Securities & Futures Commission of Hong Kong

Guidelines

Guidelines Latest version Previous versions
Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes 

Apr 2013 One version
Client Identity Rule Policy 

Apr 2003 One version
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 

Apr 2003 One version
Debt Collection Guidelines for Licensed Corporations 

Apr 2003 One version
Fit and Proper Guidelines 

1 Oct 2013 Three versions
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet 

Apr 2013 Two versions
Guidance Note on Cooperation with the SFC 

Mar 2006 -
Guidance note on directors’ duties in the context of valuations in corporate transactions 

15 May 2017 -
Statement on the liability of valuers for disclosure of false or misleading information 

15 May 2017 -
Guidance Note on Position Limits and Large Open Position Reporting Requirements 

1 Jun 2017 One version
Guidance Note on Short Position Reporting 

18 Jun 2012 -
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements 

2003 -
Guideline on Anti-Money Laundering and Counter-Terrorist Financing 

Apr 2015 Two versions
Guidelines for Electronic Public Offerings 

Apr 2003 One version
Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading 

27 Oct 2017 -
Guidelines for the Approval of Corporations as Approved Lending Agents 

1 Apr 2003 -
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) 

5 Sep 2014 Two versions
Guidelines for the Regulation of Automated Trading Services 

1 Sep 2016 One version
Guidelines on Competence 

Mar 2003 One version
- Appendix C 

Jun 2011 -
Guidelines on Continuous Professional Training 

Mar 2003 One version
Guidelines on Disclosure of Fees and Charges Relating to Securities Services 

1 Jan 2005 -
Guidelines on Disclosure of Inside Information 

Jun 2012 -
Guidelines on Exempt Fund Manager ("EFM") Status Under the Code on Takeovers and Mergers (the "Code") 

10 Apr 2001 (Revised on 30 Sep 2010) -
Guidelines on Exempt Principal Trader (EPT) Status Under the Code on Takeovers and Mergers (the Code) 

10 Apr 2001 (Revised on 30 Sep 2010) -
Guidelines on Marketing Materials for Listed Structured Products 

Sep 2006 -
Guidelines on Waivers of Certain Licensing Fees 

Mar 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) 

21 Feb 2003 -
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 

5 Jul 2013 Two versions
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 

5 Jul 2013 Two versions
Guidelines on the application of the CPMI-IOSCO Principles for Financial Market Infrastructures 

27 May 2016 One version
Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance 

Mar 2003 One version
Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) 

21 Feb 2003 -
Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers (Takeovers Code) 

12 Jan 2017 One version
Guideline to sponsors, underwriters and placing agents involved in the listing and placing of GEM stocks 

20 Jan 2017 -
Licensing Handbook 

21 Apr 2017 -
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission 

1 Apr 2013 One version
Outline of Part XV of the Securities and Futures Ordinance (Cap.571) - Disclosure of Interests 

3 Jul 2017 Three versions
Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities 

Apr 2012 -
Project on the Use of Plain Language - How to Create a Clear Prospectus [English version only] 

Jan 1998 -
Project on the Use of Plain Language — How to Create Clear Announcements 

Jul 1997 -
SFC Disciplinary Fining Guidelines 

28 Feb 2003 One version
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 

Apr 2003 -
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