Securities & Futures Commission of Hong Kong

FAQs

Topic Last updated
Accounts and Audit Rules 23 Nov 2016
  9 Sep 2004
  17 Mar 2003
Analyst Conflicts of Interest 3 Nov 2004
Anti-Money Laundering and Counter-Terrorist Financing 27 Mar 2012
Client Money Rules 23 Dec 2003
  17 Mar 2003
Client Securities Rules 28 Sep 2006
  14 Dec 2004
  28 Jul 2003
  17 Mar 2003
 Code of Conduct 23 Sep 2016 
  22 Jan 2015
  3 Jun 2011
  30 Sep 2010
  12 Sep 2008
  28 Sep 2006
  14 Sep 2004
  28 Jul 2003
  16 Jul 2001
(updated 12 May 2015)
Contract Notes, Statements of Accounts and Receipts Rules 20 Feb 2013
  28 Jul 2010
  28 Sep 2006
  28 Jul 2003
  17 Mar 2003
Corporate Finance Adviser Code of Conduct 12 Apr 2013
Financial resources rules and financial return 29 Aug 2008
  28 Sep 2006
  10 Jan 2006
  28 Jul 2003
  17 Mar 2003
General 28 Jul 2003
  17 Mar 2003
Keeping of Records Rules 28 Jul 2003
  17 Mar 2003
Margin Lending Policy and Control Requirements 24 Aug 2009
Recognized Counterpart Rules 17 Mar 2003
Triggering of Suitability Obligations 23 Dec 2016
Compliance with Suitability Obligations 23 Dec 2016
Unsolicited Calls Exclusion Rules and section 174 of the SFO 28 Jul 2003
  17 Mar 2003
Professional Investors 22 Jan 2015
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