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
7 Jan 2020 Circular to private equity firms seeking to be licensed Licensing
7 Jan 2020 Circular on the licensing obligations of family offices Licensing
27 Feb 2020 Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2019 Product authorization
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
28 Feb 2020 Mutual Recognition of Funds (MRF) between Luxembourg and Hong Kong
Annex A - B
Product authorization
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
27 Mar 2020 Circular to management companies and trustees and custodians of SFC-authorized funds Product authorization
27 Mar 2020 Circular to Intermediaries - Reminder of important obligations to ensure suitability and timely dissemination of information to clients Intermediaries supervision
30 Mar 2020 Circular to intermediaries, responsible officers and licensed representatives
Waiver of annual licensing fees
Licensing
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
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
17 Apr 2020 Mutual Recognition of Funds (MRF) between the Netherlands and Hong Kong
Annex A - B
Product authorization
17 Apr 2020 Circular to management companies and market makers of SFC-authorized exchange traded funds - ETF market making Product authorization
17 Apr 2020 Circular to management companies and market makers of SFC-authorized exchange traded funds – ETF market making Intermediaries supervision
20 Apr 2020 Circular to issuers of SFC-authorized paper gold schemes Product authorization
24 Apr 2020 Circular to management companies of SFC-authorized exchange traded funds and to intermediaries - Futures-based ETFs Intermediaries supervision
24 Apr 2020 Circular to management companies of SFC-authorized exchange traded funds and to intermediaries - Futures-based ETFs Product authorization
24 Apr 2020 Circular to commodity futures brokers
Managing financial and operational risks under extreme market conditions
Intermediaries supervision
24 Apr 2020 Mutual Recognition of Funds (MRF) between Switzerland and Hong Kong
Annex A
Product authorization
29 Apr 2020 Circular to Licensed Corporations
Updated Technical Specifications for OTC Derivatives Reporting

HKTR's Letter
Market infrastructure & trading

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