Securities & Futures Commission of Hong Kong

Guidelines

For applicable guidelines relating to intermediaries supervision - both current and earlier versions (if any) - please visit the sub-site of codes and guidelines and follow the steps below:

  1. Select "Guidelines by topic" on the left navigation
  2. Select the topic "Intermediaries supervision" under Guidelines

If you refer to guidelines regarding intermediaries supervision that are no longer applicable, please visit Rule book > Archives.

3.4950 s