| Issued Date |
Publication |
Document Type |
Relevant Department |
Hardcopy (Price) |
| 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 S?o Tom? and Pr?ncipe |
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 |
|
| Aug 2008 |
The Codes on Takeovers and Mergers and Share Repurchases (October 2005 edition as amended in April 2008 & Aug 2008) |
Code |
CFD |
HK$100 |
| 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 |
Code on Investment-Linked Assurance Schemes (effective from 1 August 2008) |
Code |
IPD |
|
| Jul 2008 |
Code on Pooled Retirement Funds (effective from 1 August 2008) |
Code |
IPD |
|
| Jul 2008 |
Code on Unit Trusts and Mutual Funds (effective from 1 August 2008) |
Code |
IPD |
|
| Jul 2008 |
SFC Code on MPF Products (effective from 1 August 2008) |
Code |
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 |
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 |
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 |
Code on Real Estate Investment Trusts |
Code |
IPD |
- |
| 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 |
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 |
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 |
- |