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This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please click on the frequently searched terms or enter keywords for an advanced search. For complete lists, please refer to the dedicated pages for circulars, FAQs and thematic reports.
Codes and Guidelines relating to the supervision of intermediaries are listed separately.
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Securities Margin Financing ("SMF")
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| Issue Date | Publication |
|---|---|
| 30 Sep 2019 | Guidelines for Securities Margin Financing Activities |
| 24 Aug 2009 | Margin Lending Policy and Control Requirements |
| 28 Sep 2006 | Client Securities Rules |
| 28 Sep 2006 | Code of Conduct |
| 17 Mar 2003 | Client Securities Rules |
|
16 Jul 2001 (updated 15 Oct 2024) |
Code of Conduct |
| Issue Date | Publication |
|---|---|
| Jun 2019 | Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong |
| Aug 2018 | Report on Review of Securities Margin Financing Activities |