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CircularsList of comparable OTCD jurisdictionsList of jurisdictions with comparable OTCD margin requirementsFAQs
Financial review of the securities industry
Report on the 2019-20 thematic cybersecurity review of internet brokersReport on the Thematic Review of Prime Services and Related Equity DerivativesReport on the review of internal controls for the protection of client assets and supervisionReport on Review of Securities Margin Financing ActivitiesReport on the Thematic Review of Alternative Liquidity Pools in Hong KongReport on the Thematic Review of Licensed Corporations Engaged in Sponsor BusinessReport on the Thematic Review of Best ExecutionReport on fact-finding exercise on retail futures brokersSecond Mystery Shopping Programme FindingsReport on the Thematic Inspection of Selling Practices of Licensed CorporationsMystery Shopping Programme FindingsReport on Sponsor Theme Inspection FindingsReport on Findings of Second Round of Thematic Inspection of Licensed Investment AdvisersReport on Selling Practices of Licensed Investment Advisers
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Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordin
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Rules and standards
Securities and Futures Ordinance (with subsidiary legislation)Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation)
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News and announcements
Career
201016 Temporary Manager - 6 Month contract -Enforcement -Investigation - CFCM9 Oct 2020 - Temporary Legal Executives_Paralegals _Six Month Contract_Legal Services29 Sep 2020 - Manager_Intermediaries Supervision_Intermediaries25 Sep 2020 - Manager - Press Office25 Sep 2020 - Clerk25 Sep 2020 - Temporary Legal Executives25 Sep 2020 - Manager - Information Technology18 Sep 2020 - Legal Executives18 Sep 2020 - Temporary Senior Administrator11 Sep 2020 - Executive Director - Legal Services11 Sep 2020 - Associate Director Senior Manager11 Sep 2020 - Temporary Data Analyst11 September 2020 - Temporary Legal Executives11 September 2020 - Executive Director11 September 2020 - Associate Director Senior Manager11 September 2020 -Temporary Data Analyst9 Sep 2020 - Clerk - Enforcement4 September 2020 - Senior Administrator - Human Resources28 August 2020 - Temporary Clerk 6-Month Contract - Intermediaries Supervision28 August 2020 - Temporary Senior Administrator24 Aug 2020 - Manager - Intermediaries Supervision14 August 2020 - Manager Intermediary Misconduct Team7 August 2020 - Senior Administrator Administrator - Human Resources Learning Development7 August 2020 - Manager Assistant Manager7 August 2020 - Temporary Secretary 6-Month Contract7 August 2020 - Temporary Senior Administrator 6-Month contract - Human Resources Compensation31 July 2020 - Manager - Intermediaries Supervision Off-site monitoring Hong Kong Asian31 July 2020 - Manager Assistant Manager - Intermediaries SupervisionManager - Press Office, CEO's Office & Central Services20 June 2020 - Temporary Legal Executives 1-year contract - EnforcementSenior Manager (Basel model risk specialist) - Intermediaries Supervision, IntermediariesManager - Intermediaries SupervisionSenior Administrator - Human Resources (Compensation & Benefits), Corporate AffairsManager - Press Office, CEO's Office & Central ServicesAssistant Manager – Corporate FinanceTemporary Legal Executives (1-year contract) - EnforcementSenior Manager (Basel model risk specialist) - Intermediaries SupervisionSenior Administrator - Human Resources (Compensation & Benefits), Corporate AffairsManager - Intermediaries SupervisionTemporary Legal Executive / Paralegal (6-Month Contract) - Investment ProductsTemporary Clerk (3-Month Contract) - EnforcementSenior Manager - Human ResourcesPlacement Intern (12-Month Contract) - External RelationsAssistant Manager - Enforcement (Surveillance - Market Misconduct Team)
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Last update: 23 Sep 2020