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
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
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 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
Mar 2001
Consultation Paper on Draft SFC Disciplinary Fining Guidelines
- - Apr 2002
Consultation Conclusions on the Draft SFC Disciplinary Fining Guidelines