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Regulatory updates Circulars Consultations

29 Aug 2025

SFC seeks court order to freeze assets up to $62.5 million for investor compensation in sophisticated ramp-and-dump case

28 Aug 2025

SFC revokes the licence of Amber Hill Capital Limited and bans its senior management for life

28 Aug 2025

SFC revokes the licence of Nerico Brothers Limited and bans its senior management for life

28 Aug 2025

SFC reprimands and fines Deutsche Bank Aktiengesellschaft $23.8 million for regulatory breaches

Regulatory calendar

15 Aug 2025

Circular to licensed virtual asset trading platform operators on custody of virtual assets

11 Aug 2025

Circular to Licensed Corporations - Updated Technical Specifications for OTC Derivatives Trade Reporting

15 Jul 2025

Circular on enhanced facilitative measure for visiting professionals

14 Jul 2025

Circular to licensed corporations - SFC consultation on changes to financial resources rules and related guidelines to foster market developments for OTC derivatives and other products

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.

14 Jul 2025

SFC consults on financial resources rule enhancements to foster market developments for OTC derivatives and other products

27 Jun 2025

FSTB and SFC consult on proposed regimes to regulate virtual asset dealers and custodians

26 Jun 2025

SFC and HKMA conclude annual update to Financial Services Providers list under OTC derivatives regulatory regime

13 Jun 2025

SFC to adopt fee limits for approved securities registrars under uncertificated securities market regime

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Account Opening

Anti-Money Laundering & Counter-Financing of Terrorism

Asset Management

Client Assets

Corporate Finance, Placing and Underwriting

Cybersecurity

Depositary services for relevant CISs

Financial Resources Rules

Know Your Client / Client Agreement

Order Handling and Execution

OTC Derivatives

Professional Investors

Risk Management (other than SMF)

Securities Margin Finance ("SMF")

Suitability

Others

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