Consultations and conclusions

Our public consultation exercises help market participants understand the objectives of our proposals and allow us to consider comments from the industry when formulating regulations and standards. They also help ensure that our proposals meet the needs of the market and take the interests of the investing public into consideration.

We consistently exceed statutory requirements for consulting the public on rules we propose to make under the Securities and Futures Ordinance by consulting both on proposed non-statutory codes and guidelines and on amendments to them. To know more about how we conduct public consultations, please view our Public Consultation Procedures.

Printed copies of recent consultation papers and conclusions are available from our office.

Consultation paper Responses Consultation conclusions
Apr 2019
Joint consultation paper on enhancements to the OTC derivatives regulatory regime for Hong Kong to – (1) mandate the use of Unique Transaction Identifiers for the reporting obligation, (2) revise the list of designated jurisdictions for the masking relief of the reporting obligation and (3) update the list of Financial Services Providers under the clearing obligation
Jun 2019
View responses
Jun 2019
Joint consultation conclusions paper on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
Jan 2019
Joint Consultation Paper on a Revised Operational Model for Implementing an Uncertificated Securities Market in Hong Kong
Pending Pending
Aug 2018
Consultation Paper on the Proposed Guidelines for Securities Margin Financing Activities
Apr 2019
View responses
Apr 2019
Consultation Conclusions on the Proposed Guidelines for Securities Margin Financing Activities
Jul 2018
Consultation Paper on Proposed Amendments to the (1) Guideline on Anti-Money Laundering and Counter-Terrorist Financing and (2) Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities
Oct 2018
View responses
Oct 2018
Consultation Conclusions on Proposed Amendments to the (1) Guideline on Anti-Money Laundering and Counter-Terrorist Financing and (2) Prevention of Money Laundering and Terrorist Financing Guideline Issued by the Securities and Futures Commission for Associated Entities
Jun 2018
Consultation Paper on the OTC derivatives regime for Hong Kong – Proposed margin requirements for non-centrally cleared OTC derivative transactions
Pending Pending
Apr 2018
Consultation on Proposed Enhancements to the Investor Compensation Regime and Related Legislative Amendments
Pending Pending
Mar 2018
Consultation Conclusions on the Proposed Guidelines on Online Distribution and Advisory Platforms and Further Consultation on Offline Requirements Applicable to Complex Products
Oct 2018
View responses
Oct 2018
Consultation Conclusions on Offline Requirements Applicable to Complex Products
Mar 2018
Joint consultation paper on enhancements to the OTC derivatives regime for Hong Kong to– (1) mandate the use of Legal Entity Identifiers for the reporting obligation, (2) expand the clearing obligation and (3) adopt a trading determination process for introducing a platform trading obligation
Jun 2018
View responses
Jun 2018
Joint consultation conclusions paper on enhancements to the OTC derivatives regime for Hong Kong to– (1) mandate the use of Legal Entity Identifiers for the reporting obligation, (2) expand the clearing obligation and (3) adopt a trading determination process for introducing a platform trading obligation
Jan 2018
Consultation Paper on proposed amendments to the Codes on Takeovers and Mergers and Share Buy-backs
Jul 2018
View responses
Jul 2018
Consultation Conclusions on proposed amendments to the Codes on Takeovers and Mergers and Share Buy-backs
Dec 2017
Consultation Paper on (1) the OTC derivatives regime for Hong Kong – Proposed refinements to the scope of regulated activities, requirements in relation to OTC derivative risk mitigation, client clearing, record-keeping and licensing matters; and (2) Proposed conduct requirements to address risks posed by group affiliates
Dec 2018
View responses
Dec 2018
Consultation Conclusions on (1) the OTC derivatives regime for Hong Kong – Proposed requirements in relation to OTC derivative risk mitigation and client clearing; and (2) Proposed conduct requirements to address risks posed by group affiliates
Dec 2017
Consultation Paper on Proposed Amendments to the Code on Unit Trusts and Mutual Funds
Dec 2018
View responses
Dec 2018
Consultation Conclusions on Proposed Amendments to the Code on Unit Trusts and Mutual Funds
Nov 2017
Consultation Conclusions on Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency and Further Consultation on Proposed Disclosure Requirements Applicable to Discretionary Accounts
May 2018
View responses
May 2018
Consultation Conclusions on Proposed Disclosure Requirements Applicable to Discretionary Accounts
Jul 2017
Consultation Conclusions and Further Consultation on Proposed Changes to the Securities and Futures (Financial Resources) Rules
Oct 2018
View responses
Oct 2018
Conclusions to Further Consultation on Proposed General Changes to Update the Securities and Futures (Financial Resources) Rules
Jun 2017
Consultation Paper on the Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
May 2018
View responses
May 2018
Consultation Conclusions on Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies
May 2017
Consultation Paper on Proposals to Reduce and Mitigate Hacking Risks Associated with Internet Trading
Oct 2017
View responses
Oct 2017
Consultation Conclusions on Proposals to Reduce and Mitigate Hacking Risks Associated with Internet Trading
May 2017
Consultation Paper on the Proposed Guidelines on Online Distribution and Advisory Platforms
Mar 2018
View responses
Mar 2018
Consultation Conclusions on the Proposed Guidelines on Online Distribution and Advisory Platforms and Further Consultation on Offline Requirements Applicable to Complex Products
Apr 2017
Joint consultation paper on the prescription of additional markets and clearing houses and prescription of Delta One Warrants under the OTC derivatives regulatory regime
Jun 2017
View responses
Jun 2017
Joint consultation conclusions on the prescription of additional markets and clearing houses and the prescription of Delta One Warrants under the OTC derivatives regulatory regime
Mar 2017
Consultation Paper on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules
May 2018
View responses
May 2018
Consultation Conclusions on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules
Nov 2016
Consultation Paper on Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency
Nov 2017
View responses
Nov 2017
Consultation Conclusions on Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency and Further Consultation on Proposed Disclosure Requirements Applicable to Discretionary Accounts
Nov 2016
Consultation paper on the Regulations on Protected Arrangements under the Financial Institutions (Resolution) Ordinance
Apr 2017
View responses
Apr 2017
Consultation conclusions on the Regulations on Protected Arrangements under the Financial Institutions (Resolution) Ordinance
Sep 2016
Consultation on Proposed Enhancements to the Position Limit Regime and the Associated Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and Guidance Note on Position Limits and Large Open Position Reporting Requirements
Mar 2017
View responses
Mar 2017
Consultation Conclusions on Proposed Enhancements to the Position Limit Regime and Associated Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Jun 2016
Joint Consultation Paper on Proposed Enhancements to The Stock Exchange of Hong Kong Limited’s Decision-Making and Governance Structure for Listing Regulation
Sep 2017
View responses
Sep 2017
Joint Consultation Conclusions on Proposed Enhancements to The Stock Exchange of Hong Kong Limited’s Decision-Making and Governance Structure for Listing Regulation
Feb 2016
Consultation conclusions and further consultation on introducing mandatory clearing and expanding mandatory reporting
Jul 2016
View responses
Jul 2016
Further consultation conclusions on introducing mandatory clearing and expanding mandatory reporting
Nov 2015
Consultation to expand the scope of short position reporting and on the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules
Feb 2016
View responses
Feb 2016
Consultation conclusions in relation to expanding the scope of short position reporting and the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules
Nov 2015
Consultation on Proposed Amendments to the Guidelines for the Regulation of Automated Trading Services
Mar 2016
View responses
Mar 2016
Consultation Conclusions on Proposed Amendments to the Guidelines for the Regulation of Automated Trading Services
Sep 2015
Consultation paper on introducing mandatory clearing and expanding mandatory reporting
Feb 2016
View responses
Feb 2016
Consultation conclusions and further consultation on introducing mandatory clearing and expanding mandatory reporting
Jul 2015
Consultation Paper on Proposed Changes to the Securities and Futures (Financial Resources) Rules
Jul 2017
View responses
Jul 2017
Consultation Conclusions and Further Consultation on Proposed Changes to the Securities and Futures (Financial Resources) Rules
Mar 2015
Consultation Paper on the Principles of Responsible Ownership
Mar 2016
View responses
Mar 2016
Consultation Conclusions on the Principles of Responsible Ownership
Jan 2015
Second Consultation Paper on An Effective Resolution Regime for Financial Institutions in Hong Kong
Oct 2015
View responses
Oct 2015
Consultation Response and Certain Further Issues on An Effective Resolution Regime for Financial Institutions in Hong Kong
Dec 2014
Consultation Paper on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations
Jun 2015
View responses
Jun 2015
Consultation Conclusions on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations
Nov 2014
Consultation Conclusions and Further Consultation on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
May 2015
View responses
May 2015
Conclusions on Further Consultation on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
Sep 2014
Consultation Conclusions on the Proposed Amendments to the Professional Investor Regime and Further Consultation on the Client Agreement Requirements
Dec 2015
View responses
Dec 2015
Consultation Conclusions on the Client Agreement Requirements
Jul 2014
Consultation paper on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping) Rules
Nov 2014
View responses
Nov 2014
Consultation Conclusions and Further Consultation on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules
Jun 2014
Consultation paper on the proposals to amend publication requirements relating to offer and redemption prices or net asset value, and notices of dealing suspension under the Code on Unit Trusts and Mutual Funds
Dec 2014
View responses
Dec 2014
Consultation conclusions on the proposals to amend publication requirements relating to offer and redemption prices or net asset value, and notices of dealing suspension under the Code on Unit Trusts and Mutual Funds
Jun 2014
Consultation Paper on Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Aug 2014
View responses
Aug 2014
Consultation Conclusions on Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Feb 2014
Consultation Paper Concerning the Regulation of Alternative Liquidity Pools
May 2015
View responses
May 2015
Consultation Conclusions Concerning the Regulation of Alternative Liquidity Pools
Jan 2014
Consultation Paper on Amendments to the Code on Real Estate Investment Trusts
Jul 2014
View responses
Jul 2014
Consultation Conclusions on Amendments to the Code on Real Estate Investment Trusts
Jan 2014
Consultation Paper on an Effective Resolution Regime for Financial Institutions in Hong Kong
Jan 2015
View responses
Jan 2015
Second Consultation Paper on An Effective Resolution Regime for Financial Institutions in Hong Kong (The paper provides conclusions from First Consultation and further policy development.)
May 2013
Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements
Sep 2014
View responses
Sep 2014
Consultation Conclusions on the Proposed Amendments to the Professional Investor Regime and Further Consultation on the Client Agreement Requirements
Nov 2012
Consultation Paper on proposals to enhance the regulatory regime for non-corporate listed entities
Mar 2013
View responses
Mar 2013
Consultation Conclusions on proposals to enhance the regulatory regime for non-corporate listed entities
Jul 2012
Consultation paper on the regulation of electronic trading
Mar 2013
View responses
Mar 2013
Consultation conclusions on the regulation of electronic trading
Jul 2012
Supplemental consultation on the OTC derivatives regime for Hong Kong - proposed scope of new/expanded regulated activities and regulatory oversight of systemically important players
Sep 2013
View responses
Sep 2013
Joint Supplemental Consultation Conclusions on the OTC Derivatives Regime in Hong Kong – Proposed Scope of New/Expanded Regulated Activities and Regulatory Oversight of Systemically Important Participants
May 2012
Consultation Paper on the regulation of sponsors
May 2012
View responses
Dec 2012
Consultation conclusions on the regulation of sponsors

Aug 2014
Supplemental consultation conclusions on the regulation of IPO sponsors – prospectus liability
Nov 2011
Consultation paper on proposals to amend the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission in relation to the establishment of the Financial Dispute Resolution Centre Ltd and the enhancement of the regulatory framework
Dec 2011
View responses
May 2012
Consultation conclusions on proposals to amend the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission in relation to the establishment of the Financial Dispute Resolution Centre Ltd and the enhancement of the regulatory framework
Oct 2011
Consultation Conclusions and Further Consultation on the Securities and Futures (Short Position Reporting) Rules
Oct 2011
View responses
Feb 2012
Conclusions on Further Consultation on the Securities and Futures (Short Position Reporting) Rules
Oct 2011
Consultation paper on the proposed regulatory regime for the over-the-counter derivatives market in Hong Kong
Oct 2011
View responses
Jul 2012
Joint consultation conclusions on the proposed regulatory regime for the over-the-counter derivatives market in Hong Kong
Sep 2011
Consultation Paper on (1) the Proposed Guideline on Anti-Money Laundering and Counter-Terrorist Financing and (2) the Proposed Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities
Sep 2011
View responses
Jan 2012
Consultation Conclusions on (1) the Proposed Guideline on Anti-Money Laundering and Counter-Terrorist Financing and (2) the Proposed Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities
Aug 2011
Consultation Paper on (1) the proposal to amend the requirements for property valuation in the Codes on Takeovers and Mergers and Share Repurchases, (2) the proposed amendment relating to confirmations of independence in placing and top-up transactions and (3) the timing for payment of acceptances
Aug 2011
View responses
Mar 2012
Consultation Conclusions on (1) the proposal to amend the requirements for property valuation in the Codes on Takeovers and Mergers and Share Repurchases, (2) the proposed amendment relating to confirmations of independence in placing and top-up transactions and (3) the timing of payment for acceptances
May 2011
Consultation on Securities and Futures (Short Position Reporting) Rules
Jun 2011
View responses
Oct 2011
Consultation Conclusions and Further Consultation on the Securities and Futures (Short Position Reporting) Rules
May 2011
Consultation Paper on Proposed Amendments to the Securities and Futures (Financial Resources) Rules
May 2011
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Jul 2017
Consultation Conclusions and Further Consultation on Proposed Changes to the Securities and Futures (Financial Resources) Rules
Feb 2011
Consultation Paper on Proposed Amendments to Specified Stock and Futures Exchanges
Mar 2011
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May 2012
Consultation Conclusions on Proposed Amendments to Specified Stock and Futures Exchanges
Dec 2010
Joint Consultation Paper on Proposed Changes to Property Valuation Requirements
Dec 2010
View responses
Oct 2011
Joint Consultation Conclusions on Proposed Changes to Property Valuation Requirements
Oct 2010
Consultation Paper on the Evidential Requirements under the Securities and Futures (Professional Investor) Rules
Oct 2010
View responses
Feb 2011
Consultation Conclusions on the Evidential Requirements under the Securities and Futures (Professional Investor) Rules
Sep 2010
Consultation Paper on the Regulatory Framework for Pre-deal Research
Oct 2010
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Jun 2011
Consultation Conclusions on the Regulatory Framework for Pre-deal Research
Jul 2010
Consultation Paper Concerning the Regulatory Oversight of Credit Rating Agencies
Aug 2010
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Oct 2010
Consultation Conclusions Concerning the Regulatory Oversight of Credit Rating Agencies
Apr 2010
Consultation Paper on (1) the proposal to stop commenting on routine announcements under the Codes on Takeovers and Mergers and Share Repurchases and (2) proposed miscellaneous amendments to the Codes
Apr 2010
View responses
Jun 2010
Consultation Conclusions on (1) the proposal to stop commenting on routine announcements under the Codes on Takeovers and Mergers and Share Repurchases and (2) proposed miscellaneous amendments to the Codes
Mar 2010
Consultation Paper on the Draft Guidelines on Disclosure of Inside Information
Apr 2010
View responses
Feb 2011
Consultation Conclusions on the Draft Guidelines on Disclosure of Inside Information
Jan 2010
Consultation Paper on (1) the proposal to extend the application of the Codes on Takeovers and Mergers and Share Repurchases to SFC-authorised real estate investment trusts and related amendments and (2) the proposal to extend Parts XIII to XV of the Securities and Futures Ordinance to listed collective investment schemes
Mar 2010
View responses
Jun 2010
Consultation Conclusions on (1) the proposal to extend the application of the Codes on Takeovers and Mergers and Share Repurchases to SFC-authorised real estate investment trusts and related amendments and (2) the proposal to extend Parts XIII to XV of the Securities and Futures Ordinance to listed collective investment schemes
Dec 2009
Joint consultation paper on a proposed operational model for implementing a scripless securities market in Hong Kong
Jan 2010
View responses
Sep 2010
Joint Consultation Conclusions on a proposed operational model for implementing a scripless securities market in Hong Kong
Oct 2009
Consultation paper on Possible Reforms to the Prospectus Regime in the Companies Ordinance and the Offers of Investments Regime in the Securities and Futures Ordinance
Nov 2009
View responses
Apr 2010
Consultation Conclusions on Possible Reforms to the Prospectus Regime in the Companies Ordinance and the Offers of Investments Regime in the Securities and Futures Ordinance
Sep 2009
Consultation Paper on Proposals to Enhance Protection for the Investing Public
Sep 2009
View responses
May 2010
Consultation Conclusions on Proposals to Enhance Protection for the Investing Public (full paper)
Jul 2009
Consultation on increasing short position transparency
Aug 2009
View responses
Mar 2010
Consultation Conclusions on Increasing Short Position Transparency
Feb 2009
Consultation paper on proposed changes to the definition of "dealing in futures contracts"
Mar 2009
View responses
Jul 2009
Consultation conclusions paper: Proposed amendments to allow remote participants in the futures market
May 2008
Consultation Paper on the Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
May 2008
View responses
Oct 2008
Consultation Conclusions on the Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Apr 2008
Joint Consultation Paper on the Proposal to allow a Companies Ordinance (CO) Offeror to issue a CO Paper Application Form for Shares in or Debentures of a Company to be listed on SEHK, and a Collective Investment Scheme (CIS) Offeror to supply a CIS Paper Application Form for Interests in an SFC-authorised CIS to be listed on SEHK, with a Listing Document Displayed on Certain Websites
Apr 2008
View responses
Nov 2010
Joint Consultation Conclusions on the Proposal to allow a Companies Ordinance (CO) Offeror to issue a CO Paper Application Form for Shares in or Debentures of a Company to be listed on the SEHK, and a Collective Investment Scheme (CIS) Offeror to supply a CIS Paper Application Form for Interests in an SFC-authorised CIS to be listed on the SEHK, with a Listing Document Displayed on Certain Websites
Jan 2008
Consultation Paper on the Proposed Streamlining of the Pre-Vetting of Notices and Advertisements of Relevant Authorised Collective Investment Schemes
Feb 2008
View responses
Jun 2008
Consultation Conclusions on the Proposed Streamlining of the Pre-Vetting of Notices and Advertisements of Relevant Authorised Collective Investment Schemes
Nov 2007
A Consultation Paper on the Proposal to Mandate Electronic Submission of Disclosure of Interests Notices
Dec 2007
View responses
Apr 2008
Consultation Conclusions on the Proposal to Make Electronic Submission of Disclosure of Interests Notices Mandatory Hong Kong
Nov 2007
Consultation Paper on Electronic Submission of Finanical Returns
Nov 2007
View responses
Mar 2008
Consultation Conclusion on Electronic Submission of Finanical Returns
Nov 2007
Consultation Paper on Proposed Amendments to the Introduction to the Codes on Takeovers and Mergers and Share Repurchases and Proposed New Procedures for Hearings Under the Codes
Dec 2007
View responses
Mar 2008
Consultation Conclusions on Proposed Amendments to the Introduction to the Codes on Takeovers and Mergers and Share Repurchases and Proposed Procedures for Hearings Under the Codes
Sep 2007
Consultation Paper on Proposed Amendments to the Codes on Takeovers and Mergers and Share Repurchases
Nov 2007
View responses
Jun 2008
Consultation Conclusions on proposed amendments to the Codes on Takeovers and Mergers and Share Repurchases
May 2007
A Consultation Paper on Proposed Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and Proposed Corresponding Amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Jun 2007
View responses
Sep 2007
Consultation Conclusions on Proposed Amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and Proposed Corresponding Amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Mar 2006
The draft Guidelines on Marketing Materials for Listed Structured Products set out in the Hong Kong's Derivative Warrants Market - the Way Forward, Results of the Consultation on the SFC's Six-Point Plan
Apr 2006
View responses
Sep 2006
Consultations Conclusions on the Draft Guidelines on Marketing Materials for Listed Structured Products
Nov 2005
A Healthy Market for Informed Investors - A Report on the Derivative Warrants Market in Hong Kong
Dec 2005
View responses
Mar 2006
Hong Kong's Derivative Warrants Market - the Way Forward, Results of the Consultation on the SFC's Six-Point Plan
Aug 2005
Consultation Paper on Possible Reforms to the Prospectus Regime in the Companies Ordinance
Sep 2005
View responses
Sep 2006
Consultation Conclusions on the Consultation Paper on Possible Reforms to the Prospectus Regime in the Companies Ordinance
Jun 2005
Consultation Paper on the Regulation of Sponsors and Compliance Advisers
Aug 2005
View responses
Apr 2006
Consultation Conclusions to the Consultation Paper on the Regulation of Sponsors and Compliance Advisers
May 2005
Consultation Paper on the Review of Chapter 8.7 of the Code on Unit Trusts and Mutual Funds
Jun 2005
View responses
Sep 2005
Consultation Conclusions on Consultation Paper on the Review of Chapter 8.7 of the Code on Unit Trusts and Mutual Funds
Apr 2005
Consultation Paper on the Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note
May 2005
View responses
Oct 2005
Consultation Conclusions on the Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note
Mar 2005
Consultation Paper on Draft Practice Note on Overseas Investments by SFC-Authorised Real Estate Investment Trusts
Apr 2005
View responses
Jun 2005
Consultation Conclusions on Draft Practice Note on Overseas Investments by SFC-authorised Real Estate Investment Trusts
Feb 2005
Consultation Paper on Investments in Real Estate Investment Trusts by Collective Investment Schemes Authorised under the Code on Unit Trusts and Mutual Funds
Mar 2005
View responses
Apr 2005
Consultation Conclusions on Investments in Real Estate Investment Trusts by Collective Investment Schemes Authorised under the Code on Unit Trusts and Mutual Funds
Feb 2005
Consultation Paper on Proposed Amendments to Schedule 5 to the Securities and Futures Ordinance
Mar 2005
View responses
Sep 2005
Consultation Conclusions on Proposed Amendments to Schedule 5 to the Securities and Futures Ordinance
Jan 2005
Consultation Paper on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance
Feb 2005
View responses
May 2005
Consultation Conclusions on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance
Jan 2005
A Consultation Paper on Proposed Amendments to the Securities and Futures (Stock Market Listing) Rules
Feb 2005
View responses
Feb 2007
Consultation Conclusions on Proposed Amendments to the Securities and Futures
Dec 2004
A Consultation Paper on the Review of the Level and Funding of the Investor Compensation Fund, Broker Defaults since 1998 and the Operation of the Investor Compensation Arrangements
Jan 2005
View responses
Mar 2005
Consultation Conclusions on the Review of the Level and Funding of the Investor Compensation Fund, Broker Defaults since 1998 and the Operation of the Investor Compensation Arrangements
Nov 2004
A Consultation Paper on a review of the Codes on Takeovers and Mergers and Share Repurchases
Jan 2005
View responses
Aug 2005
Consultation Conclusions on a Review of the Codes on Takeovers and Mergers and Share Repurchases
Sep 2004
Consultation Paper on Proposed Measures to Address Risks Arising from Securities Margin Financing
Oct 2004
View responses
Apr 2006
Consultation Conclusions on Proposed Measures to Address Risks Arising from Securities Margin Financing
Aug 2004
Consultation Paper on the Proposed Repeal of Certain Class Exemptions made under section 38A(2)/342A(2) of the Companies Ordinance
Aug 2004
View responses
Nov 2004
Consultation Conclusions on the Proposed Repeal of Certain Class Exemptions made under section 38A(2)/342A(2) of the Companies Ordinance
Mar 2004
Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest
Apr 2004
View responses
Nov 2004
Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest
Oct 2003
Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges
Nov 2003
View responses
Nov 2004
Consultation Conclusions on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges
Sep 2003
Securities and Futures Ordinance - Consultation on the Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003 and proposed revisions to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Sep 2003
View responses
Mar 2004
Consultation Conclusions on the Securities and Futures (Contracts Limits and Reportable Positions)(Amendment) Rules 2003 and proposed amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Jul 2003
Consultation Paper on a Proposed Amendment to the Securities and Futures (Price Stabilizing) Rules in Relation to Recognition of Overseas Rules
Oct 2003
View responses
Nov 2003
Consultation Conclusions on a Proposed Amendment to the Securities and Futures (Price Stabilizing) Rules in Relation to Recognition of Overseas Rules
May 2003
Consultation Paper on Regulation of Sponsors and Independent Financial Advisers
- - Oct 2004
Consultation Conclusions on the Regulation of Sponsors and Independent Financial Advisers
May 2003
Consultation Paper on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Action on Behalf of a Company
Jun 2003
View responses
Nov 2003
Consultation Conclusions on the Proposal to Empower the Securities and Futures Commission to Initiate a Derivative Actions
Mar 2003
Consultation Paper on the Draft Guidelines for Regulating Index Tracking Exchange Traded Funds Under the Code on Unit Trusts and Mutual Funds
Apr 2003
View responses
Oct 2003
Consultation Conclusions on the Draft Guidelines for Regulating Index Tracking Exchange Traded Funds under the Code on Unit Trusts and Mutual Funds
Mar 2003
Consultation Paper on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures
Mar 2003
View responses
Nov 2003
Consultation Conclusions on Proposed Amendments to the Companies Ordinance to Facilitate Offers of Shares and Debentures
Mar 2003
Consultation Paper on the Draft Code on Real Estate Investment Trusts
Mar 2003
View responses
Jul 2003
Consultation Conclusions on The Draft Code on Real Estate Investment Trusts
Jan 2003
Consultation Paper on the Proposed Revisions to the Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering
Feb 2003
View responses
Apr 2003
Consultation Conclusions on the Draft Guidelines for Persons Using the Internet to Collect Applications for Securities in a Public Offering
Jan 2003
Consultation Paper on the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Feb 2003
View responses
Mar 2003
Consultation Conclusions on the Guidance Note on Position Limits and Large Open Position Reporting Requirements
Jan 2003
Consultation Document on the Proposed Revisions to the Guidance Notes Issued by the Securities and Futures Commission on Money Laundering
- - Mar 2003
Consultation Conclusions on the Proposed Revisions to the Guidance Note Issued by the Securities and Futures Commission on Money Laundering
Nov 2002
Consultation Document on the Proposed Revisions to the Code of Conduct for Persons Registered with the Securities and Futures Commission
Dec 2002
View responses
Feb 2003
Consultation Conclusions on the Proposed Revisions to the Code of Conduct for Persons Registered with the Securities and Futures Commission
Sep 2002
Consultation Paper on Hedge Funds Reporting Requirements Guidelines on Hedge Funds Reporting Requirements
Sep 2002
View responses
Nov 2002
Consultation Conclusions on the Hedge Funds Reporting Requirements
Aug 2002
Consultation Paper on the Securities and Futures (Amendments of Schedule 8) Orders
- - Sep 2002
Consultation Conclusions on the Draft Securities and Futures Ordinance (Amendments of Schedule 8) Order
Jul 2002
Consultation Paper on the Draft Securities and Futures (Fees) Rules
- - Sep 2002
Consultation Conclusions on the Draft Securities and Futures (Fees) Rules
Jul 2002
Consultation Paper on the Draft Securities and Futures (Offences and Penalties) Regulations
Aug 2002
View responses
Sep 2002
Consultation Conclusions on the Draft Securities and Futures (Offences and Penalties) Regulations
Jul 2002
Consultation Paper on the Securities and Futures (Intermediary Information) Rules
Aug 2002
View responses
Sep 2002
Consultation Conclusions on the Draft Securities and Futures (Intermediary Information) Rules
Jul 2002
Consultation Paper on the Draft Securities and Futures (Miscellaneous) Rules
- - Sep 2002
Consultation Conclusions on the Draft Securities and Futures (Miscellaneous) Rules
Jun 2002
Consultation Paper on the Draft Securities and Futures (Insurance) Rules
Jul 2002
View responses
Sep 2002
Consultation Conclusions on the Draft Securities and Futures (Insurance) Rules
Jun 2002
Consultation Paper on the Securities and Futures (Financial Resources) Rules
Jun 2002
View responses
Oct 2002
Consultation Conclusions on the Draft Securities and Futures (Financial Resources) Rules
Jun 2002
Consultation on Draft Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
Jun 2002
View responses
Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
May 2002
Consultation Paper on the Securities and Futures (Short Selling Exemption and Stock Lending) Rules
Jun 2002
View responses
Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Short Selling Exemption and Stock Lending) Rules
May 2002
Consultation Paper on the Securities and Futures (Disclosure of Interests - Exclusions) Regulation
Jul 2002
View responses
Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Exclusions) Regulation
May 2002
Consultation Paper on the Proposed Stock Market Listing Rules and Transfer of Functions Order
Jul 2002
View responses
Jul 2002
Consultation Conclusions on the Securities and Futures (Stock Market Listing) Rules and the Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
Apr 2002
Consultation Paper on the Securities and Futures (Levy) Order and the Securities and Futures (Levy) Rules
- - Jun 2002
Consultation Conclusions on the Securities and Futures (Levy) Order and the Securities and Futures (Levy) Rules
Mar 2002
Consultation Paper on the Securities and Futures (Gold Purchase) Notice
Apr 2002
View responses
Jun 2002
Consultation Conclusions on the Draft Securities and Futures (Gold Purchase) Notice
Mar 2002
Consultation Paper on the Securities and Futures (Associated Entities) Rules
- - May 2002
Consultation Conclusions on the Draft Securities and Futures (Associated Entities) Rules
Mar 2002
Consultation Paper on the Securities and Futures (Information) Rules
Apr 2002
View responses
Apr 2002
Consultation Conclusions on the Draft Securities and Futures (Information) Rules
Mar 2002
Consultation Document on Proposed Licensing Fees Under the Securities and Futures (Fees) Rules
Apr 2002
View responses
Jul 2002
Consultation Conclusions on the Proposed Licensing Fees under the Securities and Futures (Fees) Rules
Mar 2002
Consultation Document on The Proposed Amendments to the Current Financial Resources Rules
Mar 2002
View responses
May 2002
Consultation Conclusions on the Proposed Amendments to the Financial Resources Rules made under section 28 of the Securities and Futures Commission Ordinance (Cap. 24)
Mar 2002
A Consultation Paper on i) Securities and Futures (Investor Compensation) Rules, ii) Securities and Futures (Investor Compensation - Compensation Limits) Rules, iii) Securities and Futures (Transfer of Functions - Investor Compensation Company) Order, and iv) Securities and Futures (Investor Compensation - Miscellaneous) Rules
- - Jun 2002
Consultation Conclusions on the
i) Securities and Futures (Investor Compensation - Levy) Rules,
ii) Securities and Futures (Investor Compensation - Compensation Limits) Rules,
iii) Securities and Futures (Transfer of Functions - Investor Compensation Company) Order, and
iv) Securities and Futures (Investor Compensation - Claims) Rules
Mar 2002
A Consultation Paper on the Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules
- - Apr 2002
Consultation Conclusion on the Draft Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules
Mar 2002
A Consultation Paper on the Securities and Futures (Contracts Limits and Reportable Positions) Rules
- - Apr 2002
Consultation Conclusions on the Draft Securities and Futures (Contract Limits and Reportable Positions) Rules
Mar 2002
Consultation Paper on the Securities and Futures (Registration of Commission Disciplinary Orders) Rules
- - Jun 2002
Consultation Conclusions on the Securities and Futures (Registration of Commission Disciplinary Orders) Rules
Feb 2002
Consultation Document on the Draft Securities and Futures (Keeping of Records) Rules
- - Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Keeping of Records) Rules
Feb 2002
Consultation Paper on the Draft Securities and Futures (Price Stabilizing) Rules
Apr 2002
View responses
Jul 2002
Consultation Conclusions on the Securities and Futures (Price Stabilizing) Rules
Feb 2002
Consultation Paper on Proposals for a Scripless Securities Market
Apr 2002
View responses
Sep 2003
Consultation Conclusions on Proposals for a Scripless Securities Market
Feb 2002
Consultation Document on the Draft Securities and Futures (Professional Investor) Rules
Feb 2002
View responses
Jun 2002
Consultation Conclusions on the Draft Securities and Futures (Professional Investor) Rules
Dec 2001
Consultation Document on the Draft Securities and Futures (Accounts and Audit) Rules
- - Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Accounts and Audit) Rules
Dec 2001
A Consultation Paper on the Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
Dec 2001
View responses
Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
Nov 2001
Consultation Document on the Draft Securities and Futures (Recognized Counterparty) Rules
Dec 2001
View responses
Apr 2002
Consultation Conclusion on the Draft Securities and Futures (Recognized Counterparty) Rules
Nov 2001
Consultation Document on the draft Securities and Futures (Licensed Persons And Registered Institutions) Rules
Nov 2001
View responses
Apr 2002
Consultation Conclusion on the Draft Securities and Futures (Licensed Persons and Registered Institutions) Rules
Oct 2001
Consultation on the Offering of Hedge Funds
Nov 2001
View responses
May 2002
Consultation Conclusions on the Offering of Hedge Funds
Oct 2001
Consultation Document on the Draft Securities and Futures (Unsolicited Calls - Exclusion) Rules
- - Mar 2002
Consultation Conclusion on the Securities and Futures (Unsolicited Calls - Exclusion) Rules
Sep 2001
Consultation Document on the Draft Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
- - Jun 2002
Consultation Conclusions on the Draft Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
Aug 2001
A Consultation Paper on the Draft Code of Conduct for Share Registrars
- - Oct 2001
Consultation Conclusions on the Draft Code of Conduct for Share Registrars
Jul 2001
A Consultation Paper on Proposed Index Funds Provisions for the Code on Unit Trusts and Mutual Funds
- - Jan 2002
Consultation Conclusions on the Proposed Provisions for Index Funds in the Code on Unit Trusts and Mutual Funds
Apr 2001
Consultation Document on the Draft Securities and Futures (Client Securities) Rules
- - Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Client Securities) Rules
Apr 2001
Consultation Document on the Draft Securities and Futures (Client Money) Rules
- - Jul 2002
Consultation Conclusions on the Draft Securities and Futures (Client Money) Rules
Apr 2001
Consultation Paper on a Review of the Codes on Takeovers and Mergers and Share Repurchases
- - Jan 2002
Consultation Conclusions on a Review of the Codes on Takeovers and Mergers and Share Repurchases
Mar 2001
Consultation Paper on Draft SFC Disciplinary Fining Guidelines
- - Apr 2002
Consultation Conclusions on the Draft SFC Disciplinary Fining Guidelines
Mar 2001
Consultation Paper on Draft Guidelines for the Regulation of Automated Trading Services
- - Feb 2002
Consultation Conclusions on Draft Guidelines for the Regulation of Automated Trading Services
Mar 2001
Proposed New Investor Compensation Arrangements
- - Mar 2002
Consultation Conclusions on Proposed New Investor Compensation Arrangements
Feb 2001
A Consultation Paper on the Securities and Futures Bill - Part XV Forms Proposed for Disclosure of Interests
- - - -
Dec 2000
A Consultation Paper on the Regulation of On-line Trading of Securities and Futures
- - - -
Nov 2000
A Consultation Paper on a CIS Internet Guidance Note (Guidance Notes for Persons Advertising or Offering Collective Investment Schemes on the Internet)
- - May 2001
Consultation Conclusions on the Proposed CIS Internet Guidance Note (Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet)
Sep 2000
A Consultation Paper for the Proposed Revised Code of Conduct for Persons Registered with the Securities and Futures Commission
- - Feb 2001
A Consultation Paper for the Proposed Revised Code of Conduct for Persons Registered with the Securities and Futures Commission - Consultation Conclusion Report
Jul 2000
Consultation Paper on Code of Conduct for Regulated Persons Serving the Professional or Sophisticated Market
- - Feb 2001
Consultation Paper on Code of Conduct for Regulated Persons Serving the Professional or Sophisticated Market: Consultation Conclusions
May 2000
A Consultation Paper for the Proposed Corporate Finance Adviser Code of Conduct
- - Nov 2001
Corporate Finance Adviser Code of Conduct Consultation Conclusions
Apr 2000
Consultation Paper on Securities and Futures Bill
- - - -
Mar 2000
Consultation Paper on Incidental Advice provided by Solicitors and Accountants
- - - -
Mar 2000
Consultation Papers on Competence and Continuous Professional Training
- - Jul 2000
Consultation Conclusion Report on Competence and Continuous Professional Training Requirement
Sep 1999
A Consultation Paper on a Review of the Hong Kong Code on Takeovers and Mergers
- - - -
Jul 1999
Overview Guide to the Proposed Securities and Futures Bill
- - - -
Jun 1999
Consultation Paper on Review of Licensing Regime
- - - -
Nov 1998
A Consultation Paper on Treasury Shares
- - Jul 1999
Consultation Conclusions on Treasury Shares
Sep 1998
A Consultation Paper on New Investor Compensation Arrangements for Hong Kong
- - - -
Jun 1998
Consultation Paper on Proposed Amendments to The Securities (Disclosure of Interests) Ordinance
- - Mar 1999
Consultation Conclusions on Proposed Amendments to The Securities (Disclosure of Interests) Ordinance
May 1998
Outline of Proposed Regulation of Share Margin Financing
- - - -
Feb 1998
Consultation Paper on a Review of the Hong Kong Code on Takeovers and Mergers
- - - -
Sep 1997
Consultation Paper on Fund Manager Code of Conduct
- - - -
Jun 1997
Consultation Paper on Offering Mechanisms
- - Feb 1998
Consultation Paper on Offer Mechanisms : Consultation Conclusions
May 1997
Consultation Paper on Management, Supervision and Internal Control Guidelines for Persons Registered with or Licensed by the Securities and Futures Commission
- - - -
Mar 1997
Consultation Paper on the Review of the Financial Resources Rules
- - - -
Feb 1997
Report of the Securities and Futures Commission Working Group on Automated Trading Systems - Public Consultation
- - - -
Dec 1996
Main Proposed Revisions to a Draft for a Composite Securities and Futures Bill
- - - -
Aug 1996
Consultation Paper on the Review of the Leveraged Foreign Exchange Trading Regulatory System
- - Apr 1997
Response of the Securities and Futures Commission to the Public Consultation on the Review of the Leveraged Foreign Exchange Trading Regulatory System
Apr 1996
A Draft for a Composite Securities and Futures Bill
- - - -
Apr 1996
Consultation Paper on a Draft for a Composite Securities and Futures Bill
- - - -
Jul 1994
Consultation Paper on Cash Commission Rebates and 'Soft Dollar' Benefits
- - Dec 1994
Cash Commission Rebates and 'Soft Dollar' Benefits received by Managers From Brokers - Consultation Conclusion
Nov 1993
Consultation on the draft code of conduct for persons registered with the SFC
- - - -
Jan 1992
A Simplified Outline of the Proposed Financial Resources Rules
- - - -
Jan 1992
Consultative Document on Draft Financial Resources Rules for Securities and Futures Intermediaries in Hong Kong
- - - -
Dec 1991
Offers of Securities and Other Investments - Report of a Working Group
- - - -
Nov 1991
Consultative Document on the Review of Licensing Regime
- - - -
Jan 1990
Review of Policy Relating to Exemptions from the Registration Requirements of the Securities Ordinance
- - - -
Sep 1989
"The Fit and Proper Criteria - A Consultative Document"
- - - -