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2021:
SFC ONLINE PORTAL
Please note that the username and password of an authorised user must remain in his/her own possession and control, and be used solely by himself/herself to login to LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities and HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Please note that the username and password of an authorised user must remain in his/her own possession and control, and be used solely by himself/herself to login to LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities andWHO WE REGULATE
The Hong Kong Monetary Authority is the frontline regulator of these activities and monitors them on a day-to-day basis. Investment products. Set standards for the authorisation and regulation of investment products. Review and authorise offering documents of retail investment products to be marketed to the public in Hong Kong. Listedcompanies.
LIST OF REGISTERED OPEN-ENDED FUND COMPANIES Open-ended fund companies (OFCs) are subject to SFC registration. More information about OFCs is available here.. The list of registered OFCs is accessible via the List of Investment Products.It contains information about OFCs that have been registered by the SFC under section 112D of the Securities and Futures Ordinance (SFO).CURRENT OPENINGS
Current Openings. I get to play a role in forming and enforcing the rules and regulations that help maintain Hong Kong's position as a world-class investment centre. 1 2 3. Achieve greater things in your professional and personal life. As Hong Kong's securities regulator, we have a unique, complex and important responsibility.OFFER PERIODS
20 Jan 2021. 14 May 2021. BII Railway Transportation Technology Holdings Company Limited. 01522. Beijing Infrastructure Investment (Hong Kong) Limited. BII Railway Transportation Technology Holdings Company Limited. 12 Nov 2020. 11 May OTHER PUBLICATIONS AND INFORMATION SOURCES About the SFC Regulatory functions Rules and standards Published resources News and announcements Career SearchPAST TRANSACTION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career SearchPUBLIC CONSULTATION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search3 SECTION II
Topics January 2019 Provisions of the UT Code New schemes with new operators (i.e. with new management companies and new trustees/ custodians) New schemes with new management companies but existing trustees/ custodians PART-TIME INTERN (6-MONTH CONTRACT) 1 day ago · Part-time Intern (6-Month Contract) - Planning and Administration, Corporate Affairs TEMPORARY LEGAL EXECUTIVES / PARALEGALS (6-MONTH CONTRACT 1 day ago · Ref.: SFC/TLE/LSD/210611 Job duties: Legal research and preparing detailed research notes. Drafting simple court documents and correspondence. Assisting with HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
SHORT POSITION REPORTING Short position reporting. Since the Securities and Futures (Short Position Reporting) Rules came into effect on 18 June 2012 1, in general, any person who has a reportable short position is required to notify the SFC. To report a short position, submissions must be made through the Short Position Reporting Service. HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
SHORT POSITION REPORTING Short position reporting. Since the Securities and Futures (Short Position Reporting) Rules came into effect on 18 June 2012 1, in general, any person who has a reportable short position is required to notify the SFC. To report a short position, submissions must be made through the Short Position Reporting Service.PERFORMANCE PLEDGES
1 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive manner.. 2 The pledge of 5 business days is applicable to the authorisation of the following products:. Unit trusts and mutual funds; Mandatory provident fund products (including pooled investment funds) PROFESSIONAL INVESTORS List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance. Short position reporting. List of specified shares. Aggregated reportable short positions of specified shares. OTC derivatives regulatory regime. Mainland-Hong Kong Stock Connect. Consultations and conclusions. OTHER PUBLICATIONS AND INFORMATION SOURCES About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities andPUBLIC CONSULTATION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career SearchPAST TRANSACTION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search CHIEF EXECUTIVE OFFICER About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search "ACTIVELY MARKETS" UNDER SECTION 115 OF THE SFO Q1 : What does "actively markets" mean under section 115 of the SFO? A: This may include, for example, those who frequently call on Hong Kong investors and market their services (including offering products); running a mass media programme targeting at the investing public in Hong Kong; and Internet activities that target Hong Konginvestors.
TRIGGERING OF SUITABILITY OBLIGATIONS Whether an interactive communication between a licensed or registered person and a client about an investment product triggers the suitability obligations would depend on whether there is solicitation or recommendation having regard to the facts and circumstances of each case. General guiding principles. Determining the facts andcircumstances
3 SECTION II
Topics January 2019 Provisions of the UT Code New schemes with new operators (i.e. with new management companies and new trustees/ custodians) New schemes with new management companies but existing trustees/ custodians HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
SHORT POSITION REPORTING Short position reporting. Since the Securities and Futures (Short Position Reporting) Rules came into effect on 18 June 2012 1, in general, any person who has a reportable short position is required to notify the SFC. To report a short position, submissions must be made through the Short Position Reporting Service. HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
SHORT POSITION REPORTING Short position reporting. Since the Securities and Futures (Short Position Reporting) Rules came into effect on 18 June 2012 1, in general, any person who has a reportable short position is required to notify the SFC. To report a short position, submissions must be made through the Short Position Reporting Service.PERFORMANCE PLEDGES
1 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive manner.. 2 The pledge of 5 business days is applicable to the authorisation of the following products:. Unit trusts and mutual funds; Mandatory provident fund products (including pooled investment funds) PROFESSIONAL INVESTORS List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance. Short position reporting. List of specified shares. Aggregated reportable short positions of specified shares. OTC derivatives regulatory regime. Mainland-Hong Kong Stock Connect. Consultations and conclusions. CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities and OTHER PUBLICATIONS AND INFORMATION SOURCES About the SFC Regulatory functions Rules and standards Published resources News and announcements Career SearchPUBLIC CONSULTATION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search "ACTIVELY MARKETS" UNDER SECTION 115 OF THE SFO Q1 : What does "actively markets" mean under section 115 of the SFO? A: This may include, for example, those who frequently call on Hong Kong investors and market their services (including offering products); running a mass media programme targeting at the investing public in Hong Kong; and Internet activities that target Hong Konginvestors.
TRIGGERING OF SUITABILITY OBLIGATIONS Whether an interactive communication between a licensed or registered person and a client about an investment product triggers the suitability obligations would depend on whether there is solicitation or recommendation having regard to the facts and circumstances of each case. General guiding principles. Determining the facts andcircumstances
SFC HANDBOOK FOR UNIT TRUSTS AND MUTUAL FUNDS, INVESTMENT SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products June2010
3 SECTION II
Topics January 2019 Provisions of the UT Code New schemes with new operators (i.e. with new management companies and new trustees/ custodians) New schemes with new management companies but existing trustees/ custodians SFC DISCIPLINARY FINING GUIDELINES SECURITIES AND FUTURES 1 SFC Disciplinary Fining Guidelines Securities and Futures Ordinance Considerations relevant to the level of a disciplinary fine These guidelines are made under HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
SFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions asbeing
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
PERFORMANCE PLEDGES
1 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive manner.. 2 The pledge of 5 business days is applicable to the authorisation of the following products:. Unit trusts and mutual funds; Mandatory provident fund products (including pooled investment funds) PROFESSIONAL INVESTORS List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance. Short position reporting. List of specified shares. Aggregated reportable short positions of specified shares. OTC derivatives regulatory regime. Mainland-Hong Kong Stock Connect. Consultations and conclusions. CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities and OTHER PUBLICATIONS AND INFORMATION SOURCES About the SFC Regulatory functions Rules and standards Published resources News and announcements Career SearchPUBLIC CONSULTATION
About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search "ACTIVELY MARKETS" UNDER SECTION 115 OF THE SFO Q1 : What does "actively markets" mean under section 115 of the SFO? A: This may include, for example, those who frequently call on Hong Kong investors and market their services (including offering products); running a mass media programme targeting at the investing public in Hong Kong; and Internet activities that target Hong Konginvestors.
TRIGGERING OF SUITABILITY OBLIGATIONS Whether an interactive communication between a licensed or registered person and a client about an investment product triggers the suitability obligations would depend on whether there is solicitation or recommendation having regard to the facts and circumstances of each case. General guiding principles. Determining the facts andcircumstances
SFC HANDBOOK FOR UNIT TRUSTS AND MUTUAL FUNDS, INVESTMENT SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products June2010
3 SECTION II
Topics January 2019 Provisions of the UT Code New schemes with new operators (i.e. with new management companies and new trustees/ custodians) New schemes with new management companies but existing trustees/ custodians SFC DISCIPLINARY FINING GUIDELINES SECURITIES AND FUTURES 1 SFC Disciplinary Fining Guidelines Securities and Futures Ordinance Considerations relevant to the level of a disciplinary fine These guidelines are made under HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities andSFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions as being invited by Commission or appointed by those inviteesPERFORMANCE PLEDGES
1 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive manner.. 2 The pledge of 5 business days is applicable to the authorisation of the following products:. Unit trusts and mutual funds; Mandatory provident fund products (including pooled investment funds) HOME | SECURITIES & FUTURES COMMISSION OF HONG KONG 28 May 2021. Circular to licensed corporations Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) - Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) REGISTER OF LICENSEES & REGISTERED INSTITUTIONS This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number. Search by regulated activity. Updates to the Public Register in April2021:
CODES | SECURITIES & FUTURES COMMISSION OF HONG KONG Section I - Overarching Principles Section. 30 Jan 2015. Section II - Code on Unit Trusts and Mutual Funds. 1 Jan 2019. Section III - Code on Investment-Linked Assurance Schemes. 1 Jan 2019. Section IV - Code on Unlisted Structured Investment Products. 30 Jan 2015. Code of Conduct for Persons Licensed by or Registered with the Securities andSFC ONLINE PORTAL
Any person who does not have a portal account (e.g. law firm employees, compliance officers and secretaries) but would like to (i) complete and submit online licensing application forms and/or (ii) become a delegate of an SFC licensee to fill out Notifications and/or Annual Returns and/or (iii) use the SFC Online Portal functions as being invited by Commission or appointed by those inviteesPERFORMANCE PLEDGES
1 Compliance with our performance pledges is measured in relation to applications in respect of which all of the required documentation is supplied by the applicants in a comprehensive manner.. 2 The pledge of 5 business days is applicable to the authorisation of the following products:. Unit trusts and mutual funds; Mandatory provident fund products (including pooled investment funds) LIST OF PUBLICLY OFFERED INVESTMENT PRODUCTS List of publicly offered investment products. The list contains the following information: Investment products' offering documents that have been authorised by the SFC for issuance under the Securities and Futures Ordinance (SFO) or for registration under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (which was knownas
CURRENT OPENINGS
Current Openings. I get to play a role in forming and enforcing the rules and regulations that help maintain Hong Kong's position as a world-class investment centre. 1 2 3. Achieve greater things in your professional and personal life. As Hong Kong's securities regulator, we have a unique, complex and important responsibility.主頁 | 證監會
2021年4月15日.
關於對場外衍生工具監管制度下的金融服務提供者的名單進行年度更新的諮詢.2021年2月8日.
證監會就適用於簿記建檔及配售活動的操守規定展開諮詢.2020年12月23日.
證監會發表有關開放式基金型公司的客戶盡職審查規定的諮詢總結. 2020年12月18日. 證 LIST OF REGISTERED OPEN-ENDED FUND COMPANIES Open-ended fund companies (OFCs) are subject to SFC registration. More information about OFCs is available here.. The list of registered OFCs is accessible via the List of Investment Products.It contains information about OFCs that have been registered by the SFC under section 112D of the Securities and Futures Ordinance (SFO). NON-COMPLEX AND COMPLEX PRODUCTS Set out below is a non-exhaustive list of examples of investment products that are considered to be complex products: Complex products - Derivatives traded on an exchange (where paragraph 6.5 of the Guidelines is applicable) Futures contracts traded on the HKFE 5; Equity derivatives traded on the SEHK (eg, DWs, CBBCs and listed shareoptions);
OFFER PERIODS
20 Jan 2021. 14 May 2021. BII Railway Transportation Technology Holdings Company Limited. 01522. Beijing Infrastructure Investment (Hong Kong) Limited. BII Railway Transportation Technology Holdings Company Limited. 12 Nov 2020. 11 May 2021. Current offer periods underthe Codes.
LIST OF GREEN AND ESG FUNDS The list of green and environmental, social and governance (ESG) funds contains information about SFC-authorised funds which fulfil the requirements set out in the circular to management companies of SFC-authorised unit trusts and mutual funds - green or ESG funds.. The list is compiled based on confirmations and representations provided by the respective management companies that these SFC DOCUMENTS ON DISPLAY Offeree / (Name of target company) Steering Holdings Limited (Stock code : 01826) Offeror Masterveyor Holdings Limited (Stock code : -) Document type Offer Document Document date 3 Jun 2021 Other website(s) on which the documents are displayed www.masterveyor.comPRACTICE NOTES
Practice notes. Practice Notes are issued by the Takeovers Executive to provide informal guidance as to how the Takeovers Executive normally interprets and applies certain provisions of the Codes on Takeovers and Mergers and Share Buy-backs (Codes). They should not, however, be considered as an alternative to consulting the TakeoversExecutive
MINIMUM INFORMATION TO BE PROVIDED AND WARNING STATEMENTS Key terms and features of the complex product, eg, for bonds: (i) bond category; (ii) credit information; (iii) coupon and coupon frequency; (iv) maturity date; (v) special features; and for structured products: (i) product category, eg, equity-linked investment, equity-linked note, credit-linked note; (ii) maturity date; (iii) any possible adjustments to the terms and conditions of the Important: Information for firms and the market on COVID-19 Securities and Futures Commission-A A +A
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NEW RELEASES
Regulatory updates Circulars Consultations30 Nov 2020
SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives27 Nov 2020
SFC concludes consultation on changes to the REIT Code25 Nov 2020
SFC bans Pang Hon Pan for 21 months25 Nov 2020
SFC bans Chan Shun King for 24 months More Regulatory calendar9 Nov 2020
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action (2) FATF Statement on Jurisdictions under Increased Monitoring (3) Outcomes from the FATF Plenary, 21-23 October 20206 Nov 2020
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Anti-Money Laundering and Counter-Financing of Terrorism Webinar3 Nov 2020
Circular to Licensed Corporations Updated Technical Specifications for OTC Derivatives Trade Reporting3 Nov 2020
Circular to intermediaries – Workshops to introduce changes to theSFC online portal
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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.
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SFC concludes consultation on changes to the REIT Code29 Oct 2020
SFC consults on climate-related risks in funds18 Sep 2020
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