Circular to Intermediaries
FAQs on the Guidelines for Securities Margin Financing Activities

30 Sep 2019



The Securities and Futures Commission (SFC) today issued Frequently Asked Questions (FAQs) to provide guidance on compliance with the new Guidelines for Securities Margin Financing Activities which will come into effect on 4 October 2019.

The FAQs address concerns of the industry about compliance with the benchmarks set out in the guidelines and clarify the application and interpretation of some specific requirements.

A copy of the FAQs is attached to this circular. It is also available on the SFC website at www.sfc.hk under the section “Regulatory functions – Intermediaries – Supervision – FAQs – Guidelines for Securities Margin Financing Activities”. 

Should you have any queries regarding the contents of this circular, please contact Ms Perla Yau at 2231 2115 or your case officer.

Intermediaries Supervision Department
Intermediaries Division
Securities and Futures CommissionEnclosure

Enclousre

End

SFO/IS/049/2019


Click here to download the document

Supplementary document:
Appendix


Page last updated : 30 Sep 2019