Licensing Related Publications For your convenience, we have provided a list of codes/guidelines that are relevant in this area. This list is not intended to be exhaustive. Please refer to "Legislation & Regulatory Handbook" for full particulars of the requirements that may apply to your circumstances. 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) Mar 2003 Debt Collection Guidelines for Licensed Corporations Guidelines LIC - Sep 2006 Fit and Proper Guidelines Guidelines LIC - Mar 2003 Guidelines on Competence Guidelines LIC HK$20 Mar 2003 Guidelines on Continuous Professional Training Guidelines LIC HK$20 Jan 2005 Guidelines on Disclosure of Fees and Charges Relating to Securities Services Guidelines LIC - Mar 2003 Guidelines on Transitional Arrangements Guidelines LIC HK$100 Mar 2003 Guidelines on Waivers of Certain Licensing Fees Guidelines LIC HK$20 Aug 2003 Licensing Information Booklet Guidelines LIC HK$50   Others Issued Date Title Apr 2003 Overview of New Licensing Regime under the Securities and Futures Ordinance Mar 2005 Summary of Licensing Fees July 2010 List of approved Continuous Professional Training ("CPT") Providers Aug 2006 List of Recognized Industry Qualifications and Local Regulatory Framework Papers   9 September 2010