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Corporates
Dual filing
Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions
Corporate disclosure
Guidelines on Disclosure of Inside Information
Consultation service
Waiver
Takeovers and mergers
Dealing disclosures
Decisions and statements
Disciplinary proceedings
Documents on display
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Offer periods
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Secondary listed companies
Takeovers Panel and related committees
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Takeovers Bulletin
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Unlisted shares, debentures
Circulars
Consultations and conclusions
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Intermediaries
Licensing
Do you need a licence or registration?
Types of intermediary and licensed individual
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Ongoing obligations
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Register of licensees & registered institutions
List of modifications or waivers of licensing requirements
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Supervision
Supervisory approach
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List of comparable OTCD jurisdictions
List of jurisdictions with comparable OTCD margin requirements
FAQs
Circulars
Consultations and conclusions
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Search regulations by topic
Products
List of publicly offered investment products
Specific information about unlisted structured investment products
Mutual recognition of funds arrangements
List of recognised jurisdiction schemes and inspection regimes
Products Key Facts Statements (KFS)
Format of Illustration Document for ILAS
Information Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
List of ESG funds
Circulars
Open-ended fund companies
OFC Structure
Regulatory requirements
List of Registered OFCs
Post-registration matters
Useful materials
Consultations and conclusions
Real estate investment trusts
Circular
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FAQs
Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
Forms & checklists
List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)
Markets
Market statistics and research
Statistics
Research papers
Approved or authorised entities
Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance
List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance
Short position reporting
List of specified shares
Aggregated reportable short positions of specified shares
OTC derivatives regulatory regime
Mainland-Hong Kong Stock Connect
Consultations and conclusions
FAQs
Enforcement
Disciplinary proceedings
Secrecy provisions
Enforcement actions
Enforcement news
Current cold shoulder orders
Current disqualification orders
Enforcement statistics
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Quick reference guides to licensing requirements
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Last update: 2 Sep 2024
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