h2
A sound foundation for the future
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Warning: Beware of stock trading platform scams
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Quick reference guides to licensing requirements
h2
Quarterly Report
Oct - Dec 2022
h2
Asset and Wealth Management Activities Survey
h2
Investor Identification and OTC Securities Transactions Reporting
h2
WINGS
Next generation digital licensing platform
h2
Suspected Unauthorised CIS Alert List
h2
Warning: Persons impersonating SFC staff
h2
SFC Fintech contact point
h3
Respond to your brokers and banks - The Hong Kong investor identification regime was launched on 20
h3
News and announcements
h4
Corporate social responsibility
h4
Regulatory collaboration
h4
Corporate publications
h4
Principles of responsible ownership
h4
Search regulations by topic
h4
OTC derivatives regulatory regime
h4
Short position reporting rules
h4
Securities and Futures Ordinance Part XV - Disclosure of Interests
h4
Suitability requirement
h4
Anti-money laundering and counter-financing of terrorism
h4
Investor Identification and OTC Securities Transactions Reporting
h4
Policy statements and announcements
h4
High shareholding concentration announcements
h4
Decisions, statements and disclosures
h5
Other publications and information sources
h5
Current cold shoulder orders
h5
Periodic reports and surveys
h5
Other reports and surveys
h5
A socially responsible employer
h5
Join us as an experienced professional
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Join us as an Executive Trainee
h5
Disciplinary proceedings
h5
Market statistics and research
h5
Approved or authorised entities
h5
Short position reporting
h5
Regulatory requirements
h5
Acceptable account opening approaches
h5
List of eligible jurisdictions for remote onboarding of overseas individual clients
h5
OTC derivatives regulatory regime
h5
Mainland-Hong Kong Stock Connect
h5
Consultations and conclusions
h5
Have you seen these people?
h5
Upcoming hearings calendar
h5
Consultations and conclusions
h5
Legal and regulatory requirements
h5
Other publications and information sources
h5
Regulatory requirements
h5
Non-complex and complex products
h5
Virtual asset trading platform operators
h5
Other virtual asset related activities
h5
Other useful materials
h5
SFC Compliance Bulletin: Intermediaries
h5
SFC Regulatory Bulletin
h5
Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong
h5
Public enquiries: Further guidance and sources of information
h5
Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
h5
Consultations and conclusions
h5
Real estate investment trusts
h5
Open-ended fund companies
h5
List of publicly offered investment products
h5
Unlisted shares, debentures
h5
Consultations and conclusions
h5
Independent panels and tribunals
h5
Statement on responsible ownership
h5
People and the community
h5
Environmental protection
h6
Investigatory assistance and exchange of information
h6
Exchange of information
h6
Market or product-related arrangements
h6
Fintech cooperation agreements
h6
Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions
h6
Mainland-Hong Kong Stock Connect
h6
Mainland-Hong Kong Mutual Recognition of Funds
h6
Cooperative arrangements with the CSRC and Mainland exchanges
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Cooperative arrangements with other Mainland regulators
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Wealth Management Connect
h6
Supervision of Markets
h6
Chairman's role and responsibilities
h6
CEO's role and responsibilities
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Academic and Accreditation Advisory Committee
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Committee on Real Estate Investment Trusts
h6
Disciplinary Chair Committee
h6
Investor Compensation Fund Committee
h6
Products Advisory Committee
h6
Public Shareholders Group
h6
Securities Compensation Fund Committee
h6
SFC (HKEC Listing) Committee
h6
SFC (HKEC Listing) Appeals Committee
h6
Share Registrars' Disciplinary Appeals Committee
h6
Share Registrars' Disciplinary Committee
h6
Takeovers and Mergers Panel
h6
Takeovers Appeal Committee
h6
Remuneration Committee
h6
Chief Executive Officer
h6
Non-Executive Directors
h6
Decisions and statements
h6
Disciplinary proceedings
h6
Secondary listed companies
h6
Takeovers Panel and related committees
h6
Transaction announcements and documents
h6
Consultations and Conclusions
h6
Guidelines on Disclosure of Inside Information
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Do you need a licence or registration?
h6
Types of intermediary and licensed individual
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Application procedures
h6
Quick reference guides to licensing requirements
h6
Register of licensees & registered institutions
h6
List of modifications or waivers of licensing requirements
h6
Consultations and conclusions
h6
Modifications or waivers
h6
List of comparable OTCD jurisdictions
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List of jurisdictions with comparable OTCD margin requirements
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Publications and statistics
h6
Search regulations by topic
h6
Consultations and conclusions
h6
Specific information about unlisted structured investment products
h6
Mutual recognition of funds arrangements
h6
List of recognised jurisdiction schemes and inspection regimes
h6
Products Key Facts Statements (KFS)
h6
Format of Illustration Document for ILAS
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Information Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
h6
Regulatory requirements
h6
List of Registered OFCs
h6
Post-registration matters
h6
Consultations and conclusions
h6
List of specified jurisdictions
h6
Minimum information to be provided and warning statements
h6
People subject to arrest warrants
h6
List of specified shares
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Aggregated reportable short positions of specified shares
h6
Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordin
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List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of
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Current cold shoulder orders
h6
Current disqualification orders
h6
Enforcement statistics
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Summer and Winter Internship Programme
h6
Sustainable Finance Internship Programme
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People and the community
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Environmental protection