Supervision
To supervise intermediaries operating in the market, we:
- Conduct on-site reviews and off-site monitoring to:
- ascertain and supervise intermediaries' business conduct and compliance with relevant regulatory requirements
- assess and monitor the financial soundness of intermediaries
- Process applications for approval, waiver or modification of various requirements relevant to intermediaries
- Maintain communication with intermediaries and the industry on relevant policy and regulatory issues
Please click on the links below to find out more:
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An outline of our supervisory philosophy towards intermediaries, including detailed papers that describe the regulatory framework and supervisory approach |
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An outline of what we do in supervising licensed corporations. |
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Modifications or waivers granted to intermediaries in respect of the requirements of various subsidiary legislations made under the Securities and Futures Ordinance |
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Reports and reviews resulting from our supervisory work |
Last update: 31 Jan 2022