Securities and Futures Commission

WHAT'S NEW

3 February 2012
- Court overturns broker’s market manipulation conviction

30 January 2012
- Futures trader Tsoi Bun convicted of price rigging after retrial

27 January 2012
- SFC to implement new guidelines on anti-money laundering and counter-terrorist financing

26 January 2012
- Broker convicted of market manipulation

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

This now comes in an e-book version for easy online viewing. If you cannot access the e-book via your portable device, please view or download the PDF version.

PDF version

Short Selling - Weekly update on Hong Kong's short-selling pattern
(26 January - 27 January 2012)

SFC Quarterly Report - Financial highlights & operations
(30 November 2011)

Dual Filing Update - A periodic newsletter on dual filing matters
(5 August 2011)

Enforcement Reporter - A periodic summary of SFC enforcement actions
(31 May 2011)

Takeovers Bulletin - A periodic newsletter of takeovers related information
(30 December 2011)

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.