Prepared for Mike F. | Delivered September 15, 2020
Stock Borrowing and Lending: Hong Kong
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To conduct research on the stock borrowing and lending process in the Hong Kong Stock Exchange market.
Stock Borrowing and Lending (“SBL”) for China Connect Securities (Shanghai-Hong Kong Stock Connect)
Shanghai-Hong Kong Stock Connect is a "cross-boundary investment channel that connects the Shanghai Stock Exchange and the
Hong Kong Stock Exchange
." It was announced in 2004.
Borrowers and lenders participating in the Shanghai-Hong Kong Stock need to fill a report that is submitted to the exchange through an electronic communication platform
on or before the 7th day
of the calendar month.
The borrowers and lenders can be
China Connect Exchange Participants (CCEPs)
or general Exchange Participants (EPs) who have met all the requirements.
The report contains the following
Name of the borrower
Name of the lender
Source of stocks
Date of Borrowing
The number of shares borrowed
Date of return.
The number of shares returned.
Name of the lender 2,
date of borrowing from lender 2, date of return to lender 2, number of shares returned (if lender 2 is present).
The original date of borrowing.