Circulars
We publish circulars from time to time to remind industry participants of certain regulatory requirements and/or to help them understand regulatory issues.
The following lists all circulars, which are sortable by issued date and type. Circulars issued before August 2012 are displayed in PDF format; those issued afterwards are published in HTML format along with a PDF printer-friendly version.
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Issue Date
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Publication
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Category
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7 May 2013
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Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited – Licence Holders Insurance for Exchange Participants
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Licensing
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3 May 2013
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Circular to issuers of SFC-authorized Investment-Linked Assurance Schemes (“ILAS Schemes”)
- Enhanced disclosure requirements for ILAS Schemes
Appendix
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Product authorization
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2 May 2013
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Circular to Licensed Corporations in relation to the reporting of OTC derivatives transactions to the HKMA trade repository – launch of the trade repository service and the Service Agreement
Letter and attachment from HKMA
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Market infrastructure & trading
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26 Apr 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations (Anti-Terrorism Measures) Ordinance
(2) United Nations Sanctions (Afghanistan) Regulation 2012
(3) United Nations Sanctions (Libya) Regulation 2011
(4) United Nations Sanctions (Sudan) Regulation
Attachment 1
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Intermediaries supervision
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19 Apr 2013
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Circular to Licensed Corporations and Associated Entities
Anti-Money Laundering / Counter-Terrorist Financing
United Nations Sanctions (Democratic People's Republic of Korea) Regulation
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Intermediaries supervision
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18 Apr 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations Sanctions (Democratic People's Republic of Korea) (Amendment) Regulation 2013
(2) US President’s Executive Order 13224
(3) Combating Financing of Weapons of Mass Destruction Activities
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Intermediaries supervision
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12 Apr 2013
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Circular to Corporate Finance Advisers - Corporate Finance Adviser Code of Conduct
Frequently Asked Questions on Corporate Finance Adviser Code of Conduct (“CFA Code”) Paragraph 4.3 – Chinese Walls
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Intermediaries supervision
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22 Mar 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2013
(2) United Nations Sanctions (Liberia) Regulation 2013
(3) US President’s Executive Order 13224
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Intermediaries supervision
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18 Mar 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) FATF Statement on Iran, Democratic People's Republic of Korea, Ecuador, Ethiopia, Indonesia, Kenya, Myanmar, Nigeria, Pakistan, São Tomé and Príncipe, Syria, Tanzania, Turkey, Vietnam and Yemen
(2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process
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Intermediaries supervision
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15 Mar 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2013
(2) United Nations Sanctions (Liberia) Regulation 2013 and the United Nations Sanctions (Liberia) Regulation 2012 (Repeal) Regulation
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Intermediaries supervision
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25 Feb 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations (Anti-Terrorism Measures) Ordinance
(2) United Nations Sanctions (Afghanistan) Regulation 2012
(3) US President’s Executive Order 13224
Attachment 1
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Intermediaries supervision
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21 Feb 2013
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Circular to Licensed Corporations Engaged in Asset Management and/or Giving Advice on Funds / Portfolios - Fund Management Activities Survey 2012
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Product authorization
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20 Feb 2013
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Circular to Intermediaries - Frequently Asked Question on Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
Attachment
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Intermediaries supervision
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20 Feb 2013
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Circular to Intermediaries - Frequently Asked Question on After-hours Futures Trading to be Introduced by Hong Kong Futures Exchange
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Market infrastructure & trading
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1 Feb 2013
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Circular to Licensed Corporations
Guarding against Risk of Client Asset Misappropriation
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Intermediaries supervision
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1 Feb 2013
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing
(1) United Nations Sanctions (Iran) Regulation
(2) United Nations Sanctions (Democratic People's Republic of Korea) Regulation
(3) US President’s Executive Order 13224
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Intermediaries supervision
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