Introduction
You can find the following information on the List of Investment Products:
Investment products' offering documents that have been authorised by the SFC for issuance under the Securities & Futures Ordinance (SFO) or for registration under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was known as Companies Ordinance prior to 3 March 2014) for offering to the public.
Information on open-ended fund companies that have been registered by the SFC under the SFO.
Where unlisted shares or debentures are concerned, information is available only for products
offered on or after 1 July 2004.
Particulars of exemptions granted by the SFC for shares or debentures offered on or after 1 July 2004
under the relevant provisions of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was known as Companies Ordinance prior to 3 March 2014).
SFC authorisation and registration
SFC authorisation and registration involve the review of a product to see if the relevant legal and regulatory requirements which set out certain impartial benchmarks applicable to the product are met.
SFC authorisation or registration does not mean the product is suitable for you or any particular investor. The intermediary who sells the product to you has a duty, under the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission and guidelines administered by the SFC, to explain the nature and risks of the product and why it is suitable for you given your personal circumstances.
Points to note
Information posted on the List of Investment Products is compiled on a best-effort basis. The offering documents are provided by the issuers and they are for your information only. The SFC has not independently verified the documents and will not be responsible for any error, omission or inaccuracy. The SFC reserves the right to omit or suspend any material submitted. Please note that it may take time for information received from the applicant to be posted to the repository. You may contact the relevant product issuers or distributors for the latest version of offering documents.
Any SFC-authorised unit trust / mutual fund / investment-linked assurance scheme that does not have a product key facts statement shall not continue to be marketed to the public in Hong Kong. Product issuers may for other reasons decide whether or when an SFC-authorised product is open or closed for subscription. In case of doubt, investors should consult their intermediaries or the relevant product issuers.
The List of Investment Products may not always contain the most up-to-date information about investment products for which offering documents have been authorised. You may wish to contact the SFC at enquiry@sfc.hk if you cannot find a certain product on the list.
If you would like to learn more about how SFC-authorised investment products work, please visit the website of the Investor Education Centre.