Codes, Guidelines and Circulars
Click on a column heading to sort the publications by date, title, document type or price (if applicable). To obtain or purchase a hardcopy of the Code and/or Guidelines (while stock lasts), please contact Reception at 2840 9222 (press 3 after selecting language).
Issued Date Publication Document Type Relevant Department Hardcopy (Price)
Jan 2012 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) (No.2) Regulation 2011 (2) United Nations Sanctions (Libya) Regulation 2011 (3) US President's Executive Order 13224 Circular ISD
Jan 2012 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Terrorist Financing (1) New Anti-Money Laundering and Counter-Terrorist Financing Guidelines (2) Briefing Seminars Circular ISD
Dec 2011 Circular to Licensed Corporations in relation to the proposed reporting of OTC derivatives transactions to the Hong Kong trade repository - Administration and Interface Development Guide for the Hong Kong trade repository Circular SOM
Dec 2011 Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers Guidelines CFD
Dec 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
Dec 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) Section 311 of the USA PATRIOT Act (2) Anti-Money Laundering Seminar Materials Circular ISD
Dec 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Libya) Regulation 2011 (2) US President's Executive Order 13224 Circular ISD
Dec 2011 Circular to Intermediaries - Proposed Voluntary Delisting and Deauthorisation of Lyxor Exchange Traded Funds Circular ISD
Dec 2011 Circular to Licensed Corporations and Associated Entities -Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran, Democratic People's Republic of Korea, Bolivia, Cuba, Ethiopia, Kenya, Myanmar, Nigeria, S?o Tom? and Pr?ncipe, Sri Lanka, Syria, and Turkey (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process (3) US President's Executive Order 13224 Circular ISD
Nov 2011 Circular to All Licensed Corporations Provision of services to clients for conducting transactions in other jurisdictions Circular ISD
Nov 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering Seminar Circular ISD
Nov 2011 Circular to Licensed Corporations in relation to HKMA's report on consultation on logistical and technical arrangements for the reporting of OTC derivatives transactions to the Hong Kong trade repository Circular SOM
Nov 2011 Circular to Management Companies of SFC-authorized Funds and Issuers of SFC-authorized Investment-Linked Assurance Schemes - Surveillance exercise on product key fact statements and offering documents Circular IPD
Oct 2011 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (October 2011) Code ISD HK$60
Oct 2011 Corporate Finance Adviser Code of Conduct (October 2011) Code CFD
Oct 2011 Circular to issuers of listed debt securities and structured products regarding the application of the Dual Filing regime Circular CFD
Oct 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
Oct 2011 Circular to Licensed Corporations: New investor publications are now available for distribution Circular ER
Sep 2011 Circular to All Licensed Corporations Reminder of Importance of Prudent Risk Management and Effective Controls Circular ISD
Sep 2011 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (September 2011) Code ISD
Aug 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran, Democratic People's Republic of Korea, Bolivia, Cuba, Ethiopia, Kenya, Myanmar, Sri Lanka, Syria, and Turkey (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process Circular ISD
Aug 2011 Circular to Licensed Corporations in relation to HKMA's consultation on logistical and technical arrangements for the reporting of OTC derivatives transactions to the Hong Kong trade repository Circular SOM
Jul 2011 Circular to all licensed corporations and registered institutions Circular CFD
Jul 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD
Jul 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (C?te d'Ivoire) (No. 2) Regulation 2011 (2) United Nations Sanctions (Libya) Regulation 2011 (3) US President's Executive Order 13224 Circular ISD
Jun 2011 Circular to Licensed Corporations - Investors likely to face tax obligations in overseas investments Circular ER
Jun 2011 Circular to Licensed Corporations and Registered Institutions Frequently Asked Questions on Investor Characterization Requirement Circular ISD
Jun 2011 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (June 2011) Code ISD -
Jun 2011 Code of Conduct for Persons Providing Credit Rating Services Code ISD -
May 2011 Circular to All Licensed Corporations Mystery Shopping Programme Findings Circular ISD
May 2011 Circular to Licensed Corporations and Registered Institutions in relation to Investor Characterization Requirement Circular ISD
May 2011 Circular to issuers of SFC-authorized Investment-Linked Assurance Schemes - Preparation for the full implementation of the Code on Investment-Linked Assurance Schemes commencing 25 June 2011 Circular IPD
May 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) United Nations Sanctions (Somalia) Regulation (3) United Nations Sanctions (Eritrea) Regulation Circular ISD
May 2011 Circular to management companies / product issuers of SFC-authorized schemes - Preparation for the full implementation of the Code on Unit Trusts and Mutual Funds commencing 25 June 2011 Circular IPD
Apr 2011 Licensing of Credit Rating Agencies in Hong Kong and Their Rating Analysts Circular LIC -
Apr 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran and Democratic People's Republic of Korea (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process Circular ISD
Apr 2011 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 Circular LIC -
Apr 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2011 (2) United Nations Sanctions (Liberia) Regulation 2011 (3) United Nations Sanctions (Iran) (Amendment) Regulation 2011 (4) US President's Executive Order 13224 Circular ISD
Mar 2011 Circular to Licensed Corporations - Report on Sponsor Theme Inspection Findings Circular ISD
Mar 2011 Circular to All Licensed Corporations - Investor Education on Initial Public Offering (IPO) and Trading of Listed Renminbi (RMB) Securities Circular ER -
Mar 2011 Circular to Licensed Corporations and Registered Institutions - Annual Confirmation Exercise of Professional Investors Circular ISD
Mar 2011 Circular to SEHK Exchange Participants and CCASS Participants (collectively "Participants") - Checklist to facilitate Participants' review of readiness for Listed Renminbi ("RMB") Securities Business Circular ISD
Mar 2011 Circular to Licensed Corporations : 2011 edition of ELI booklet is now available for distribution Circular ER -
Mar 2011 Circular to SEHK Exchange Participants and CCASS Participants (collectively "Participants") - Key Messages of the SFC / HKEx Joint Briefing Session on Preparation for Listed Renminbi ("RMB") Securities Business Circular ISD
Feb 2011 Presentation Materials of SFC / HKEx Joint Briefing Session on Preparation for Listed Renminbi ("RMB") Securities Business:
- SFC's Presentation Materials

- HKEx - Trading Division's Presentation Materials
- HKEx - Clearing Division's Presentation Materials
Circular ISD
Feb 2011 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds / Portfolios - Fund Management Activities Survey 2010 Circular IPD
Feb 2011 Circular to SEHK Exchange Participants and CCASS Participants (collectively "Participants") - SFC / HKEx Joint Briefing Session on Preparation for Listed Renminbi ("RMB") Securities Business Circular ISD
Jan 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2011 (2) US President's Executive Order 13224 Circular ISD
Jan 2011 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) US President's Executive Order 13224 (3) Note on Full Commencement of the United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
Dec 2010 Circular to management companies / product issuers of SFC-authorized schemes - Implementation arrangements to the Code on Unit Trusts and Mutual Funds Circular IPD
Dec 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing - (1) FATF Statement on Iran and Democratic People's Republic of Korea (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process (3) US President's Executive Order 13224 Circular ISD
Nov 2010 Circular to Management Companies of SFC-authorised Exchange Trade Funds - List of Potential Events Triggering Ongoing Disclosure Circular IPD
Nov 2010 Circular to Licensed Corporations and Associated Entities - United Nations (Anti-Terrorism Measures) Ordinance and United Nations (Anti-Terrorism Measures) (Amendment) Ordinance 2004 Circular ISD
Nov 2010 Circular to SEHK Exchange Participants Monitoring of operational capability Circular ISD
Oct 2010 Circular to Licensed Corporations - Anti-Money Laundering / Combating Terrorist Financing Gazettal of the Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Bill Circular ISD
Oct 2010 Circular to Licensed Corporations - Compliance with the Personal Data (Privacy) Ordinance Circular ISD
Oct 2010 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Somalia) Regulation (2) United Nations Sanctions (Eritrea) Regulation Circular ISD
Oct 2010 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) US President's Executive Order 13224 Circular ISD
Sep 2010 Circular to Licensed Corporations Frequently Asked Questions on New Conduct Requirements Circular ISD
Sep 2010 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) Suspicious Transaction Report - Quarterly Analysis Reports (2) Suspicious Transaction Report - e-reporting system (3) Anti-Money Laundering Training Seminar Materials Circular ISD
Sep 2010 Invitation to All Licensed Corporations - SFC and ICAC joint seminar on business ethics and prevention of corruption Circular ISD
Sep 2010 Circular to Licensed Corporations Compliance with the Personal Data (Privacy) Ordinance Circular ISD
Sep 2010 Circular to SEHK Exchange Participants - Preparation for trading and settlement of listed renminbi (RMB) denominated products Circular ISD
Sep 2010 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (September 2010) Code ISD
Aug 2010 Circular to Licensed Corporations Code of Conduct Requirements with respect to Derivative Products Circular ISD
Aug 2010 Circular to SEHK Exchange Participants - Preparation for business activities arising from potential listing of products denominated in renminbi (RMB) Circular ISD
Aug 2010 Circular to Licensed Corporations - Questionnaire on Sale of Non-exchange traded Securities and Futures Products Circular ISD
Aug 2010 Circular to Licensed Corporations Compliance with the Personal Data (Privacy) Ordinance Circular ISD
Aug 2010 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering Training Seminar Circular ISD
Jul 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran, Democratic People's Republic of Korea and S?o Tom? and Pr?ncipe (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process (3) US President's Executive Order 13224 Circular ISD
Jul 2010 Circular to All Licensed Corporations - Important Information on Market Developments Circular ISD
Jul 2010 Circular to Intermediaries - Provision of Trade Documents to Clients by Access through Intermediaries' Websites Circular ISD
Jun 2010 SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products (full version) (effective from 25 June 2010)
  • Section I - Overarching Principles Section
  • Section II - Code on Unit Trusts and Mutual Funds
  • Section III - Code on Investment-Linked Assurance Schemes
  • Section IV - Code on Unlisted Structured Investment Products
    Code IPD HKD100
    Jun 2010 The Codes on Takeovers and Mergers and Share Repurchases (June 2010 edition as amended in June 2010) Code CFD HK$100
    Jun 2010 SFC Code on MPF Products (effective from 25 June 2010) Code IPD -
    Jun 2010 Code on Pooled Retirement Funds (effective from 25 June 2010) Code IPD -
    Jun 2010 Code on Real Estate Investment Trusts (effective from 25 June 2010) Code IPD -
    Jun 2010 Circular to All Licensed Corporations - Mystery Shopping Programme Circular ISD
    May 2010 Circular to Fund Management Companies - Investment in Financial Derivative Instruments for SFC-authorized Funds Circular ISD
    May 2010 Circular to Licensed Corporations and Registered Institutions - Obligations Relating to Selling / Distribution of Investment Products Circular ISD
    May 2010 Guidance to Licensed Corporations and Registered Institutions in relation to Investor Characterization and Professional Investors Requirements Circular ISD
    May 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2010 (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2010 (3) United Nations Sanctions (Liberia) Regulation 2010 (4) US President's Executive Order 13224 Circular ISD
    Apr 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) US President's Executive Order 13224 Circular ISD
    Apr 2010 Circular to Licensed Corporations - Effect of the cessation of compilation of the Hang Seng Hong Kong LargeCap Index ("HSHKLCI") and Hang Seng Hong Kong MidCap Index ("HSHKMCI") Circular ISD
    Apr 2010 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 Circular LIC
    Apr 2010 Circular clarifying the licensing obligations of corporations and individuals and more particularly those conducting business outside Hong Kong Circular LIC -
    Apr 2010 Circular to All Licensed Corporations, Responsible Officers, Licensed Representatives and Registered Institutions Regarding the Addition of an Online Payment Function to the SFC Online Portal Circular LIC -
    Apr 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran, Angola, Democratic People's Republic of Korea, Ecuador, Ethiopia, Pakistan, Turkmenistan, and S?o Tom? and Pr?ncipe (2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process Circular ISD
    Mar 2010 Circular to All Licensed Corporations on Information Technology Management Circular ISD
    Feb 2010 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds / Portfolios - Fund Management Activities Survey 2009 Circular IPD
    Feb 2010 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic People's Republic of Korea) (Amendment) Regulation 2010 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (3) US President's Executive Order 13224 Circular ISD
    Jan 2010 Circular to Intermediaries licensed for dealing in securities Circular ISD
    Dec 2009 Consultative Sessions on the Conceptual Framework of the Legislative Proposal to Enhance the Anti-Money Laundering (AML) Regulatory Regime in respect of the Financial Sectors Circular ISD
    Nov 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) United Nations Sanctions (Liberia) Regulation 2009 (3) US President's Executive Order 13224 Circular ISD
    Nov 2009 Circular to Fund Management Companies of SFC-authorised Funds - Declaration on Mutual Cooperation on Development of Islamic Capital Market and Islamic Collective Investment Schemes by the Securities and Futures Commission and Securities Commission of Malaysia Circular IPD
    Oct 2009 Circular to licensed corporations which had distributed / sold Lehman Programs Securities Circular ISD
    Sep 2009 Circular to All Licensed Corporations, Responsible Officers, Licensed Representatives, Registered Institutions and Associated Entities Regarding the Launch of the SFC Online Portal Circular LIC -
    Sep 2009 Circular to Licensed Corporations and Associated Entities Amendments to Prevention of Money Laundering and Terrorist Financing Guidance Note ("AML Guidance Note") Circular ISD
    Sep 2009 Prevention of Money Laundering and Terrorist Financing Guidance Note Guidelines ISD
    Sep 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation (2) US President's Executive Order 13224 Circular ISD
    Aug 2009 Circular to Securities Dealers and Securities Margin Financiers - Updated Questions and Answers on Margin Lending Policy and Control Requirements Circular ISD
    Aug 2009 Circular Clarifying the Licensing Requirements arising out of the Promotion, Offering or Sale of Investment-Linked Assurance Schemes to the Public Circular LIC -
    Jul 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) FATF Statement on Iran, Uzbekistan, Turkmenistan, Pakistan and S?o Tom? and Pr?ncipe (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
    Jul 2009 Circular concerning the licensing obligations of Inter-dealer Brokers under the Securities and Futures Ordinance (Cap. 571) Circular LIC -
    Jul 2009 Consultative Sessions on the Conceptual Framework of the Legislative Proposal to Enhance the Anti-Money Laundering (AML) Regulatory Regime in respect of the Financial Sectors Circular ISD
    Jul 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic People's Republic of Korea) Regulation (2) US President's Executive Order 13224 Circular ISD
    Jun 2009 Circular to issuers of retail credit-linked notes Circular CFD
    Jun 2009 Circular to All Licensed Corporations - Step Up Preparedness for Human Swine Influenza in Hong Kong Circular ISD
    Jun 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    May 2009 Circular to SFC-licensed fund managers of Exchange Traded Funds ("ETFs") on the mutual recognition of ETFs between Hong Kong and Taiwan Circular IPD
    Apr 2009 Circular to Licensed Corporations Preparedness for Human Swine Influenza in Hong Kong Circular ISD
    Apr 2009 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 Circular LIC
    Apr 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
    Mar 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing FATF Statement on Iran, Uzbekistan, Turkmenistan, Pakistan and Sao Tome and Principe Circular ISD
    Mar 2009 Circular to All Licensed Corporations, Responsible Officers, Licensed Representatives and Registered Institutions Regarding the Waiver of Annual Licensing Fees Circular LIC -
    Mar 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar Circular ISD
    Mar 2009 Circular to All Exchange Participants HKEX circulars on Suspension of the Closing Auction Session Circular ISD
    Mar 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Mar 2009 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Clarification on the application of various Listing Rules amendments to SFC-authorised REITs Circular IPD
    Feb 2009 Circular Regarding Self Examination of Controls and Procedures on Suitability Obligations Circular ISD
    Feb 2009 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds / Portfolios - Fund Management Activities Survey 2008 Circular IPD
    Jan 2009 Circular to issuers of advertisements relating to SFC-authorised Collective Investment Schemes - Reminder of deadline for submission of extension applications for compliance with Revised Advertising Guidelines Circular IPD
    Jan 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Jan 2009 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) (No. 2) Regulation 2008 (2) US President's Executive Order 13224 Circular ISD
    Dec 2008 Circular to issuers of advertisements relating to SFC-authorised Collective Investment Schemes Circular IPD
    Dec 2008 Circular to Licensed Corporations - Mandatory E-Submission for Persons who are required to sign and submit half-yearly return Circular ISD
    Dec 2008 Circular to All SEHK Exchange Participants Reminder to ensure compliance with key requirements Circular ISD
    Nov 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Nov 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Nov 2008 Circular to Licensed Corporations - Mandatory Electronic Submission of Financial Returns Circular ISD
    Oct 2008 Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) Guidelines IPD -
    Oct 2008 Circular to All Licensed Corporations and Registered Institutions Regarding Supervision and Risk Management Circular ISD
    Oct 2008 Circular to All Licensed Corporations - Engaged in Hedge Funds Management Business Circular ISD
    Oct 2008 Revised "Non-Statutory Guidelines on Directors' Duties" issued by the Companies Registry (This is not an SFC document) Guidelines ER -
    Oct 2008 Circular to issuers of retail investment products Circular IPD
    Oct 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Liberia) Regulation 2008 (2) US President's Executive Order 13224 Circular ISD
    Sep 2008 Circular to Licensed Corporations - Application for SFC e-Certificate - Persons who are required to sign and submit half-yearly return Circular ISD
    Sep 2008 Circular to All Licensed Corporations and Registered Institutions - Short Selling Requirements and Obligations under the Securities and Futures Ordinance Circular SOM
    Sep 2008 Invitation to Securities Dealers and Securities Margin Financiers - Seminar on Credit Controls of Securities Margin Financing Providers and Related Key Regulatory Requirements Circular ISD
    Sep 2008 Circular to All Licensed Corporations and Registered Institutions Circular ISD
    Sep 2008 Circular to All Licensed Corporations and Registered Institutions : Guidance on disclosure of relevant material information by licensed or registered persons to their clients Circular ISD
    Sep 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President's Executive Order 13224 Circular ISD
    Aug 2008 Circular to Licensed Corporations - Gazette Notices of New e-Submission Regime and Test Run of New e-FRR System Circular ISD
    Jul 2008 Circular to Licensed Corporations - Application for SFC e-Certificate and Training of Electronic Submission of Financial Returns Circular ISD
    Jul 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Jul 2008 Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes Guidelines IPD -
    Jul 2008 Circular to Fund Management Companies of SFC-authorised Funds - Mutual recognition of cross-border offering of collective investment schemes by the Securities and Futures Commission ("SFC") and Australian Securities and Investment Commission Circular IPD
    Jul 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Liberia) Regulation 2008 (2) US President's Executive Order 13224 Circular ISD
    Jun 2008 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) (No. 2) Regulation 2008 (2) US President's Executive Order 13224 Circular ISD
    Jun 2008 Circular to Management Companies / Product Issuers of SFC-authorized Schemes - Consultation conclusions on the proposed streamlining of the pre-vetting of notices and advertisements of relevant authorized collective investment schemes Circular IPD
    Jun 2008 Circular to Licensed Corporations and Associated Entities Electronic Submission of Financial Returns Circular ISD
    May 2008 Circular to Licensed Corporations and Associated Entities- Anti-Money Laundering / Combating Terrorist Financing- (1) United Nations (Anti-Terrorism Measures) Ordinance- (2) US President's Executive Order 13224 Circular ISD
    May 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Iran) (Amendment) Regulation 2008 (the "Iran Regulation") Circular ISD
    May 2008 Circular to Fund Management Companies of SFC-authorized Funds - Proposal to Exempt Collective Investment Schemes from Disclosure of Interests Requirements Circular IPD
    Apr 2008 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 Circular LIC
    Apr 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Questions and Answers on Identification and Handling of High Risk Customers and Politically Exposed Persons ("FAQs") Circular ISD
    Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President's Executive Order 13224 Circular ISD
    Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Uzbekistan, Iran, Pakistan, Turkmenistan, S?o Tom? and Pr?ncipe and the northern part of Cyprus Circular ISD
    Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Feb 2008 Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure Circular ISD
    Feb 2008 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2007 Circular IPD
    Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2008 (2) United Nations Sanctions (Cote d'Ivoire) Regulation 2008 Circular ISD
    Jan 2008 Circular to Management Companies / Product Issuers of SFC-authorized Schemes - Streamlining of Pre-vetting of Notices and Advertisements of Authorized Collective Investment Schemes Circular IPD
    Jan 2008 Circular to Management Companies of SFC-Authorised Real Estate Investment Trusts - New Frequently Asked Questions Circular IPD
    Jan 2008 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - On-market Unit Repurchases by SFC-authorised REITs Circular IPD
    Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Liberia) Regulation 2005 (2) US President's Executive Order 13224 Circular ISD
    Dec 2007 Guidance Note on Position Limits and Large Open Position Reporting Requirements Guidelines SOM
    Nov 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Oct 2007 Circular to All Licensed Corporations - Reminder of Importance of Prudent Risk Management Circular ISD
    Oct 2007 Circular to Licensed Corporations - Investor Leaflet "Index Tracking Exchange Traded Funds" Circular ER
    Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Iran Circular ISD
    Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Good Market Practices Identified from Self-Assessment Program Circular ISD
    Oct 2007 Circular to Fund Management Companies of SFC-authorised Funds - SFC facilitates delegation of investment management functions to non-AIR jurisdictions Circular IPD
    Oct 2007 Information/documents to be submitted to the SFC for delegation of investment management functions to non-AIR affiliates Circular IPD
    Oct 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Acquisitions by SFC-authorised REITs Circular IPD
    Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Iran) Regulation ("the Iran Regulation") Circular ISD
    Oct 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Sudan) Regulation Circular ISD
    Sep 2007 Circular to Licensed Corporations licensed for Type 1 or Type 8 regulated activity and Associated Entity - Implementation of 140% repledging limit with effect from 1 October 2007 Circular ISD
    Sep 2007 Circular to Licensed Corporations and Registered Institutions - Investor Leaflet "Hedge Funds" Circular ER
    Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Enhancement of Website and Obligation to Report Suspicious Transactions Circular ISD
    Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) United Nations Sanctions (Democratic People's Republic of Korea) Regulation (3) United Nations Sanctions (Liberia) Regulation 2005 (Amendment) (No. 2) Regulation 2007 (4) United Nations (Anti-Terrorism Measures) Ordinance (5) US President's Executive Order 13224 Circular ISD
    Jul 2007 Circular to Licensed Corporations - Investor Leaflet "Fund Investing" Circular ER
    Jul 2007 Circular to Intermediaries Acting as Sponsors - Increase in the minimum paid-up share capital requirement for sponsors Circular LIC
    Jul 2007 Circular to Licensed Corporations - Investor Leaflet "IPO Investing" Circular ER
    Jun 2007 Circular to Licensed Corporations - "Investor Leaflet "Know Your Broker" Circular ER
    Jun 2007 Circular to Licensed Corporations and Associated Entities Apply for a New Password to Access Joint Financial Intelligence Unit's New Website Circular ISD
    Jun 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2007 (2) US President's Executive Order 13224 Circular ISD
    Jun 2007 SFC Adopts a Pragmatic Approach to Licensing Fund Managers Circular LIC -
    Jun 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Electronic Dissemination of Public Announcements of SFC-authorised REITs Circular IPD
    May 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar Circular ISD
    May 2007 Circular to All Licensed Corporations Questions and Answers on Suitability Obligations Circular ISD
    Apr 2007 Circular to Licensed Corporations - Investor Leaflet "How to Make a Complaint" Circular IEC
    Apr 2007 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC
    Mar 2007 Circular to Fund Management Companies of SFC-authorised Funds - Streamlined Measures for Processing UCITS III Schemes with Special Features Circular IPD
    Feb 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD
    Feb 2007 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2006 Circular IPD
    Jan 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) US President's Executive Order 13224 (3) Non-cooperative Countries and Territories (4) Anti-Money Laundering Training Seminar Materials Circular IIP/ISD
    Dec 2006 The new sponsor regime Circular LIC -
    Dec 2006 Circular to All Licensed Corporations Circular ISD
    Dec 2006 Implementation of new sponsor regime Circular LIC -
    Dec 2006 Circular to Licensed Corporations Providing Online Trading Services Reminder of Adequate Information Security Measures to Combat Possible Denial-of-Service Attacks Circular ISD
    Nov 2006 Circular to all Issuers of Unlisted Retail Structured Products - Enhance Prospective Investors' Understanding of Structured Products Circular IEC
    Nov 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Identification and Reporting of Suspicious Transactions Circular ISD
    Oct 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 (3) Combating Financing of Weapons of Mass Destruction Activities Circular ISD
    Oct 2006 Circular to Fund Management Companies of SFC-authorised Funds - FAQs on SFC Authorisation of Unit Trusts and Mutual Funds Circular IPD
    Sep 2006 Circular to All Licensed Corporations - Requirements under certain amendment rules and amended Code of Conduct will come into effect on 1 October 2006 Circular ISD
    Sep 2006 Guidelines on marketing materials for listed structured products Guidelines CFD -
    Sep 2006 Guidelines on marketing materials for listed structured products - Frequently Asked Questions Guidelines CFD -
    Sep 2006 Circular to Licensed Corporations and Registered Institutions - Emergency Contact Person Circular LIC -
    Sep 2006 General Circular to Licensed REIT Managers - Frequently Asked Question on disclosure of distribution composition Circular IPD
    Sep 2006 Circular to intermediaries licensed or registered for Type 6 regulated activity - Sponsor regime Circular LIC -
    Sep 2006 Securities and Futures (Financial Resources) (Amendment) Rules 2006 for Sponsors Circular LIC -
    Sep 2006 Circular to All Licensed Corporations - Be alert to individuals pretending to be SFC staff Circular ISD
    Sep 2006 Fit and Proper Guidelines Guidelines LIC -
    Aug 2006 Circular to Fund Management Companies of SFC-authorised Funds - Information relating to the Risk Management and Control Process of UCITS III Funds applying for SFC authorisation Circular IPD
    Aug 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Circular ISD
    Jul 2006 Circular to All Licensed Corporations-Prepare for Implementation of the New Requirements to Address Risks Arising from Securities Margin Financing Circular ISD
    Jul 2006 Invitation-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing Circular ISD
    Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar Circular ISD
    Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Quarterly Suspicious Transaction Report Analysis issued by the Joint Financial Intelligence Unit ("JFIU") Circular ISD
    Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 (3) United Nations Sanctions (Cote d'Ivoire) Regulation 2006 Circular ISD
    Jun 2006 Circular to All Licensed Corporations Circular ISD
    Jun 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Sudan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
    May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Frequently Asked Questions on the Guidance Note on Prevention of Money Laundering and Terrorist Financing Circular ISD
    May 2006 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (May 2006) Code ISD HK$30
    May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2006 (2) United Nations Sanctions (Liberia) Regulation 2005 Circular ISD
    Apr 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guidance Note and Quarterly Suspicious Transaction Report Analysis Circular ISD
    Apr 2006 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC
    Mar 2006 Circular to All Licensed Corporations - Importance of Prudent Risk Management Circular ISD
    Mar 2006 Circular to Fund Managers of SFC Authorized Funds and Other Relevant Parties - FAQ on Presentation of Benchmark Performance in Advertising Materials Circular IPD -
    Mar 2006 Guidance Note on Cooperation with the SFC - March 2006 Guidelines ENF -
    Mar 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Continuous and Close Supervision of Firm's Operations Circular ISD
    Mar 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
    Feb 2006 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2005" Circular IPD -
    Feb 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 Circular ISD
    Jan 2006 Circular to Licensed Corporations which are licensed for Type 9 regulated activity Frequently Asked Questions on Financial Return Form 12 - Aggregate net value of assets under management Circular ISD
    Jan 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Liberia) Regulation Circular ISD
    Dec 2005 Circular to Fund Managers of SFC Authorised Funds, Legal Advisors, Fund Auditors and Other Relevant Parties - Investment Products Department - Streamlining of Authorisation Process Circular IPD
    Dec 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan in light of the Possible Outbreak of Avian Influenza and Influenza Pandemic in Hong Kong Circular ISD
    Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Circular ISD
    Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations Sanctions (Democratic Republic of Congo) Regulation 2005 (3) United Nations (Anti-Terrorism Measures) Ordinance (4) Blocking Property of Proliferators and Supporters of Weapons of Mass Destruction Circular ISD
    Nov 2005 Circular to Licensed Corporations and Associated Entities Further Reminder of Business Continuity Arrangement during the 6th Ministerial Conference of the World Trade Organization Circular ISD
    Nov 2005 Circular to All Licensed Corporations Reminder to comply with certain Code and Internal Control Guidelines requirements Circular ISD
    Nov 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular ISD
    Nov 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan during the 6th Ministerial Conference of the World Trade Organization Circular ISD
    Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD
    Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Afghanistan) Regulation Circular ISD
    Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Suspicious Transactions Reports Classification Circular ISD
    Sep 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular ISD
    Sep 2005 Circular to Licensed Corporations and Associated Entities Section 311 of the USA Patriot Act Circular ISD
    Aug 2005 Guidelines on revised procedures for applications for Exempt Fund Manager (EFM) status under the Code on Takeovers and Mergers (Code) by fund managers that form part of complex international financial groups Guidelines CFD -
    Aug 2005 Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that form part of complex international financial groups Guidelines CFD -
    Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) New Regulation under United Sanctions Ordinance (Cap. 537) (2) US President's Executive Order 13224 Circular ISD
    Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Seminar for Compliance Officers Circular ISD
    Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation") Circular ISD -
    Jul 2005 Circular to Licensed Corporations and Registered Institutions - Settlement of Disciplinary Cases Circular ENF -
    Jun 2005 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05 Circular LIC -
    Jun 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules Circular LIC -
    Jun 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    May 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC -
    May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the “l"Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the “l"Regulation") Circular ISD -
    Apr 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Apr 2005 Circular to SFC Registered Institutions - FAQs for Investors on UCITS III Circular IPD -
    Mar 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC -
    Mar 2005 General Circular to SFC-approved Fund Management Companies - Interim Measures on the Disclosure and Submission Requirements for the authorisation of UCITS III Funds domiciled in Luxembourg, Ireland and the United Kingdom by the SFC Circular IPD -
    Mar 2005 Guidelines to Address Analyst Conflicts of Interest to Come into Effect Circular LIC -
    Mar 2005 Circular to SFC Licensed Fund Managers and Investment Advisers - FAQs for Investors on UCITS III Circular IPD -
    Feb 2005 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2004 Circular IPD -
    Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD -
    Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Jan 2005 Circular to all Licensed Corporations - Securities and Futures (Financial Resources) Rules - Enhanced Excel format of Proforma Financial return Circular ISD -
    Jan 2005 Guidelines on Disclosure of Fees and Charges Relating to Securities Services Guidelines LIC -
    Dec 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Dec 2004 Circular to all Licensed Corporations Implementation of prudent risk management policies and procedures Circular ISD -
    Dec 2004 Circular to deemed licensed corporations which have not submitted migration applications - Client assets arrangement in anticipation of business cessation Circular LIC -
    Dec 2004 Circular to Licensed Corporations and Registered Institutions - Courses to Facilitate Former Practitioners to Re-enter the Industry and New Recognised Continuous Professional Training Providers Circular LIC -
    Dec 2004 Circular to Licensed Corporations which are licensed for Type 6 regulated activity - Theme Inspection of Sponsors Circular ISD -
    Nov 2004 Circular to Licensed Corporations which are licensed for Type 1 or 8 regulated activity SFC's Advice to Securities Firms Offering IPO Financing Circular ISD -
    Nov 2004 Circular to SFC's Licensed Intermediaries Telephone Recording Requirements Circular ISD -
    Nov 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) Non-cooperative Countries and Territories (3) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Nov 2004 Circular to Licensed Corporations and Registered Institutions - Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest Circular IIP -
    Nov 2004 General Circular to SFC-approved Fund Management Companies - Investment in SFC-authorised Real Estate Investment Trusts ('REITs') by Unit Trusts and Mutual Funds authorised under the SFC Code on Unit Trusts and Mutual Funds ('UT Code') Circular IPD -
    Oct 2004 Circular to Licensed Corporations - Facilitation of Lodgment of Annual Returns by Representatives Circular LIC -
    Oct 2004 Circular to deemed licensed corporations which have not submitted migration applications - Migration to the New Regime under the Securities and Futures Ordinance ("SFO") Circular LIC -
    Oct 2004 The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng Circular CFD -
    Oct 2004 The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng Circular CFD -
    Oct 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532 Circular ISD -
    Sep 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Sep 2004 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2003/04 Circular LIC -
    Aug 2004 Circular to Certain Deemed Licensed Corporations (Sole Proprietors) - Migration into the New Regime under the Securities and Futures Ordinance Circular LIC -
    Aug 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Afghanistan) Regulation (3) United Nations Sanctions (Libya) (Repeal) Regulation 2004 Circular ISD -
    Aug 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532 Circular ISD -
    Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Afghanistan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance (3) US President's Executive Order 13224 (4) United Nations Security Council Resolution (UNSCR) 1483(2003) Circular ISD -
    Jul 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular ISD -
    Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD -
    Jun 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular ISD -
    Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Jun 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition Compliance with the Securities and Futures (Financial Resources) Rules ("the FRR") Circular ISD -
    Jun 2004 Circular to Licensed Corporations Ways to combat fake websites Circular ISD -
    Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Jun 2004 Circular to Licensed Corporations Implementation of Hong Kong Accounting Standards 39 and 32 Circular ISD -
    Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Jun 2004 Circular to Licensed Corporations which are licensed for Type 1 regulated activity Watch out! Brokerage firms were defrauded again! Circular ISD -
    May 2004 Circular to Licensed Corporations - Responsible Officers (28 May 2004) Circular LIC -
    May 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Apr 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular LIC -
    Apr 2004 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular LIC -
    Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance ("the Ordinance") and United Nations Sanctions (Afghanistan) Regulation ("the Regulation") Circular ISD -
    Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Mar 2004 Guidelines for the approval of corporations as approved lending agents Guidelines LSD -
    Mar 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular LIC -
    Mar 2004 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular LIC -
    Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
    Mar 2004 Circular to analysts on handling non-public price sensitive information Circular ENF -
    Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories ("NCCTs") (2) United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Feb 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Feb 2004 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2003 Circular IPD -
    Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Jan 2004 Circular to Licensed Corporations - Migration to the new regime under the Securities and Futures Ordinance (27 January 2004) Circular LIC -
    Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; and (3) United Nations Security Council Resolution (UNSCR) 1483 Circular ISD -
    Jan 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition - Compliance with Section 56(3) of the Securities and Futures (Financial Resources) Rules to Submit Financial Return Circular ISD -
    Dec 2003 Circular to all intermediaries dealing with cleints who invest in structured products - Advice to Investors on Structured Notes Circular IEC -
    Dec 2003 Circular to Licensed Corporations - Notification on cessation of accreditation and return of licence (23 December 2003) Circular LIC -
    Dec 2003 Circular to intermediaries conducting Type 1 or Type 8 Regulated Activity - Allocation problem of China Life IPO Circular ISD -
    Dec 2003 Circular to Intermediaries Conducting Type 1 or Type 8 Regulated Activity Allocation problem of China Life IPO Circular ISD -
    Dec 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Dec 2003 Circular to Licensed and Registered Persons - Relaxation for Former Practitioners to Re-enter the Industry Circular LIC -
    Nov 2003 Circular to Licensed corporations and associated entities - Proper segregation and safeguarding of client money Circular ISD -
    Nov 2003 Investor Survey on Investment Research Activities (25 November 2003) Circular LIC -
    Nov 2003 Securities Firm Survey on Investment Research Activities (25 November 2003) Circular LIC -
    Nov 2003 Circular to Licensed Corporations - Business continuity planning against serious communicable diseases (24 November 2003) Circular LIC -
    Nov 2003 Circular to Licensed Corporations who wish to act as Financial Intermediaries for Entrants under the Capital Investment Entrant Scheme (18 November 2003) Circular LIC -
    Nov 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) Non-cooperative Countries and Territories Circular ISD -
    Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular ISD -
    Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Oct 2003 Circular to Licensed Corporations Observe the Know Your Clients Rules to Avoid Losses Circular ISD -
    Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Afghanistan) Regulation ("Regulation") Circular ISD -
    Sep 2003 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities - Compliance with the Securities and Futures (Financial Resources) Rules Circular ISD -
    Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Aug 2003 Circular to Licensed Corporations and Registered Institutions - Licensing Information Booklet and Handling of Licensing Related Enquiries (28 August 2003) Circular LIC -
    Aug 2003 Licensing Information Booklet Guidelines LIC HK$50
    Aug 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, US President's Executive Order 13224 Circular ISD -
    Aug 2003 Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules (11 August 2003) Circular LIC -
    Aug 2003 Circular to Fund Managers regarding the Capital Investment Entrant Scheme and Related Undertaking Circular IPD -
    Aug 2003 Outline of Part XV Guidelines LSD -
    Aug 2003 Circular to Licensed Corporations - Advice to Investors on Exotic Warrants Circular IEC -
    Jul 2003 Circular to Licensed Corporations - Substantial Shareholders Circular LIC -
    Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Jul 2003 Circular to Licensed Corporations - Common Anniversary Date Program Circular LIC -
    Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1)US President's Executive Order 13224; (2)United Nations (Anti-Terrorism Measures) Ordinance; (3)Non-cooperative Countries and Territories; and New Members of FATF Circular ISD -
    Jul 2003 Circular to Licensed Corporations - Officer for Signing Financial Resources Returns (other than Responsible Officer) Circular LIC -
    Jun 2003 Circular to Licensed Corporations and Registered Institutions - SFC to Move to Chater House Circular LIC -
    May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224 Circular ISD -
    May 2003 2002 Exempt Persons Activities Survey - REMINDER Circular LIC -
    May 2003 2002 Intermediaries Activities Survey - REMINDER Circular LIC -
    May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance - United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224 Circular ISD -
    May 2003 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules Circular LIC -
    May 2003 Circular to Intermediaries-Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Apr 2003 2002 Exempt Persons Activities Survey - Circular to Exempt Persons under the former regime - - 2002 Exempt Persons Activities Survey & 2002 Fund Mgt Activities Survey Circular LIC -
    Apr 2003 2002 Intermediaries Activities Survey - Circular to Registered Firms under the former regime - 2002 Intermediaries Activities Survey & 2002 Fund Mgt Activities Survey Circular LIC -
    Apr 2003 Circular to Licensed Corporations-Excel template of the financial return under the Securities and Futures (Financial Resources) Rules Circular ISD -
    Apr 2003 Circular to Licensed Corporations - Change of Accreditation by Deemed Licensed Representatives (23 April 2003) Circular LIC -
    Apr 2003 Guidelines for Electronic Public Offerings Guidelines SOM/CFD -
    Apr 2003 Investor Compensation Arrangement Guidelines IEC -
    Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
    Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order Circular ISD -
    Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Afghanistan) Regulation Circular ISD -
    Apr 2003 Circular to Intermediaries Equity-linked Instruments are subject to suitability and fair dealing requirements Circular ISD -
    Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - Non-cooperative Countries and Territories Circular ISD -
    Apr 2003 Circular to Intermediaries Marketing of Hedge Funds Circular ISD -
    Apr 2003 Circular to Intermediaries licensed or registered for Dealing in Securities or Securities Margin Financing Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules Circular ISD -
    Apr 2003 Circular to Intermediaries Regarding the Marketing of Hedge Funds Circular IPD -
    Apr 2003 Circular to Licensed and Registered Firms - Contingency plan for possible staff infection of atypical pneumonia Circular LIC -
    Apr 2003 Circular to Licensed Corporations Window Dressing of Financial Position Circular ISD -
    Apr 2003 Circular to Licensed Corporations and Associated Entities Forms specified by SFC Circular ISD -
    Mar 2003 Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules (31 March 2003) Circular LIC -
    Mar 2003 Securities and Futures (Fees) Rules Rules CA -
    Mar 2003 Code on Immigration-Linked Investment Schemes Code IPD -
    Mar 2003 Fund Manager Code of Conduct Code ISD -
    Mar 2003 Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet Guidelines IPD -
    Mar 2003 Guidelines on Competence Guidelines LIC HK$20
    Mar 2003 Guidelines on Continuous Professional Training Guidelines LIC HK$20
    Mar 2003 Circular to Registered Firms and Exempt Persons - Advice from the Prevention of Respiratory Tract Infections Circular LIC -
    Mar 2003 Circular to Registered Firms and Exempt Persons - Fit and Proper Guidelines , Guidelines on Competence, Guidelines on Continuous Professional Training Circular LIC -
    Mar 2003 Code of Conduct for Corporate Finance Adviser (2003) Code CFD HK$20
    Mar 2003 Guidelines on Use of Offer Awareness and Summary Disclosure Materials in Offerings of Shares and Debentures Under the Companies Ordinance Guidelines CFD -
    Mar 2003 Circular to SFC's Registered Firms and Exempt Persons - Guidelines on Transitional Arrangements, Guidelines on Waivers of Certain Licensing Fees Circular LIC -
    Mar 2003 Guidelines on Transitional Arrangements Guidelines LIC HK$100
    Mar 2003 Guidelines on Waivers of Certain Licensing Fees Guidelines LIC HK$20
    Mar 2003 Code of Conduct for Share Registrars Code SOM -
    Mar 2003 Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements Guidelines SOM -
    Mar 2003 Guidelines on the Regulation of Automated Trading Services Guidelines SOM -
    Mar 2003 Circular to SFC's Registered Commodity Trading Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance Circular LIC -
    Mar 2003 Circular to SFC's Registered Investment Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance Circular LIC -
    Mar 2003 Client Identity Rule Policy Guidelines ENF/IIP -
    Mar 2003 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (April 2003) Code ISD HK$30
    Mar 2003 Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission Guidelines ISD HK$20
    Mar 2003 Debt Collection Guidelines for Licensed Corporations Guidelines LIC -
    Mar 2003 Disciplinary Fining Guidelines Guidelines ENF -
    Mar 2003 Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission Guidelines ISD $30
    Mar 2003 Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules Guidelines ISD -
    Feb 2003 Circular to SFC's Registered Intermediaries and Exempt Persons - Comparison Table on Securities and Futures Ordinance Requirements for Licensing and Supervision of Intermediaries Circular IIP -
    Feb 2003 Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32) Guidelines CFD -
    Feb 2003 Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) Guidelines CFD -
    Feb 2003 Circular to Registered Commodity Dealers which are participants of Hong Kong Futures Exchange Limited - Securities and Futures (Insurance) Rules Circular LIC -
    Jan 2003 Circular to Exempt Persons who are authorised financial institutions - Registration matters pertaining to the Securities and Futures Ordinance Circular LIC -
    Jan 2003 Circular to Licensed Banks who are not Exempt Persons - Registration matters pertaining to the Securities and Futures Ordinance Circular LIC -
    Jan 2003 Circular to Registered Corporations & Exempt Persons who are not authorised financial institutions - Licensing matters pertaining to the Securities and Futures Ordinance Circular LIC -
    Dec 2002 Circular to SFC's Registered Intermediaries and Exempt Persons which are not Authorized Institutions - Compliance under the Securities and Futures Ordinance (Cap. 571) Circular LIC -
    Dec 2002 Circular to SFC's Registered and Exempt Intermediaries - Securities and Futures Ordinance Circular LIC -
    Nov 2002 Circular to SFC's Registered Intermediaries - Order Recording Requirements (13 November 2002) Circular ISD -
    Nov 2002 Circular to Registered Investment Advisers on Cold Calling Circular LIC -
    Aug 2002 Circular to SFC's Registered Intermediaries - Notification of in-house training sessions by corporate licensees Circular LIC -
    Apr 2002 The Takeovers and Mergers Panel has imposed Cold Shoulder Orders on Mr Anthony Wong Man Shek Circular CFD -
    Mar 2002 Circular to Intermediaries - Dubious Financial Instruments Circular LIC -
    Nov 2001 General Circular to SFC Approved Fund Management Companies - Suspension of Dealings Circular IPD -
    Apr 2001 Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers Guidelines CFD -
    Apr 2001 Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers Guidelines CFD -
    Mar 1999 Guidance Note on Internet Regulation Guidelines SOM -
    Jan 1998 Project on the Use of Plain Language - How to Create a Clear Prospectus Guidelines CFD -
    Jul 1997 How to Create Clear Announcements - Guidelines on the Use of Plain Language Guidelines CFD -
    Jul 1991 Guidelines for the Exemption of Listed Companies from the Securities (Disclosure of Interests) Ordinance Guidelines CFD -
     
    31 January 2012