Securities & Futures Commission of Hong Kong

Prospectuses & exemptions

In general, unlisted shares and debentures (including plain vanilla bonds) offered to the public are required to seek SFC authorization unless an exemption applies.

You will find the following information on the list of unlisted shares and debentures:

      • Prospectuses that we have authorized for registration under section 38D(5) or section 342C(5) of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was known as Companies Ordinance prior to 3 March 2014).
      • Offer documents that we have authorized for issuance under section 105 of the Securities and Futures Ordinance.
      • Exemptions granted by us under section 38A(1) or 342A(1) of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was known as Companies Ordinance prior to 3 March 2014).
      • The most comprehensive advertisements on the offer (such as leaflets or factsheets) that we have authorized under section 105 of the Securities and Futures Ordinance and/or section 38B(2A)(b) of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was known as Companies Ordinance prior to 3 March 2014).
  • Please remember that any document we have authorized does not imply our endorsement or recommendation of the offer.

  • The documents are provided by the issuers and they are for your information only. We have not independently verified the documents and are not responsible for any error, omission or inaccuracy in the documents.

  • We compile the list on a best-efforts basis. Please contact us at enquiry@sfc.hk if you have any questions.

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