Home | Securities & Futures Commission of Hong Kong

Regulatory updates Circulars Consultations

8 Dec 2023

SFC issues restriction notice to China International Capital Corporation Hong Kong Securities Limited

7 Dec 2023

SFC highlights key regulatory work and market data in quarterly report

6 Dec 2023

SFC warns public of HongKongDAO and BitCuped for involvement in suspected virtual asset-related frauds

4 Dec 2023

SFC reprimands and fines Ruifeng Securities Limited $5.2 million for fund management and account opening failures and suspends its responsible officer

Regulatory calendar

8 Dec 2023

Circular to intermediaries SFC and HKMA joint product survey 2023

1 Dec 2023

Circular in relation to the clearing and record keeping rules for the OTC derivatives regime – changes to the list of persons designated as financial services providers

30 Nov 2023

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Webinar Materials

14 Nov 2023

Circular to Licensed Corporations, SFC-licensed Virtual Asset Service Providers and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Updated AML/CFT Self-Assessment Checklist

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.

31 Oct 2023

SFC consults further on proposed amendments for implementing an uncertificated securities market

11 Oct 2023

SFC consults on market sounding guidelines

21 Sep 2023

SFC amends takeovers and share buy-backs codes

29 Aug 2023

Regulators conclude consultation on revising OTC derivative Clearing Rules

Licensee search Alerts – full list Investment product list Search regulations by topics

Details

Full list

Details

Search regulations by topics | Details >

Account Opening

Anti-Money Laundering & Counter-Financing of Terrorism

Asset Management

Client Assets

Corporate Finance, Placing and Underwriting

Cybersecurity

Financial Resources Rules

Know Your Client / Client Agreement

Order Handling and Execution

OTC Derivatives

Professional Investors

Risk Management (other than SMF)

Securities Margin Finance ("SMF")

Suitability

Others

Explore Now >

Quick reference guides to licensing requirements

Explore Now >

A common platform for SFC electronic forms and submission services

Explore Now >

apply for a licence

report short positions

make a complaint

verify if a fund is authorised

see if a firm or a person is licensed

find out about disclosure of interests

comment on a consultation

learn about filing financial returns

understand the different SFC licences