- 29 Nov 2019 Keynote speech by Tim Lui at Annual PwC Asset and Wealth Management Conference 2019
- 21 Nov 2019 New SFC guidance addresses market misconduct
- 21 Nov 2019 Statement on the Disclosure of Actual Controllers or Beneficial Owners of Counterparties to a Transaction
- 21 Nov 2019 Circular to licensed corporations – Dubious private fund and discretionary account arrangements or transactions
- 6 Nov 2019 New speech by Ashley Alder: Opening remarks at SFC 30th Anniversary Cocktail 2019
- 6 Nov 2019 Position paper: Regulation of virtual asset trading platforms
- 6 Nov 2019 SFC issues warnings on virtual asset futures contracts
- 6 Nov 2019 Keynote speech by Ashley Alder at Hong Kong FinTech Week 2019
- 21 Oct 2019 Speech by Julia Leung at Hong Kong Conference 2019: IPO Sponsors and Regulations
- 8 Oct 2019 SFC concludes consultation on the enhanced Investor Compensation Regime
- 26 July 2019 Statement on the SFC's approach to backdoor listings and shell activities
- 4 July 2019 Statement on the Conduct and Duties of Directors when Considering Corporate Acquisitions or Disposals
- 21 June 2019 Keynote speech by Julia Leung at 2019 Risk Hong Kong Conference
- 17 June 2019 Speeches by Julia Leung at SFC Compliance Forum 2019
- 10 June 2019Speech by Tim Lui at Hong Kong Institute of Directors Speaker Luncheon Meeting
- 28 March 2019Statement on Security Token Offerings
- 22 March 2019Remarks by Ashley Alder at Bloomberg BuySide Summit 2019
- 12 December 2018SFC concludes consultation on OTC derivatives and conduct risks
- 27 November 2018Speech by Ashley Alder at HKSI Institute Roundtable Luncheon
- 26 November 2018New synopsis: Speech by Brian Ho at the 12th Annual Conference of the Hong Kong Investment Funds Association
- 1 November 2018Keynote speech by Ashley Alder at Hong Kong FinTech Week 2018
- 10 October 2018Keynote speech by Thomas Atkinson 2018 Refinitiv Pan Asian Regulatory Summit
- 9 October 2018Keynote speech by Julia Leung 2018 Refinitiv Pan Asian Regulatory Summit
- 19 September 2018Speech by Carlson Tong at HKGCC's Town Hall Forum Series
- 19 September 2018Speech by Ashley Alder at HKIFA luncheon
- 7 September 2018Speech by Julia Leung at Hong Kong Chinese Enterprises Association Seminar
- 11 June 2018Speech by Carlson Tong at Hong Kong Institute of Directors' Speaker Luncheon Meeting
- 17 May 2018Keynote speech delivered by Brian Ho at Sixth Annual Institute on Corporate & Securities Law in Hong Kong 2018
- 30 November 2017SFC announces investor identification for Northbound trading under Stock Connect
- 27 October 2017SFC and HKMA address hacking risks associated with internet trading
- 11 October 2017Keynote speech delivered by Thomas Atkinson at the 8th Pan Asian Regulatory Summit
- 10 October 2017Keynote speech delivered by Ashley Alder at the 8th Pan Asian Regulatory Summit
- 5 September 2017Statement on initial coin offerings
- 13 July 2017Speech by Ashley Alder at HKSI luncheon
- 22 May 2017SFC enhances the position limit regime
- 15 May 2017Statement on the liability of valuers for disclosure of false or misleading information
- 4 May 2017Speech by Julia Leung at the Hong Kong Securities and Investment Institute's Senior Leaders Programme
- 27 April 2017Welcoming remarks by Carlson Tong at SFC media luncheon
- 27 April 2017Opening remarks by Ashley Alder at SFC media luncheon
Please note that anti-money laundering and counter-financing of terrorism (AML/CFT) sanctions related circulars are only available on the complete list of AML/CFT circulars which can be found here.
- Circular on streamlined requirements for eligible exchange traded funds adopting a master-feeder structure
- Circular to intermediaries Joint product survey by the SFC and the HKMA
- Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering and Counter-Financing of Terrorism Seminar Materials
- Circular in relation to the clearing and record keeping rules for the OTC derivatives regime – changes to the list of persons designated as financial services providers
- Circular to licensed corporations Dubious private fund and discretionary account arrangements or transactions
- SFC proposes changes to the open-ended fund companies regime
- SFC concludes consultation on margin requirements for non-centrally cleared OTC derivatives
- SFC concludes consultation on the enhanced Investor Compensation Regime
- SFC proposes to regulate trustees and custodians of public funds
- Regulators conclude consultation on annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
- Consultation on further enhancements to the OTC derivatives regime
- SFC concludes consultation on securities margin financing
- Survey on Integrating Environmental, Social and Governance Factors and Climate Risks in Asset Management
- Quarterly Report (Jul - Sep 2019)
- Takeovers Bulletin (Sep 2019)
- Financial Review of the Securities Industry for the half year ended 30 June 2019
- Quarterly Report (Apr - Jun 2019)
- Half-yearly Review of the Global and Local Securities Markets (Featuring the Northbound Investor Identification Regime and Short Selling) - Research Paper No. 65
- Asset and Wealth Management Activities Survey 2018
- Takeovers Bulletin (Jun 2019)
- Annual Report 2018-19
- Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
- SFC Compliance Bulletin: Intermediaries (May 2019)
- Takeovers Bulletin (Mar 2019)
- Financial Review of the Securities Industry for the year ended 31 December 2018
- Quarterly Report (Oct - Dec 2018)
- SFC Regulatory Bulletin: Listed Corporations (Feb 2019)
- A Review of the Global and Local Securities Markets in 2018 (Featuring Stock Connect inflows, Closing Auction Session and the rise in index derivatives activities) - Research Paper No. 64
- Takeovers Bulletin (Dec 2018)
- Report on the review of internal controls for the protection of client assets and supervision of account executives
- Quarterly Report (Jul - Sep 2018)
- SFC Compliance Bulletin: Intermediaries (Nov 2018)
- Takeovers Bulletin (Sep 2018)
- Strategic Framework for Green Finance (English version only)
- Report on Review of Securities Margin Financing Activities
- Quarterly Report (Apr - Jun 2018)
- Half-yearly Review of the Global and Local Securities Markets (Featuring VIX Exchange-traded Products, MSCI A-share Inclusion and After-Hours Futures Trading) - Research Paper No. 63
- Asset and Wealth Management Activities Survey 2017
- Takeovers Bulletin (Jun 2018)
- Annual Report 2017-18
- SFC Regulatory Bulletin: Listed Corporations (May 2018)
- SFC Compliance Bulletin: Intermediaries (May 2018)
- Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong
- Takeovers Bulletin (Mar 2018)
- Report on the Thematic Review of Licensed Corporations Engaged in Sponsor Business
- Enforcement Reporter (Feb 2018)
- Quarterly Report (Oct - Dec 2017)
- A Review of the Global and Local Securities Markets in 2017 (Featuring Stock Connect Trading and the Expansion of the Short Position Reporting (SPR) Regime) - Research Paper No. 62
- Takeovers Bulletin (Jan 2018 supplemental issue)
- Takeovers Bulletin (Dec 2017)
- SFC Compliance Bulletin: Intermediaries
- Quarterly Report (Jul - Sep 2017)
- Takeovers Bulletin (Sep 2017)
- Financial Review of the Securities Industry for the year ended 30 June 2017
- Quarterly Report (Apr - Jun 2017)
- Half-yearly Review of the Global and Local Securities Markets – Research Paper No.61
- Fund Management Activities Survey 2016
- SFC Regulatory Bulletin: Listed Corporations
- Takeovers Bulletin (Jun 2017)
- Annual Report 2016 - 2017
- Enforcement Reporter (May 2017)
- Report on the fact-finding exercise on retail futures brokers
- Takeovers Bulletin (Mar 2017)
- Financial Review of the Securities Industry for the year ended 31 December 2016
- Quarterly Report (Oct - Dec 2016)
- A Review of the Global and Local Securities Markets in 2016 – Research Paper No.60
e-Submission Services
- WINGS
- SFC Online Portal
- Apply for licences
- File notifications and annual returns
- Pay fees
- Submit investment product information
- Report short positions
- File financial resource returns
- Submit Business and Risk Management Questionnaire
- Access forms
