Publicly offered investment products
SFC authorisation involves the review of offering documents, and in some cases the structural features of a particular product, to determine if impartial benchmarks are met and the required information is disclosed.
Open-ended fund companies (OFCs) are subject to SFC registration. The SFC reviews the relevant constitutive documents to determine if an OFC meets the applicable legal and regulatory requirements. More information about OFCs is available here.
SFC authorisation or registration does not mean the product is suitable for you or any particular investor. The intermediary who sells the product to you has a duty, under the SFC's Code of Conduct1 and guidelines, to explain to you the nature and risks of the product and why it is suitable for you given your personal circumstances.
You will find in this section:
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Searchable directory of offering documents of investment products authorised by the SFC |
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Searchable directory of registered open-ended fund companies |
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List of recognised jurisdiction schemes and inspection regimes |
List of jurisdictions for which we recognise certain investment schemes or investment management firms in relation to the Code on Unit Trusts and Mutual Funds |
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List of jurisdictions for which eligible funds authorised by the Mainland and overseas financial regulators will enjoy streamlined authorisation by the SFC for offering to the public in Hong Kong and vice versa |
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Guide and templates for issuers of certain products |
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Guide and templates for investment-linked assurance scheme (ILAS)issuers |
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Application forms, compliance forms and checklists for investment products. |
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Quick Reference for product issuers seeking to publicly offer investment funds domiciled in regions which have mutual recognition of funds arrangements with Hong Kong |
1 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Last update: 23 Jan 2020