!"

References

Visible links
1. http://www.sfc.hk/web/EN/about-the-sfc/c...
2. http://www.sfc.hk/web/TC/about-the-sfc/c...
3. https://www.sec.gov/data/foiadocsfailsda...
4. https://accessinfo.hk/en/change_request/...
5. https://accessinfo.hk/en/help/officers
6. http://www.sfc.hk/web/EN/emailnote.html

hide quoted sections

Dear Sir/Madam,

Please note that your enquiry to the Securities and Futures Commission is
being handled by the relevant division/department. We shall get back to
you as soon as we can provide you with an answer.

Thank you for your patience.

Regards,

Securities and Futures Commission
54/F, One Island East
18 Westlands Road, Quarry Bay
Hong Kong
Email: [Securities and Futures Commission request email] Fax: (852) 2521 7836

敬啟者:

本會的有關部門正處理閣下的查詢，並會盡快作出回覆。

請閣下耐心等候，謹此致謝。

證券及期貨事務監察委員會
香港鰂魚涌華蘭路18號
港島東中心54樓
電郵：[Securities and Futures Commission request email] 傳真：(852) 2521 7836

-------- Original Message --------
MESSAGE

To: Enquiry/SFC@SFC ER Ext :
cc:
From: Bryan James <[FOI #1202 email]>
Date: 10/30/2022 03:25 PM

Subject: Freedom of Information request - Failed Trades (FTD)

Dear Securities and Futures Commission,

Re: [ Freedom of / Access to Information request : Cross-border Failed
Trades / Failure to delivers of equities  ]

Could I please request a copy/access to data provided to you by any
Clearing and Depository Service, Broker-dealer,  or other legal entity as
it pertains to failed trade deliveries of the US securities listed below
that were bought by, or on behalf of Chinese citizens, Foreign nationals,
legal entities using Hong Kong based or foreign based brokers or legal
entities, from January 1, 2020 to present day ( October, 27, 2022) for the
trade tickers AMC (AMC Entertainment Holdings Inc, NYSE,(ISIN:
US00165C1045)), APE (AMC Entertainment Hldg Pref Equity Units Depositary
Share Rep 1 100th Int Convertible Prf Shs Series A

NYSE: APE ISIN: US00165C2035)), & GME ( GameStop Corp.

NYSE: GME (ISIN: US36467W1099)).

Daily, monthly, yearly breakdown would be appreciated. I do not require
personal information, only the information as to how many fails there has
been in the past and continues to be for each ticker.

I do not want the names of companies reporting the data, just the amount
of failed so the request should not be considered confidential information
. Much like how the regulator in the USA publishes FTD data : just the
fail numbers. [1]https://www.sec.gov/data/foiadocsfailsda...

I’d be grateful for your assistance.

Please email me the information

Yours faithfully,

Bryan James

-------------------------------------------------------------------

This is a request under the Code of Access to Information facilitated via
the accessinfo.hk website.

Please use this email address for all replies to this request:

[FOI #1202 email]

Is [Securities and Futures Commission request email] the wrong address for Freedom of Information requests to
Securities and Futures Commission? If so, please contact us using this
form:

[2]https://accessinfo.hk/en/change_request/...

Disclaimer: This message and any reply that you make will be published on
the internet. Our privacy and copyright policies:

[3]https://accessinfo.hk/en/help/officers

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

-------------------------------------------------------------------

"Consider the environment - think before printing!"

______________________________________________________________________

This message and any attachment are confidential and it may be a criminal
offence for you to disclose or use them without authority. Please follow
the link for further information:
[4]http://www.sfc.hk/web/EN/emailnote.html

"Consider the environment - think before printing!"

References

Visible links
1. https://www.sec.gov/data/foiadocsfailsda...
2. https://accessinfo.hk/en/change_request/...
3. https://accessinfo.hk/en/help/officers
4. http://www.sfc.hk/web/EN/emailnote.html

hide quoted sections

Dear Sir,

Thank you for your email dated 30 October 2022.

Please note that because we are subject to statutory confidentiality
obligations, it is not our practice to respond to enquiries sent to us
from and by default posted on open platforms. We encourage you to write
to us from a personal e-mail address with your questions or comments to
[Securities and Futures Commission request email]. We may then respond to you directly and personally.

Regards,

External Relations
Securities and Futures Commission
54/F, One Island East,
18 Westlands Road,
Quarry Bay, Hong Kong
Email: [Securities and Futures Commission request email] | Fax: (852) 2524 3718

-------- Original Message --------
MESSAGE

To: Enquiry/SFC@SFC ER Ext :
cc:
From: Bryan James <[FOI #1202 email]>
Date: 10/30/2022 03:25 PM

Subject: Freedom of Information request - Failed Trades (FTD)

Dear Securities and Futures Commission,

Re: [ Freedom of / Access to Information request : Cross-border Failed
Trades / Failure to delivers of equities  ]

Could I please request a copy/access to data provided to you by any
Clearing and Depository Service, Broker-dealer,  or other legal entity as
it pertains to failed trade deliveries of the US securities listed below
that were bought by, or on behalf of Chinese citizens, Foreign nationals,
legal entities using Hong Kong based or foreign based brokers or legal
entities, from January 1, 2020 to present day ( October, 27, 2022) for the
trade tickers AMC (AMC Entertainment Holdings Inc, NYSE,(ISIN:
US00165C1045)), APE (AMC Entertainment Hldg Pref Equity Units Depositary
Share Rep 1 100th Int Convertible Prf Shs Series A

NYSE: APE ISIN: US00165C2035)), & GME ( GameStop Corp.

NYSE: GME (ISIN: US36467W1099)).

Daily, monthly, yearly breakdown would be appreciated. I do not require
personal information, only the information as to how many fails there has
been in the past and continues to be for each ticker.

I do not want the names of companies reporting the data, just the amount
of failed so the request should not be considered confidential information
. Much like how the regulator in the USA publishes FTD data : just the
fail numbers. [1]https://www.sec.gov/data/foiadocsfailsda...

I’d be grateful for your assistance.

Please email me the information

Yours faithfully,

Bryan James

-------------------------------------------------------------------

This is a request under the Code of Access to Information facilitated via
the accessinfo.hk website.

Please use this email address for all replies to this request:

[FOI #1202 email]

Is [Securities and Futures Commission request email] the wrong address for Freedom of Information requests to
Securities and Futures Commission? If so, please contact us using this
form:

[2]https://accessinfo.hk/en/change_request/...

Disclaimer: This message and any reply that you make will be published on
the internet. Our privacy and copyright policies:

[3]https://accessinfo.hk/en/help/officers

If you find this service useful as an FOI officer, please ask your web
manager to link to us from your organisation's FOI page.

-------------------------------------------------------------------

"Consider the environment - think before printing!"

______________________________________________________________________

This message and any attachment are confidential and it may be a criminal
offence for you to disclose or use them without authority. Please follow
the link for further information:
[4]http://www.sfc.hk/web/EN/emailnote.html

"Consider the environment - think before printing!"

References

Visible links
1. https://www.sec.gov/data/foiadocsfailsda...
2. https://accessinfo.hk/en/change_request/...
3. https://accessinfo.hk/en/help/officers
4. http://www.sfc.hk/web/EN/emailnote.html

hide quoted sections