Archives

Date	Title	Document Type
Apr 2013	Licensing Information Booklet	Guidelines
Sep 2009	Prevention of Money Laundering and Terrorist Financing Guidance Note	Guidelines
Mar 2003	Guidelines on Transitional Arrangements	Guidelines
Dec 2002	Guidelines for Exemptions from the Recognised Industry Qualification and Local Regulatory Framework Paper Requirements	Guidelines
Oct 2002	Leveraged Foreign Exchange Trading (Fees) Rules	Rules
Oct 2002	Securities and Futures Commission (Fees) Rules	Rules
Feb 2002	Modification/Waiver of Financial Resources Rules	Guidelines
Nov 2001	Measure to Prevent Unauthorised Trades and Over-trading	Guidelines
Aug 2000	Guidance Note on Incidental Advice Provided by Solicitors and Accountants	Guidelines
Aug 2000	Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes	Guidelines
Sep 1999	Issue of Advertisements by Intermediaries	Guidelines
Jul 1999	Guidelines for Review of Internal Controls and Systems of Trustees / Custodians	Guidelines
Mar 1999	Guidance Note on Internet Regulation	Guidelines
Jul 1994	Conduct of Business Guidelines for Licence Holders under the Leveraged Foreign Exchange Trading Ordinance	Guidelines