Securities & Futures Commission of Hong Kong

Investment products

Publicly offered investment products

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

SFC authorization 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 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. Unlisted shares and debentures

You will find in this section:

List of investment products

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

List of recognized jurisdiction schemes and inspection regimes

List of jurisdictions for which we recognize 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

A 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.

Unlisted shares, debentures

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

Prospectuses & exemptions

Prospectuses of unlisted shares or debentures and advertisements offered to the public

3.6300 s