Securities and Futures Commission

WHAT'S NEW

Lehman Brothers-related issues

SFC in Action

1 September 2010
- SFC suspends Tony Fung King Tong for six months

31 August 2010
- SFC and Chan Hon Man resolve on disciplinary action
- Dr Wise: Gifts to promote investment no longer allowed

27 August 2010
- SFC reprimands and fines Ko’s Brother Securities $250,000

REGISTERS & PRODUCT LISTS

	Public Register of Licensed Persons & Registered Institutions - Check if a person or firm is licensed by or registered with the SFC
	Authorised Investment Products - Check if an investment product is authorised for public offering

CODES AND GUIDELINES

	Licensing Information Booklet - What you need to know to get an SFC licence
	Financial Resources Rules - Capital requirements on licensees

REGULAR PUBLICATIONS

	SFC Annual Report 2009-10
	Short Selling - Weekly update on Hong Kong's short-selling pattern (23 August - 27 August 2010)
	Dual Filing Update - A periodic newsletter on dual filing matters (26 July 2010)
	Enforcement Reporter - A periodic summary of SFC enforcement actions (19 April 2010)
	Takeovers Bulletin - A periodic newsletter of takeovers related information (25 June 2010)
	SFC Quarterly Report - SFC's financial highlights & operations (26 August 2010)
	Click here to subscribe to these publications.

ELECTRONIC SUBMISSION OF FINANCIAL RETURN

SFC e-Certificate	Commencing 1 November 2008, licensed corporations are required to submit financial returns electronically through the e-FRR System. Please be reminded to use the latest financial return template for your submission. Please click the icon on the left to login the system.
	Use this online tutorial to learn e-submission of financial return with the e-FRR System.


	IOSCO
	International Organization of Securities Commissions (IOSCO) was created in 1983 and is recognised as one of the world's key international standard setting bodies. IOSCO has a wide international membership. The SFC has been an active participant since its establishment in 1989. For more information about IOSCO, please click here.