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
8 Sep 2020 Circular to All Intermediaries - Frequently Asked Questions on Corporate Professional Investor Assessment
Appendix
Intermediaries supervision
10 Jul 2020 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action
(2) FATF Statement on Jurisdictions under Increased Monitoring
(3) Outcomes from the FATF Virtual Plenary, 24 June 2020
Intermediaries supervision
26 Jun 2020 Circular to licensed corporations
Revised financial return form

Annex
Intermediaries supervision
18 May 2020 Concurrent SFC-HKMA thematic review of spread charges and other practices Intermediaries supervision
7 May 2020 Circular to licensed corporations
Margin requirements for non-centrally cleared OTC derivative transactions
Intermediaries supervision
29 Apr 2020 Circular to licensed corporations
Management of cybersecurity risks associated with remote office arrangements
Intermediaries supervision
24 Apr 2020 Circular to commodity futures brokers
Managing financial and operational risks under extreme market conditions
Intermediaries supervision
24 Apr 2020 Circular to management companies of SFC-authorized exchange traded funds and to intermediaries - Futures-based ETFs Intermediaries supervision
17 Apr 2020 Circular to management companies and market makers of SFC-authorized exchange traded funds – ETF market making Intermediaries supervision
9 Apr 2020 Circular to Licensed Corporations - Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations
Report on Leveraged Foreign Exchange Trading (LFET) Activities Carried Out by Licensed Corporations
Annex
Intermediaries supervision
31 Mar 2020 Circular to intermediaries
Extended deadlines for implementation of regulatory expectations and reminder of order recording requirements under COVID-19 pandemic
Intermediaries supervision
27 Mar 2020 Circular to Intermediaries - Reminder of important obligations to ensure suitability and timely dissemination of information to clients Intermediaries supervision
10 Mar 2020 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action
(2) FATF Statement on Jurisdictions under Increased Monitoring
(3) Outcomes from the Meeting of the FATF Plenary, 19-21 February 2020
Intermediaries supervision
7 May 2020 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited
- Licence Holders Insurance Scheme for Exchange Participants
Licensing
30 Mar 2020 Circular to intermediaries, responsible officers and licensed representatives
Waiver of annual licensing fees
Licensing
7 Jan 2020 Circular on the licensing obligations of family offices Licensing
7 Jan 2020 Circular to private equity firms seeking to be licensed Licensing
8 Jul 2020 Circular to Licensed Corporations
Updated Technical Specifications for OTC Derivatives Trade Reporting

HKTR's Notice
Market infrastructure & trading
29 Apr 2020 Circular to Licensed Corporations
Updated Technical Specifications for OTC Derivatives Reporting

HKTR's Letter
Market infrastructure & trading
28 Feb 2020 Circular to Licensed Corporations in relation to list of prescribed persons who have reached the clearing threshold under the clearing and record keeping rules for the OTC derivatives regime Market infrastructure & trading

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