Securities & Futures Commission of Hong Kong

Regulatory calendar

The calendar provides the key dates regarding regulatory changes and decisions, including the implementation of new rules and revised rules, the decisions and statements of the Takeovers Panel, and our public consultations and conclusions. It is updated from time to time.

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January 2017    
February 2017    
April 2017    
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June 2017    
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October 2017    
November 2017    
December 2017    
  • Rule changes
  • Regulatory decisions
  • Consultations & conclusions
  • Others
  • Multiple types
  • Rule changes
  • Regulatory decisions
  • Consultations & conclusions
  • Others
Date Type Events/Rules
28 Sep 2017

Others Publication: Takeovers Bulletin (Sept 2017)
15 Sep 2017

Consultations & conclusions Announced: Joint Consultation Conclusions on Proposed Enhancements to The Stock Exchange of Hong Kong Limited’s Decision-making and Governance Structure for Listing Regulation
29 Aug 2017

Others Publication: Quarterly Report (Apr - Jun 2017)
28 Aug 2017

Consultations & conclusions Close of Consultation Paper on the Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
4 Aug 2017

Consultations & conclusions Close of Consultation on the Proposed Guidelines on Online Distribution and Advisory Platforms
24 Jul 2017

Consultations & conclusions Announced: Consultation Conclusions and Further Consultation on Proposed Changes to the Securities and Futures(Financial Resources) Rules
19 Jul 2017

Others Fund Management Activities Survey 2016
13 Jul 2017

Others Publication: SFC Regulatory Bulletin: Listed Corporations
7 Jul 2017

Consultations & conclusions Close of Consultation on Proposals to Reduce and Mitigate Hacking Risks Associated with Internet Trading
30 Jun 2017

Others Publication: Takeovers Bulletin (June 2017)
28 Jun 2017

Consultations & conclusions Announced: Consultation Paper on the Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
27 Jun 2017

Consultations & conclusions Announced: Joint consultation conclusions on the prescription of additional markets and clearing houses and the
prescription of Delta One Warrants under the OTC derivatives regulatory regime
14 Jun 2017

Others Publication: Annual Report 2016-17
24 May 2017

Others Publication: Enforcement Reporter (May 2017)
8 May 2017

Consultations & conclusions Announced: Consultation Paper on Proposals to Reduce and Mitigate Hacking Risks Associated with Internet Trading
5 May 2017

Consultations & conclusions Announced: Consultation Paper on the Proposed Guidelines on Online Distribution and Advisory Platforms
27 Apr 2017

Consultations & conclusions Announced: Joint consultation paper on the prescription of additional markets and clearing houses and prescription of Delta One Warrants under the OTC derivatives regulatory regime
3 Apr 2017

Consultations & conclusions Close of consultation on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules
31 Mar 2017

Others Publication: Takeovers Bulletin (March 2017)
21 Mar 2017

Consultations & conclusions Announced: Consultation Conclusions on Proposed Enhancements to the Position Limit Regime and Associated Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and the Guidance Note on Position Limits and Large Open Position Reporting Requirements
1 Mar 2017

Consultations & conclusions Announced: Consultation Paper on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules
17 Feb 2017

Others Publication: Quarterly Report (Oct - Dec 2016)
20 Jan 2017

Rule changes Effective: Guideline to sponsors, underwriters and placing agents involved in the listing and placing of GEM stocks
29 Dec 2016

Others Publication: Takeovers Bulletin (December 2016)
14 Dec 2016

Others Publication: Corporate Regulation Newsletter
8 Dec 2016

Others Publication: Quarterly Report (Jul - Sep 2016)
8 Dec 2016

Others Publication: Enforcement Reporter (Dec 2016)
23 Nov 2016

Consultations & conclusions Announced: SFC proposes to enhance asset management regulation and point-of-sale transparency
21 Nov 2016

Consultations & conclusions Close of Consultation on Proposed Enhancements to the Position Limit Regime and the Associated Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and Guidance Note on Position Limits and Large Open Position Reporting Requirements
20 Sep 2016

Consultations & conclusions Annouced: Consultation on Proposed Enhancements to the Position Limit Regime and the Associated Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and Guidance Note on Position Limits and Large Open Position Reporting Requirements
15 Sep 2016

Others Publication: Takeovers Bulletin (September 2016)
15 Jul 2016

Consultations & conclusions Announced: Regulators release further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting for OTC derivatives market
4 Jul 2016

Others Publication: Takeovers Bulletin (June 2016)
22 Jun 2016

Others Publication: Annual Report 2015-16
17 Jun 2016

Consultations & conclusions Announced: SFC and HKEX issue joint consultation on listing regulation
31 Mar 2016

Others Publication: Takeovers Bulletin (March 2016)
7 Mar 2016

Consultations & conclusions Announced: SFC publishes consultation conclusions on Principles of Responsible Ownership
3 Mar 2016

Others Publication: Corporate Regulation Newsletter
1 Mar 2016

Consultations & conclusions Announced: SFC concludes consultation on changes to ATS Guidelines
24 Feb 2016

Consultations & conclusions Announced: Consultation conclusion to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules
18 Feb 2016

Others Publication: Quarterly Report (Oct - Dec 2015)
5 Feb 2016

Consultations & conclusions Announced: Consultation conclusions and further consultation on introducing mandatory clearing and expanding mandatory reporting
31 Dec 2015

Consultations & conclusions Close of Consultation on Proposed Amendments to the Guidelines for the Regulation of Automated Trading Services
31 Dec 2015

Consultations & conclusions Close of consultation to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules
30 Dec 2015

Others Publication: Takeovers Bulletin (December 2015)
8 Dec 2015

Consultations & conclusions Announced: SFC publishes consultation conclusions on client agreement requirements
7 Dec 2015

Others Publication: Quarterly Report (Jul - Sep 2015)
1 Dec 2015

Rule changes Effective: New regime regarding Alternative Liquidity Pools
27 Nov 2015

Consultations & conclusions Announced: Consultation to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules
20 Nov 2015

Consultations & conclusions Announced: Consultation on Proposed Amendments to the Guidelines for the Regulation of Automated Trading Services
16 Oct 2015

Consultations & conclusions Close of Consultation Paper on Proposed Changes to the Securities and Futures (Financial Resources) Rules
30 Sep 2015

Others Publication: Takeovers Bulletin (September 2015)
30 Sep 2015

Consultations & conclusions Announced: Joint HKMA-SFC consultation on mandatory clearing and reporting for OTC derivatives market
18 Sep 2015

Others Publication: Financial Review of the Securities Industry
17 Aug 2015

Others Publication: Quarterly Report (Apr - Jun 2015)
21 Jul 2015

Others Publication: Fund Management Activities Survey 2014
17 Jul 2015

Others Publication: Half Yearly Review of the Global and Local Securities Markets - Research Paper No. 57
17 Jul 2015

Consultations & conclusions Announced: Consultation Paper on Proposed Changes to the Securities and Futures (Financial Resources) Rules
29 Jun 2015

Others Publication: Takeovers Bulletin (June 2015)
17 Jun 2015

Others Publication: Annual Report 2014-15
5 Jun 2015

Consultations & conclusions Announced: Consultation Conclusions on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations
15 May 2015

Consultations & conclusions Announced: Conclusions on Further Consultation on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
15 May 2015

Consultations & conclusions Announced: SFC enhances regime to regulate alternative liquidity pools
29 Apr 2015

Others Publication: Corporate Regulation Newsletter
20 Apr 2015

Consultations & conclusions Close of joint FSTB, HKMA, SFC and IA second consultation paper on an effective resolution regime for financial institutions in Hong Kong
1 Apr 2015

Rule changes Effective: SFC amends Guideline on Anti-Money Laundering and Counter-Terrorist Financing
31 Mar 2015

Others Publication: Takeovers Bulletin (March 2015)
17 Feb 2015

Others Publication: Quarterly Report (Oct - Dec 2014)
30 Jan 2015

Rule changes Effective: Amendments to the Code on Unit Trusts and Mutual Funds
21 Jan 2015

Others Publication: Risk-focused Industry Meeting Series: Asset Management: Looking Forward
21 Jan 2015

Consultations & conclusions Announced: Joint FSTB, HKMA, SFC and IA second consultation paper on an effective resolution regime for financial institutions in Hong Kong
16 Jan 2015

Consultations & conclusions Close of Consultation Paper on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations
30 Dec 2014

Others Publication: Takeovers Bulletin (December 2014)
19 Dec 2014

Consultations & conclusions Announced: Consultation Paper on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations
18 Dec 2014

Others Publication: Mystery Shopping Programme Findings (Dec 2014)
15 Dec 2014

Others Publication: Quarterly Report (Jul - Sep 2014)
11 Dec 2014

Consultations & conclusions SFC adopts proposals to allow greater flexibility for authorized funds in dissemination of prices and net asset values
4 Dec 2014

Regulatory decisions SFC publicly criticises Wen Yibo for breach of Takeovers Code
28 Nov 2014

Consultations & conclusions Announced: Joint HKMA-SFC consultation conclusions on reporting and record keeping rules for OTC derivatives
15 Oct 2014

Regulatory decisions Takeovers Panel rules no mandatory general offer obligation triggered for China Oriental
30 Sep 2014

Others Publication: Takeovers Bulletin (September 2014)
25 Sep 2014

Consultations & conclusions Announced: SFC publishes consultation conclusions on amendments to professional investor regime and further consults on client agreement requirements
5 Sep 2014

Rule changes Effective: SFC amends Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
29 Aug 2014

Rule changes Effective: Revised Code on Real Estate Investment Trusts
29 Aug 2014

Rule changes Effective: SFC amends Code on MPF Products
28 Aug 2014

Consultations & conclusions Announced: SFC concludes consultation on exemptions for disclosure obligations
22 Aug 2014

Consultations & conclusions Announced: Supplemental consultation conclusions on regulation of IPO sponsors
20 Aug 2014

Others Publication: Quarterly Report (Apr - Jun 2014)
18 Aug 2014

Consultations & conclusions Close of joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market
23 Jul 2014

Consultations & conclusions Close of consultation paper on the proposals to amend publication requirements relating to offer and redemption prices or net asset value, and notices of dealing suspension under the Code on Unit Trusts and Mutual Funds
22 Jul 2014

Consultations & conclusions Announced: Consultation Conclusions on Amendments to the Code on Real Estate Investment Trusts
18 Jul 2014

Consultations & conclusions Announced: Joint HKMA-SFC consultation on mandatory reporting and related record keeping rules for OTC derivatives market
17 Jul 2014

Consultations & conclusions Close of consultation Paper on Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
9 Jul 2014

Others Publication: Corporate Regulation Newsletter
8 Jul 2014

Others Fund Management Activities Survey (FMAS)
2 Jul 2014

Others Publication: Takeovers Bulletin (June 2014 supplemental issue)
30 Jun 2014

Regulatory decisions Takeovers Panel rules the Codes should apply to SouthGobi Resources Limited
30 Jun 2014

Regulatory decisions Takeovers Panel rules the Codes should apply to SouthGobi Resources Limited
25 Jun 2014

Others Publication: Annual Report 2013 - 2014
24 Jun 2014

Consultations & conclusions Announced: Consultation paper on the proposals to amend publication requirements relating to offer and redemption prices or net asset value, and notices of dealing suspension under the Code on Unit Trusts and Mutual Funds
24 Jun 2014

Others Publication: Takeovers Bulletin
18 Jun 2014

Consultations & conclusions Announced: Consultation Paper on Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
7 May 2014

Others Notice on Potential Regulations Applicable to, and Risks of, Crowd-funding Activities
25 Apr 2014

Consultations & conclusions Close of consultation paper concerning the Regulation of Alternative Liquidity Pools
31 Mar 2014

Others Publication: Takeovers Bulletin
3 Mar 2014

Rule changes Effective: Codes on Takeovers and Mergers and Share Repurchases amended to align with new Companies Ordinance
27 Feb 2014

Others Publication: Quarterly Report Oct - Dec 2013
27 Feb 2014

Consultations & conclusions Announced:Consultation paper concerning the Regulation of Alternative Liquidity Pools
26 Feb 2014

Consultations & conclusions Close of consultation on proposals concerning amendment the Code on Real Estate Investment Trusts
27 Jan 2014

Consultations & conclusions Announced: consultation on proposals concerning amendment the Code on Real Estate Investment Trusts
7 Jan 2014

Consultations & conclusions Announced: Consultation on an effective resolution regime for financial institutions in Hong Kong
1 Jan 2014

Regulatory decisions Effective: New regime regarding regulation of electronic trading
30 Dec 2013

Others Publication: Takeovers Bulletin
18 Dec 2013

Others Risk-focused Industry Meeting Series: G-SIFI Trends in Risk and Risk Mitigation
2 Dec 2013

Others Report on the Securities and Futures Commission's 2013 annual review of the Exchange's performance in its regulation of listing matters
1 Oct 2013

Regulatory decisions Effective: New regime regarding regulation of IPO sponsors
30 Sep 2013

Others Publication: Takeovers Bulletin
6 Sep 2013

Consultations & conclusions Announced:consultation on further proposals for regulating OTC derivatives market
20 Aug 2013

Others Publication: Quarterly Report Apr - Jun 2013
14 Aug 2013

Consultations & conclusions Close of consultation on proposals concerning the professional investor regime and the client agreement requirements in the Code of Conduct
28 Jun 2013

Others Publication: Takeovers Bulletin
26 Jun 2013

Others Publication: Annual Report 2012 - 2013
15 May 2013

Consultations & conclusions Announced: consultation on proposals concerning the professional investor regime and the client agreement requirements in the Code of Conduct
3 May 2013

Others Circular: Enhanced disclosure requirements for ILAS Schemes
24 Apr 2013

Others Circular: FAQs on Corporate Finance Adviser Code of Conduct Paragraph 4.3 – Chinese Walls
5 Apr 2013

Others News: New statutory regime for inside information drives increase in disclosures
28 Mar 2013

Others News: Hong Kong commits to global regulatory standards on financial market infrastructures
27 Mar 2013

Consultations & conclusions Announced: consultation conclusions on proposals to enhance regulation of non-corporate listed entities
22 Mar 2013

Consultations & conclusions Announced: consultation conclusions on regulation of electronic trading
6 Feb 2013

Others FAQ: Code of Unit Trusts and Mutual Funds (Question 15B added)
1 Feb 2013

Regulatory decisions Takeovers Panel rules a chain principle offer for Greenheart will be triggered as a result of the restructuring
1 Feb 2013

Others Circular: Guarding against risk of client asset misappropriation
1 Jan 2013

Rule changes Effective: Part XIVA of the Securities and Futures Ordinance regarding impose a general obligation of disclosure of price sensitive, or “inside” information by listed corporations.
28 Dec 2012

Others Circular to management companies of SFC-authorized funds
28 Dec 2012

Others Publication: Takeovers Bulletin
12 Dec 2012

Consultations & conclusions Announced: consultation conclusions on regulation of IPO sponsors
23 Nov 2012

Consultations & conclusions Announced: consultation on proposals to enhance the regulatory regime for non-corporate entities
19 Nov 2012

Others Circular: Selling of fixed income products
7 Nov 2012

Regulatory decisions New regulators' forum seeks to enhance proficient takeover regulation
2 Nov 2012

Others Report on the SFC's 2012 annual review of the Exchange’s performance in its regulation of listing matters
24 Oct 2012

Others Circular: SFC spots deficiencies in selling practices of licensed corporations
24 Sep 2012

Consultations & conclusions Ended: consultation on proposals to enhance the regulatory framework for electronic trading
7 Sep 2012

Others Circular: Beware of “email scam”
31 Aug 2012

Consultations & conclusions Ended: supplemental consultation on proposals to regulate OTC derivatives market
24 Jul 2012

Consultations & conclusions Announced: consultation on proposals to enhance the regulatory framework for electronic trading
11 Jul 2012

Consultations & conclusions Announced: consultation conclusions, supplemental consultation on proposals
to regulate OTC derivatives market
18 Jun 2012

Rule changes Effective: the Securities and Futures (Short Position Reporting) Rules
8 Jun 2012

Rule changes Gazetted: Guidelines on Disclosure of Inside Information
22 May 2012

Regulatory decisions Announced: Disciplinary action taken against Capital VC Limited and Mr Yau Chung Hong for breach of the Takeovers Code
21 May 2012

Consultations & conclusions Announced: consultation conclusion on proposals to amend the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission in relation to the establishment of the Financial Dispute Resolution Centre Ltd and the enhancement of the regulatory framework
11 May 2012

Rule changes Gazetted: the Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012 (Amendment Notice) to amend the lists of local and overseas futures and stock exchanges in Parts 2 and 3 of Schedule I to the Securities and Futures Ordnance
11 May 2012

Consultations & conclusions Announced: consultation conclusions on proposed amendments to specified stock and futures exchanges
9 May 2012

Consultations & conclusions Launched: consultation on proposals to enhance the regulatory regime of sponsors
4 May 2012

Rule changes Effective: Provisions in the Securities and Futures (Amendment) Ordinance regarding the Market Misconduct Tribunal and the establishment of Investor Education Centre
4 May 2012

Rule changes Gazetted: the Securities and Futures (Amendment) Ordinance regarding (1) the statutory disclosure regime of price sensitive information on listed corporations, (2) the Market Misconduct Tribunal and (3) the establishment of Investor Education Centre
12 Apr 2012

Regulatory decisions Announced: Takeovers and Mergers Panel’s decision regarding China Gas Holdings Ltd
1 Apr 2012

Rule changes Issued: Guideline on Anti-Money Laundering and Counter-Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guideline for Associated Entities take effect
23 Mar 2012

Rule changes Effective: amendments to the Codes on Takeovers and Mergers and Share Repurchases
23 Mar 2012

Consultations & conclusions Announced: consultation conclusions on proposed amendments on the Codes on Takeovers and Mergers and Share Repurchases
13 Mar 2012

Regulatory decisions Criticised: Penta Investment Advisers Ltd criticised by the Takeovers Executive for breaches in the dealing disclosure requirements of the Takeovers Code
10 Feb 2012

Consultations & conclusions Announced: conclusions on further consultation on the Securities and Futures (Short Position Reporting) Rules
27 Jan 2012

Rule changes Gazetted: guidelines on anti-money laundering and counter-terrorist financing
27 Jan 2012

Consultations & conclusions Announced: consultation conclusions on guidelines on anti-money laundering and counter-terrorist financing
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