Sitemap

Advisory Committee Academic and Accreditation Advisory Committee Committee on Real Estate Investment Trusts Disciplinary Chair Committee Investor Compensation Fund Committee Nominations Committee Products Advisory Committee Public Shareholders Group Securities Compensation Fund Committee SFC (HKEC Listing) Committee SFC (HKEC Listing) Appeals Committee Share Registrars' Disciplinary Appeals Committee Share Registrars' Disciplinary Committee Takeovers and Mergers Panel Takeovers Appeal Committee

Executive Committee

Divisional structure

Enforcement

Intermediaries

Licensing Intermediaries Supervision

Corporate Affairs Corporate Finance Legal Services Investment Products Supervision of Markets

Corporate governance

Governance structure

Chairman's role and responsibilities CEO's role and responsibilities

Principles Independent panels and tribunals Performance pledges Statement on responsible ownership

Corporate social responsibility

CSR Committee People and the community Environmental protection Activities Women's network

Regulatory collaboration

Mainland China

Mainland-Hong Kong Stock Connect Mainland-Hong Kong Mutual Recognition of Funds Cooperative arrangements with the CSRC and Mainland exchanges Cooperative arrangements with other Mainland regulators

Local

International

Investigatory assistance and exchange of information Exchange of information IOSCO MMOU Market or product-related arrangements IOSCO EMMOU Fintech cooperation agreements

Public enquiries: Further guidance and sources of information

Regulatory functions

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

Current Transaction Past transaction

Decisions and statements

Takeovers and Mergers Panel and Takeovers Appeal Committee decisions and statements (full version)Executive decisions and statements

Disciplinary proceedings before the Takeovers Panel

Disciplinary proceedings in relation to company name

Documents on display

Exempt status

List of exempt fund managers (EFMs)List of exempt principal traders (EPTs)

Offer periods Practice notes Performance Pledges Post-vet list Secondary listed companies Takeovers Panel and related committees Transaction announcements and documents Takeovers Bulletin Forms Consultations and Conclusions

Disclosure of Interests Unlisted shares, debentures Circulars Consultations and conclusions FAQs

Intermediaries

Licensing

Do you need a licence or registration?Types of intermediary and licensed individual Application procedures Ongoing obligations Online Portal

Obtaining a printed licence record Public register of licensed persons and registered institutions

List of modifications or waivers of licensing requirements Circulars Consultations and conclusions Forms FAQs

Supervision

Supervisory approach Supervisory actions

Modifications or waivers

Securities and Futures (Financial Resources) Rules Securities and Futures (Professional Investor) Rules Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules Securities and Futures (Financial Resources) Rules Securities and Futures (Professional Investor) Rules Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules

Circulars List of comparable OTCD jurisdictions List of jurisdictions with comparable OTCD margin requirements FAQs

Publications and statistics

Financial review of the securities industry

Other publications

Guidelines for Securities Margin Financing Activities – Training video

Reports on findings of thematic inspection/review

Report on the 2019-20 thematic cybersecurity review of internet brokers Report on the Thematic Review of Prime Services and Related Equity Derivatives Report on the review of internal controls for the protection of client assets and supervision Report on Review of Securities Margin Financing Activities Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business Report on the Thematic Review of Best Execution Report on fact-finding exercise on retail futures brokers Second Mystery Shopping Programme Findings Report on the Thematic Inspection of Selling Practices of Licensed Corporations Mystery Shopping Programme Findings Report on Sponsor Theme Inspection Findings Report on Findings of Second Round of Thematic Inspection of Licensed Investment Advisers Report on Selling Practices of Licensed Investment Advisers

Reports on findings of thematic inspection/review Reports of the survey on hedge fund activities of SFC-licensed managers/advisers

Search regulations by topic

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

Consultations and conclusions

Online submission

SFC e-Certificate application Financial returns

Forms

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

List of registered open-ended fund companies List of green and ESG funds Circulars Consultations and conclusions Forms & checklists FAQs

Markets

Market statistics and research

Statistics Research papers

Approved or authorised entities

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

Investigations by nature Persons subject to ongoing or concluded enforcement proceedings

Have you seen these people?

People subject to arrest warrants

Pan Caihong Ho Ming Hin Suen Man Simon Tang Yan Tian Michael Mei Hsiao Tung Anthony Tang Xian

Persons of interest

Yu Longhui Yu Longrui Yu Lun Zheng Feng

Upcoming hearings calendar Circulars Consultations and conclusions

Rules and standards

Laws

Securities and Futures Ordinance (with subsidiary legislation)Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation)

Legislative history

SFO and related ordinances SFO subsidiary legislation

Codes and guidelines

Codes Guidelines

Circulars

Short position reporting rules

Securities and Futures Ordinance Part XV - Disclosure of Interests

Account opening

Regulatory requirements Acceptable account opening approaches List of eligible jurisdictions for remote onboarding of overseas individual clients

Anti-money laundering and counter-financing of terrorism

Legal and regulatory requirements Circulars Other publications and information sources

Suitability requirement

Regulatory requirements Circulars FAQs

Non-complex and complex products

List of specified jurisdictions Minimum information to be provided and warning statements

Other publications and information sources

Principles of responsible ownership

Gazette notices

Government notices Legal notices

Search regulations by topic

Published resources

Corporate publications

Annual reports Quarterly report Corporate brochure Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong

Newsletters

Enforcement Reporter

SFC Compliance Bulletin: Intermediaries SFC Regulatory Bulletin Takeovers Bulletin

Consultations

Reports and surveys

Periodic reports and surveys Other reports and surveys

News and announcements

News

All news Corporate news Enforcement news Other news

Policy statements and announcements

High shareholding concentration announcements

Decisions, statements and disclosures

Events

Career

Why the SFC

Join us as an experienced professional

Current Openings

Join us as a Graduate Trainee

Graduate Trainee Programme Graduate Trainee Programme 2020

Join us as an Intern

Summer Internship Programme 2020 Winter Internship Programme 2020

Working at the SFC Core values

A socially responsible employer

People and the community CSR activities Environmental protection CSR Committee

What the SFC does

Regulatory objectives Who we regulate

How we function

Regulatory philosophy Regulatory tools Public consultation

FAQs

Last update: 23 Sep 2020