Failed Trade Deliveries (FTDS)
Dear Hong Kong Monetary Authority,
Re: [ 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 (FTD) of the US securities listed below that were purchased 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, 2021 to present day ( October, 30, 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 failed trades (FTD) there has been in the past and currently for each ticker.
I do not want the names of companies reporting the data, just the amount of failed trades (FTD) so the request should not be considered confidential information . Much like how the regulator in the USA publishes FTD data : just the fail numbers. https://www.sec.gov/data/foiadocsfailsda...
I’d be grateful for your assistance.
Yours faithfully,
Bryan James
The Hong Kong Monetary Authority acknowledges receipt of your email and
will handle as soon as possible.
To ensure service quality, all our telephone conversations may be recorded,
irrespective of whether you dial in or we call you back.
We will not disclose personal information about you to anyone outside the
Hong Kong Monetary Authority unless required or permitted to do so by law.
本局已收到閣下的電郵並會盡快處理。
為確保我們的服務質素，所有閣下跟本局職員之間的電話談話內容，無論是閣下的來
電或是我們的回覆電話，都可能會被錄音。
除非是法律允許，否則我們不會向外界透露閣下的個人資料。
Dear Mr. James,
Thank you for your email.
The Hong Kong Monetary Authority (HKMA) is responsible for regulating
Authorized institutions (AIs), Stored Value Facility (SVF) Licensees and
Money Brokers in Hong Kong. Relevant AIs are namely licensed banks,
restricted licence banks and deposit-taking companies.
You may try to approach the Securities and Futures Commission for your
request. Its contact details are:
Telephone: (852) 2231 1222
Email: [email address]
Website: [1]https://www.sfc.hk/en/
Best regards,
Florence Lui
Access to Information Officer
Hong Kong Monetary Authority
----------------------------------------- Reply History
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References
Visible links
1. https://www.sfc.hk/en/
2. https://www.sec.gov/data/foiadocsfailsda...
3. https://accessinfo.hk/en/change_request/...
4. https://accessinfo.hk/en/help/officers
The Hong Kong Monetary Authority acknowledges receipt of your email and
will handle as soon as possible.
To ensure service quality, all our telephone conversations may be recorded,
irrespective of whether you dial in or we call you back.
We will not disclose personal information about you to anyone outside the
Hong Kong Monetary Authority unless required or permitted to do so by law.
本局已收到閣下的電郵並會盡快處理。
為確保我們的服務質素，所有閣下跟本局職員之間的電話談話內容，無論是閣下的來
電或是我們的回覆電話，都可能會被錄音。
除非是法律允許，否則我們不會向外界透露閣下的個人資料。
