Securities & Futures Commission of Hong Kong

Investment products

Publicly offered investment products

SFC authorisation involves the review of offering documents, and in some cases the structural features of a particular product, to determine if certain impartial benchmarks are met and the required information is disclosed.

Open-ended fund companies (OFCs) are subject to SFC registration. The SFC reviews the relevant constitutive documents to determine if the OFC meets the applicable legal and regulatory requirements.

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 Conduct1 and guidelines administered by the SFC, to explain to you the nature and risks of the product and why it is suitable for you given your personal circumstances.

List of investment products:

  1. Closed-End Funds
  2. Exchange Traded Funds
  3. Leveraged and Inverse Products
  4. Investment-Linked Assurance Schemes (ILAS)
  5. Mandatory Provident Funds
  6. Paper Gold Schemes
  7. Pooled Retirement Funds
  8. Real Estate Investment Trusts
  9. Structured Investment Products
  10. Unit Trusts & Mutual Funds
  11. Open-Ended Fund Companies

You will find in this section:

List of publicly-offered investment products

Searchable directory of offering documents of investment products authorised by the SFC

List of registered open-ended fund companies

Searchable directory of registered open-ended fund companies

List of recognised jurisdiction schemes and inspection regimes

List of jurisdictions for which we recognise certain investment schemes or investment management firms in relation to the Code on Unit Trusts and Mutual Funds

Illustrative templates for product key facts statements

Guide and templates for issuers of certain products

Format of illustration document for ILAS

Guide and templates for investment-linked assurance scheme issuers

Forms & checklists

Application forms, compliance forms and checklists for investment products.

 

1 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission

3.6552 s