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Regulatory updates Circulars Consultations

7 Jun 2023

SFC issues restriction notice to Global Group Securities Limited

6 Jun 2023

SFC bans Xie Yangxiong for life

6 Jun 2023

SFC updates guidance to prepare for HKD-RMB Dual Counter Model

5 Jun 2023

SFC concludes consultation on the position limit regime

Regulatory calendar

31 May 2023

Circular on transitional arrangements of the new licensing regime for virtual asset trading platforms

31 May 2023

Circular on implementation of new licensing regime for virtual asset trading platforms

25 May 2023

Circular to Licensed Corporations and Associated Entities Revised financial return form, analysis of client assets for associated entity and audit questionnaire

24 May 2023

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Amendments to Anti-Money Laundering and Counter-Financing of Terrorism Guidelines

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.

21 Apr 2023

Consultation on annual update to Financial Services Providers list under OTC derivatives regulatory regime

14 Apr 2023

SFC welcomes Stock Exchange consultation on climate-related reporting requirements for listed companies

27 Mar 2023

SFC consults on proposed subsidiary legislation for implementing an uncertificated securities market in Hong Kong

24 Mar 2023

SFC concludes consultation on introduction of new regulated activity for depositaries of public funds

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