Sitemap
HomeAbout the SFC
Regulatory functions
Unlisted shares, debenturesCircularsConsultations and conclusionsFAQs
OTC derivatives regulatory regimeMainland-Hong Kong Stock ConnectConsultations and conclusionsFAQs
Advisory CommitteeAcademic and Accreditation Advisory CommitteeCommittee on Real Estate Investment TrustsDisciplinary Chair CommitteeInvestor Compensation Fund CommitteeNominations CommitteeProducts Advisory CommitteePublic Shareholders GroupSecurities Compensation Fund CommitteeSFC (HKEC Listing) CommitteeSFC (HKEC Listing) Appeals CommitteeShare Registrars' Disciplinary Appeals CommitteeShare Registrars' Disciplinary CommitteeTakeovers and Mergers PanelTakeovers Appeal Committee
Executive Committee
Mainland-Hong Kong Stock ConnectMainland-Hong Kong Mutual Recognition of FundsCooperative arrangements with the CSRC and Mainland exchangesCooperative arrangements with other Mainland regulatorsWealth Management Connect
Local
Takeovers and Mergers Panel and Takeovers Appeal Committee decisions and statements (full version)Executive decisions and statements
Disciplinary proceedingsDocuments on display
Offer periodsPractice notesPerformance PledgesPost-vet listSecondary listed companiesTakeovers Panel and related committeesTransaction announcements and documentsTakeovers BulletinFormsConsultations and Conclusions
Do you need a licence or registration?Types of intermediary and licensed individualApplication proceduresOngoing obligations
WINGS
Obtaining a printed licence recordImportant Legal Information about the Public Register of Licensed Persons and Registered Institutions
List of modifications or waivers of licensing requirementsCircularsConsultations and conclusionsFormsFAQs
Supervisory approachSupervisory actions
Securities and Futures (Financial Resources) RulesSecurities and Futures (Professional Investor) RulesSecurities and Futures (Contract Notes, Statements of Account and Receipts) RulesSecurities and Futures (Financial Resources) RulesSecurities and Futures (Professional Investor) RulesSecurities and Futures (Contract Notes, Statements of Account and Receipts) Rules
CircularsList of comparable OTCD jurisdictionsList of jurisdictions with comparable OTCD margin requirementsFAQs
Financial review of the securities industryReports on findings of thematic inspection/review
Report on the operational and remote booking risks of trading activities and data risksReport on the 2019-20 thematic cybersecurity review of internet brokersReport on the SFC review of global financial groups foreign exchange activities in Hong KongReport 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
Reports of the survey on hedge fund activities of SFC-licensed managers/advisers
Account OpeningAnti-Money Laundering & Counter-Financing of TerrorismAsset ManagementClient AssetsCorporate Finance, Placing and UnderwritingCybersecurityFinancial Resources RulesKnow Your Client / Client AgreementOrder Handling and ExecutionOTC DerivativesProfessional InvestorsRisk Management (other than SMF)Securities Margin Finance ("SMF")SuitabilityOthers
Consultations and conclusionsForms
Specific information about unlisted structured investment productsMutual recognition of funds arrangementsList of recognised jurisdiction schemes and inspection regimesProducts Key Facts Statements (KFS)Format of Illustration Document for ILASInformation Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
List of ESG fundsCirculars
OFC StructureRegulatory requirementsList of Registered OFCs Post-registration mattersUseful materials
Consultations and conclusionsForms & checklists
FAQsGrant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordin
List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance
Disciplinary proceedingsSecrecy provisions
Upcoming hearings calendarCircularsConsultations and conclusions
Rules and standards
Securities and Futures Ordinance (with subsidiary legislation)Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation)
Regulatory requirementsAcceptable account opening approachesList of eligible jurisdictions for remote onboarding of overseas individual clients
Published resources
Join us as an Executive Trainee
Working at the SFCCore values
Annual reportsQuarterly reportCorporate brochureOpen-ended Fund Company: The corporate investment fund vehicle in Hong Kong
Enforcement ReporterSFC Compliance Bulletin: IntermediariesSFC Regulatory BulletinTakeovers Bulletin
News and announcements
Career
230602 Senior Secretary_Secretary - Secretariat and External_CEOO and Central Services230602 Executive Director - Intermediaries230602 Administrator - Planning and Administration_Corporate Affairs230602 Temporary Project Manager_12-Month Contract - Investor and Financial Education Council230525 Senior Receptionist - Planning and Administration_Corporate Affairs230525 Senior Secretary_Secretary - Supervision of Markets230512 Senior Manager - Intermediaries Supervision_Intermediaries230512 Temporary Senior Secretary_Commission Secretariat_CEOO and Central Services_6-month contract230512 Manager_Enforcement_Discipline - Intermediary Misconduct Team230505 Temporary Manager _2-Year Contract - Enforcement _Digital Forensic Team230505 Temporary Senior Manager _2-Year Contract - Enforcement _Digital Forensic Team230505 Temporary Assistant _12-month contract - HR _Learning Development230421 Counsel_Assistant Counsel_Legislative Drafting - Legal Services230421 Senior Manager - Complaints Team_Corporate Affairs230421 Manager - Investment Products_Structured Products230414 Legal Executives - Legal Services230414 Temporary Clerk _6-Month Contract - Corporate Finance230414 Temporary Management Associate - Supervision of Markets_Market Analysis230406 Chauffeur - Planning and Administration_Corporate Affairs230331 Temporary Assistant Manager_Campaign and Digital Marketing_3-4 Month Contract - IFEC230331 Manager - Investment Products230331 Part-time Web Administrator_1-Year Contract- Investor and Financial Education Council230303 Temporary Senior Administrator_Administrator 12-month contract - HR _Learning Development230228 Temporary Management Associate_2-Year Contract - Investment Products230224 Senior Manager - Enforcement230224 Assistant Manager_Press Office_CEOO230222 Senior Administrator - Human Resources_Corporate Affairs230217 Management Associate - Corporate Finance_IPO Transaction Team230217 Manager - Corporate Finance - IPO Transaction Team230217 Temporary Senior Manager_Manager_2-Year Contract_Corporate Finance230207 Senior Manager - Supervision of Markets230203 Assistant 12-month Contract - Human Resources_Corporate Affairs230203 Clerk - Enforcement230120 Temporary Legal Executives_Paralegals_6-Month Contract- Legal Services230120 Temporary Legal Executives - Enforcement230120 Manager_Assistant Manager - Complaints Team_Corporate Affairs230113 Manager_Assistant Manager - IS_Off-site monitoring_Hong Kong Asian_Intermediaries230113 Temporary Legal Executives_Paralegals_12-Month Contract- Legal Services230113 Temporary Manager_2-Year Contract - Enforcement_CFCM230113 Manager - Intermediaries Supervision_Intermediaries230113 Clerk _ Intermediaries Supervision_ Intermediaries230113 Assistant Manager - Investment Products230113 Manager - Investment Products230110 Manager - IS_Off-site monitoring_Hong Kong Asian_Intermediaries230119 Temporary Legal Executives - Enforcement230106 Senior Manager_Basel Capital and Risk Models Team_Intermediaries Supervision_Intermediaries230106 Senior Manager_Suptech - Intermediaries Supervision_Intermediaries230106 Senior Manager - Corporate Finance_IPO Policy Team230106 Senior Secretary - Enforcement230106 Translator - Finance_Translation Team_Corporate Affairs230106 Temporary Senior Administrator_12-Month Contract-Human Resources_CB-CA230106 Manager - Intermediaries Supervision_Intermediaries230106 Temporary Manager_2-Year Contract_Intermediaries Supervision_Intermediaries230106 Manager - Intermediaries Supervision_Greater China_Intermediaries230106 Temporary Clerk_6-Month Contract - Planning and Administration_Corporate Affairs221223 Senior Secretary - Enforcement221223 Manager_Press Office_CEOO221216 Clerk - Enforcement221212 Senior Director - Enforcement_Market Misconduct221209 Assistant Manager_Information Technology - Corporate Affairs_Application Services Team221209 Manager - Intermediaries Supervision_Intermediaries221209 Temporary Manager_2-Year Contract_Intermediaries Supervision_Intermediaries221207 Management Associate - Enforcement_Corporate Fraud and Corporate Misfeasance Team221202 Temporary Legal Executive_6-Month Contract- Corporate Finance221202 Manager - Enforcement_Discipline - Intermediary Misconduct Team221123 Assistant Counsel_Advisory - Legal Services221118 Management Associate - Enforcement_Corporate Fraud and Corporate Misfeasance Team221111 Senior Manager - Supervision of Markets221103 Temporary Secretary_6-Month Contract_Legal Services221028 Manager - Intermediaries Supervision_Greater China_Intermediaries221014 Assistant Manager_Information Technology - Corporate Affairs220930 Director - Supervision of Markets220930 Manager - Investor and Financial Education Council_Innovation and Partnerships220930 Assistant Manager - Enforcement_CFCM220930 Administrator - Licensing_Intermediaries220923 Manager - Intermediaries Supervision_Intermediaries220916 Chief Executive Officer220905 Manager - Enforcement_CFCM220902 Manager - Corporate Finance - IPO Transaction Team220902 Clerk - Corporate Finance220826 Associate Director_Corporate Finance - IPO Transaction Team220812 Manager_Information Technology_IT Infrastructure - Corporate Affairs220812 Manager_Assistant Manager - Complaints Team_Corporate Affairs220809 Temporary Senior Manager_Manager_2-Year Contract - Licensing_Fintech Unit_Intermediaries220805 Manager - Intermediaries Supervision_Off-site monitoring_Hong Kong Asian_Intermediaries220729 Temporary Data Analyst _12-Month Contract - Data Analytics Group_Supervision of Markets220729 Manager_Data Analytics Group_Supervision of Markets220722 Temporary Assistant_1-Year Contract - Licensing_Intermediaries220715 Manager_External Relations_CEOO220715 Manager - Corporate Finance_IPO Policy Team220715 Manager_Assistant Manager - Information Technology - Corporate Affairs220715 Assistant Manager_Mainland Affairs_CEOO220715 Temporary Manager_2-Year Contract - Enforcement_Investigation - IMT220715 Temporary Legal Executive_2-Year Contract - Enforcement_Discipline - IMT220708 Senior Manager - Corporate Finance_IPO Policy Team220708 Temporary Secretary_6-Month Contract - Corporate Finance220708 Temporary Management Associate_2-Year Contract - Investment Products220708 Temporary Manager_2-Year Contract - Investment Products220708 Temporary Manager_2-Year Contract - Enforcement_CFCM220708 Temporary Manager_2-Year Contract - Enforcement_ICEP220708 Temporary Manager_2-Year Contract - Enforcement_Special Operations - Market Misconduct Team220708 Temporary Manager_2-Year Contract-Enforcement_EMS - Market Misconduct Team220708 Temporary Senior Manager_2-Year Contract-Enforcement_Special Operations - MMT220708 Temporary Senior Manager_2-Year Contract_Enforcement_EMS - Market Misconduct Team220708 Temporary Senior Manager_Manager_2-Year Contract_Corporate Finance220708 Temporary Manager_2-Year Contract_Licensing_Data Analytics_Intermediaries220630 Manager - Enforcement _Surveillance - Market Misconduct Team220624 Senior Manager - Enforcement_Investigation - Market Misconduct Team220617 Part-time Web Administrator_1-Year Contract- Investor and Financial Education Council220617 Temporary Clerk_6-Month Contract - Planning and Administration_Corporate Affairs220610 Manager - Licensing_Intermediaries220610 Manager - Information Technology - Corporate Affairs_IT Infrastructure220610 Senior Manager - Information Technology_Corporate Affairs220610 Temporary Administrator_6-Month Contract_Human Resources-CA220601 Senior Secretary_Secretary - Supervision of Markets220527 Manager_Assistant Manager - Investment Products_Structured Products220527 Temporary Assistant - Human Resources_Compensation and Benefits_CA220527 Senior Secretary_Secretary-International Affairs and Sustainable Finance_CEOO220527 Translator - Finance_Translation Team_Corporate Affairs220527 Assistant Counsel_Litigation - Legal Services220527 Temporary Senior Administrator_12-Month Contract-Human Resources_CB-CA220524 Manager - Investment Products220524 Assistant Manager - Investment Products220516 Temporary Legal Executive_6-Month Contract- Corporate Finance220513 Executive Director - Legal Services220506 Assistant Manager - Enforcement_Surveillance - Market Misconduct Team220506 Management Associate - Enforcement_Surveillance - Market Misconduct Team220506 Manager - Enforcement_Special Operations - Market Misconduct Team220506 Manager - Enforcement _Surveillance - Market Misconduct Team220503 Manager - Enforcement_Discipline - Intermediary Misconduct Team220429 Assistant Manager - Commission Secretariat _CEOs Office and Central Services220429 Manager - Intermediaries Supervision_Intermediaries_Inspection - Sponsor Team220429 Temporary Manager_1-Year Contract- Enforcement _Investigation - CFCM220429 Director - Finance_Corporate Affairs220425 Manager - Supervision of Markets220422 Manager - Intermediaries Supervision_Intermediaries_Off-site monitoring_Asset Management220422 Manager - Investment Products220422 Temporary Clerk - Corporate Finance220422 Temporary Manager_1-Year Contract - Licensing_Intermediaries220414 Manager - Corporate Finance_IPO Transaction Team220414 Administrator - IEFC220414 Temporary Administrator 3-Month Contract - IEFC220414 Senior Manager_Suptech - Intermediaries Supervision_Intermediaries220414 Manager - Corporate Finance _IPO Policy Team220411 Manager-Corporate Finance_Debt Securities Team220408 Manager - Supervision of Markets_Market Analysis220408 Clerk - Investment Products220401 Officer - Communications_CEOO220328 Assistant Manager - Licensing_Intermediaries220321 Part-time Intern_6-Month Contract- Planning and Administration_Corporate Affairs220318 Temporary Assistant Manager_5-Month Contract - Finance_Corporate Affairs220318 Temporary Receptionist_12-Month Contract - Planning and Administration_Corporate Affairs220318 Manager-Intermediaries Supervision-Sponsor Team_Intermediaries220311 Temporary Legal Executives _Management Associate - Investment Products220304 Manager - Intermediaries Supervision_Greater China_Internal Model_Intermediaries220225 Temporary Administrator - Enforcement220211 Temporary Translator - Finance_Translation Team_Corporate Affairs220211 Temporary Administrator_2-Year Contract-Finance_Translation Team_Corporate Affairs220211 Management Associate - Enforcement _Investigation - Intermediary Misconduct Team220128 Temporary Legal Executives_Paralegals_6-Month Contract- Legal Services220128 Assistant Manager _Supervision of Markets _Market Analysis220128 Manager - Investment Products_Structured Products220121 Temporary Manager Assistant Manager 12-Month Contract - Human Resources CB CA220121 Temporary Manager Assistant Manager 12-Month Contract- Human Resources CA220121 Assistant Manager -Information Technology-Corporate Affairs_Market Data Surveillance220119 Temporary Senior Manager_Manager _1-Year Contract_ Intermediaries Supervision220118 Senior Manager - Intermediaries Supervision_Intermediaries220114 Senior Manager_Basel model risk specialist_Intermediaries Supervision_Intermediaries220114 Manager_Intermediaries Supervision_Intermediaries220114 Clerk _ Intermediaries Supervision_ Intermediaries220114 Temporary Management Associate 6-Month contract - Investment Products220114 Temporary Assistant 12-month Contract - Human Resources_Corporate Affairs220114 Temporary Legal Executives - Enforcement220110 Temporary Administrator - Enforcement220107 Assistant Manager -Information Technology-Corporate Affairs_Application Services Team220107 Clerk - Enforcement220107 Part-time Temporary Administrator 1-year contract - IEFC211210 Executive Director - Enforcement211210 Manager - Communications_CEOO211210 Manager - Supervision of Markets_Market Analysis211210 Assistant Manager_Communications and Resources- IFEC211203 Temporary Manager_1-Year Contract - Licensing_Intermediaries211119 Temporary Assistant 12-month Contract - Human Resources_Corporate Affairs211119 Temporary Administrator - Enforcement211119 Executive Director - Corporate Finance211119 Management Associate - Supervision of Markets_Market Analysis211119 Manager - Enforcement_Surveillance - Market Misconduct Team211126 Clerk _ Intermediaries Supervision_ Intermediaries211126 Management Associate - Enforcement Surveillance - Market Misconduct Team211126 Manager Assistant Manager - Enforcement Special Operations - Market Misconduct Team211126 Manager Assistant Manager - Enforcement Surveillance - Market Misconduct Team211126 Temporary Management Associate 6-Month contract - Investment Products211112 Manager - Data Analytics Group_Supervision of Markets211105 Senior Manager - Intermediaries Supervision_Intermediaries211105 Temporary Data Analyst 12-Month Contract - Data Analytics Group_ Supervision of Markets211105 Assistant Manager - Licensing_Intermediaries211022 Part Time Temporary Assistant _6-Month Contract - HR- CB211018 Temporary Manager 1-Year Contract - Enforcement _Investigation _CFCM211027 Manager - Commission Secretariat _CEOs Office and Central Services211027 Temporary Management Associate 6-Month contract- Investment Products211112 Senior Manager - Head of Investor Education and Communications210930 Clerk - Intermediaries Supervision Intermediaries Inspection Intermediaries210930 Manager - Information Technology_ Corporate Affairs Technical Architect Team210930 Temporary Manager Assistant Manager 12-Month Contract- Human Resources CA210930 Temporary Manager Assistant Manager 12-Month Contract - Human Resources CB CA210924 Secretary - Investment Products _Structured Products210921 Manager - Enforcement_Discipline - Intermediary Misconduct Team210916 Assistant Manager - Enforcement _Investigation - Intermediary Misconduct Team210916 Management Associate - Enforcement _Investigation - Intermediary Misconduct Team210927 Temporary Administrator - Enforcement210827 Manager _ Intermediaries Supervision _Intermediaries210827 Legal Executives_Legal Services210827 Senior Manager_Basel model risk specialist_Intermediaries Supervision_Intermediaries210813 Assistant Manager_Web and Digital- IFEC210813 - Temporary Clerk 4-Month Contract - Intermediaries Supervision210730 Assistant Manager -Information Technology-Corporate Affairs_Application Services Team210730 Translator - Finance_Translation Team_Corporate Affairs210806 Manager - Investment Products_ Structured Products210806 Manager _Intermediaries Supervision_Intermediaries Anti-Money Laundering210806 Temporary Manager_Assistant Manager - Human Resources L_D_12-month contract210903 Temporary Legal Executives 6-12Month Contract - Enforcement210903 Temporary Legal Executives - Enforcement210917 Senior Manager Inspection - Sponsor Team - Intermediaries Supervision Intermediaries210917 Temporary Administrator -Translation Team_Finance_Corporate Affairs210709 Temporary Administrator_Clerk_Assistant_1-Year Contract210709 Temporary Assistant Manager_Management Associate_Legal Executive_1-Year Contract210709 Administrator - Legal Services210707 Temporary Legal Executives_6 months contract_Enforcement210702 Manager - Corporate Finance_IPO Transaction Team210702 Temporary Legal Executives_Paralegals _6-Month Contract - Investment Products210723 Assistant Manager - Data Analytics Group_SOM210723 Assistant Manager - Enforcement _CFCM210723 Assistant Manager - International Affairs _ Sustainable Finance_CEOO210723 Assistant Manager - Investment Products210723 Management Associate - Enforcement CFCM210723 Manager - Enforcement CFCM210723 Manager - Investment Products210723 Temporary Manager - Enforcement Investigation -IMT_6-month contract210625 Manager - Investment Products210625 Assistant Manager - Investment Products210625 Assistant Manager_Communications and Resources- IFEC210625 Manager - Licensing_Intermediaries210625 Counsel - Legal Services210625 Manager - Complaints Team_Corporate Affairs210618 Temporary Assistant_Office Management Team_4-Month Contract- IFEC210616 Part-time Intern_2-3-Month Contract- Planning and Administration_Corporate Affairs210611 Temporary Legal Executives_Paralegals_Six-Month Contract- Legal Services210611 Part-time Intern_6-Month Contract- Planning and Administration_Corporate Affairs210611 Assistant Counsel_Advisory - Legal Services210603 Temporary Assistant_1-Year Contract - Complaints Team_Corporate Affairs210601 Manager - Enforcement_Investigation - Intermediary Misconduct Team210604 Assistant ManagernFintech unit- Licensing_Intermediaries210601 Manager - Investment Products210528 Senior Manager - Enforcement _Investigation - Market Misconduct Team210528 Temporary Legal Executives_Paralegals _6-Month Contract - Investment Products210518 Senior Manager_Head of Innovation and Partnerships - IFEC210514 Manager - Licensing_Intermediaries210414 Manager - Corporate Finance_Post-IPO Case Team210430 Temporary Assistant Manager_12-Month Contract - HR_Learning_Development_Corporate Affairs210430 Temporary Manager_6-Month Contract - HR_Learning_Development_Corporate Affairs210521 Assistant Manager _Supervision of Markets _Market Analysis210521 Management Associate_Intermediaries Supervision_Intermediaries210521 Manager - Intermediaries Supervision_ Intermediaries210521 Senior Manager - Enforcement _Investigation - Intermediary Misconduct Team210521 Temporary Senior Manager_Manager _1-Year Contract_ Intermediaries Supervision210430 Assistant Counsel_Litigation - Legal Services210419 Senior Manager - Licensing_Intermediaries210419 Manager - Intermediaries Supervision_Off-site monitoring_Global Institutions210409 Manager_Assistant Manager_Intermediaries Supervision_Inspection_Intermediaries210409 Manager - Enforcement _International Cooperation and Enforcement Policy210409 Manager - Supervision of Markets_Market Analysis210409 Senior Manager - Investment Products_Structured Products210423 Assistant Manager - Intermediaries Supervision- Intermediaries210423 Manager - Information Technology- CA -Infrastructure and Data Centre Operations210423 Manager -Information Technology-Corporate Affairs_Application Services Team210423 Part-time Temporary Administrator 1-year contract - IEFC210409 Clerk - Investment Products210409 Secretary - Enforcement210302 Temporary Office Assistant_6-Month Contract - Planning and Administration_Corporate Affairs210226 Manager-Enforcement_Intermediary Misconduct Team210226 Manager - Investment Products_Structured Products210226 Assistant Manager - Investment Products210226 Manager - Investment Products210305 Temporary Clerk - Corporate Finance210312 Temporary Data Analyst _12-Month Contract- Data Analytics Group_Supervision of Markets210401 Temporary Manager _1Year Contract - Licensing_Intermediaries210226 Senior Manager - Investment Products-mainland_a210226 Senior Manager - Investment Products210218 Manager - Press Office_CEOO210208 - Temporary Manager_6-Month Contract - Press Office_CEOO210205 Temporary Legal Executives_EnforcementTemporary Legal Executive / Paralegal (6-Month Contract) - Investment Products210201 Temporary Administrator_ Assistant 6-month contract - HR _Learning Development210205 Assistant Manager - Investment Products210205 Manager - Enforcement_International Cooperation and Enforcement Policy210205 Manager - Investment Products210205 Manager - Investment Products -Structured Products210205 Manager _Assistant Manager - IS_Inspection_ Intermediaries210205 Manager _Head of Digital Learning - IFEC210205 Senior Manager - Investment Products210205 Temporary Manager _ One-Year Contract - Licensing- Intermediaries210205a Senior Manager - Investment Products_Mainland focus210129 Temporary Administrator_Enforcement210129 - Director_Supervision of MarketsSenior Manager (Basel model risk specialist) - Intermediaries Supervision, Intermediaries210115 Assistant Manager_Intermediaries Supervision_Inspection_Intermediaries210115 Temporary Assistant one-year Contract_ Licensing _ Intermediaries210115 - Temporary Clerk 6-Month Contract - Intermediaries Supervision201231 Assistant Manager_Information Technology_Corporate Affairs _Application Services Team210122 Assistant Manager-Intermediaries Supervision-Sponsor Team201231 Temporary Legal Executives_Enforcement201221 Temporary Assistant Manager 12-month Contract_ Licensing _ Intermediaries201221 Temporary Assistant 12-month Contract_ Licensing _ Intermediaries201211Placement Intern 12-Month Contract - Human Resources-Corporate Affairs201211 Temporary Assistant 12-month Contract - HUMAN RESOURCES- CORPORATE AFFAIRS201202 Manager _ Intermediaries Supervision _Intermediaries201203 Secretary _ Licensing _ Intermediaries201223 Manager - IS_Global Institutions_Intermediaries201201 Manager _ Intermediaries Supervision _ Intermediaries201127 Temporary Legal Executives_Paralegals _3-Month Contract - Investment Products201120 - Temporary Legal Executives_Paralegals _4 Month Contract_Legal Services201112 Manager - Enforcement_Investigation - Intermediary Misconduct Team201106 Assistant Manager - Enforcement_Surveillance - Market Misconduct Team201106 Associate Director - Senior Manager - Investment Products201106 Manager_Assistant Manager - Investment Products201106 Temporary Management Associate _6-Month contract- Investment Products201016 Temporary Manager - 6 Month contract -Enforcement -Investigation - CFCM201023 Manager_Information Technology_Corporate Affairs _Projects and Governance201106 Clerk - Investment Products201106 Temporary Receptionist _12-month Contract - Planning and Administration_ Corporate Affairs9 Oct 2020 - Temporary Legal Executives_Paralegals _ 6 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)del
Alert listCorporate policies and noticesFAQsFormsInvestment product listInvestor cornerInvitations to tenderLodge a complaintMedia cornerOther regulators and related agenciesRSS feedsSubscriptionsSystem maintenance scheduleSFC Fintech Contact PointLicensee searchSearch regulation by topicsGlobal engagementWINGSPerformance pledgesOpeningsRegulatory updatesSustainable finance
Last update: 23 Sep 2020