Circulars

We publish circulars from time to time to remind industry participants of regulatory requirements and help them understand regulatory issues.

Please note that anti-money laundering and counter-financing of terrorism (AML/CFT) sanctions related circulars are only available on the complete list of AML/CFT circulars which can be found here.

Circulars are listed by year in the tables below, which are sortable by date and publication title. Circulars issued after July 2012 are available in HTML format as well as a printer-friendly PDF version. Earlier circulars are available in PDF only.

Issue Date Publication Category
21 Nov 2019 Circular to licensed corporations
Dubious private fund and discretionary account arrangements or transactions

Appendix 1
Appendix 2
Intermediaries supervision
31 Oct 2019 Circular to Licensed Corporations - Use of external electronic data storage
Appendix 1 - Undertaking (pdf version)
Appendix 1 - Undertaking (word version)
Appendix 2 - Notice (pdf version)
Appendix 2 - Notice (word version)
Intermediaries supervision
29 Oct 2019 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on Democratic People’s Republic of Korea and Iran
(2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process
(3) Outcomes from the Meeting of the FATF Plenary, 16-18 October 2019
(4) FATF Business Bulletin
Intermediaries supervision
21 Oct 2019 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Anti-Money Laundering and Counter-Financing of Terrorism Seminars

Appendix
Intermediaries supervision
4 Oct 2019 Terms and Conditions for Licensed Corporations which Manage Portfolios that Invest in Virtual Assets Intermediaries supervision
30 Sep 2019 Circular to Intermediaries
FAQs on the Guidelines for Securities Margin Financing Activities

Appendix
Intermediaries supervision
16 Sep 2019 Circular on Mutual Recognition of Funds (MRF) between Switzerland and Hong Kong
Annex A
Product authorization
6 Sep 2019 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
Publication of Hong Kong's Mutual Evaluation Report by FATF
Intermediaries supervision
2 Sep 2019 Circular to Licensed Corporations in relation to the reporting of OTC derivatives transactions to the HKMA trade repository – Revised Technical Specifications
Announcement from HKMA
Market infrastructure & trading
30 Aug 2019 Circular to Licensed Corporations
Launch of Key Risk Indicator Platform
Intermediaries supervision
23 Aug 2019 Circular to licensed corporations
Managing the liquidity risk of funds

Appendix
Intermediaries supervision
31 Jul 2019 Circular to licensed corporations
Data Standards for Order Life Cycles

Appendix
Intermediaries supervision
8 Jul 2019 Circular to Intermediaries
New measure to protect client assets

Acknowledgment Letter Template for Trust or Client Accounts opened with Banks holding Client Assets (pdf version)
Acknowledgment Letter Template for Trust or Client Accounts opened with Banks holding Client Assets (word version)
Intermediaries supervision
5 Jul 2019 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on Democratic People’s Republic of Korea and Iran
(2) FATF Statement on Improving Global AML/CFT Compliance: On-Going Process
(3) Outcomes from the Meeting of the FATF Plenary, 19-21 June 2019
Intermediaries supervision
28 Jun 2019 Circular to intermediaries
Remote onboarding of overseas individual clients
Intermediaries supervision
28 Jun 2019 Circular to intermediaries
Amendments to paragraph 5.1 of the Code of Conduct

Appendix
Intermediaries supervision
17 Jun 2019 Circular to Licensed Corporations - Foreign exchange margin trading on the Mainland and other activities not regulated by the SFC Intermediaries supervision
13 Jun 2019 Circular to Intermediaries - Implementation of regulatory requirements for online and offline sale of complex products
Appendix
Intermediaries supervision
10 Jun 2019 Circular to intermediaries
Prime services and related equity derivatives activities

Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
Annex
Intermediaries supervision
31 May 2019 Circular to licensed corporations and associated entities
Third-party deposits and payments

Appendix
Intermediaries supervision

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