Securities and Futures Commission
-A
A
+A
Eng
繁
簡
Sitemap
Contact us
FAQs
Forms
Lodge a complaint
Media corner
Search
About the SFC
Regulatory functions
Rules and standards
Published resources
News and announcements
Career
Alert
List
Eng
繁
簡
Search
Alert List
About the SFC
Our role
Regulatory objectives
Who we regulate
How we function
Regulatory approach
Regulatory tools
Public consultation
Our Structure
Corporate governance
Governance structure
Chairman's role and responsibilities
CEO's role and responsibilities
Principles
Independent panels and tribunals
Performance pledges
Statement on responsible ownership
Corporate social responsibility
CSR Committee
People and the community
Environmental protection
Activities
Women's network
Regulatory collaboration
Mainland China
Mainland-Hong Kong Stock Connect
Mainland-Hong Kong Mutual Recognition of Funds
Cooperative arrangements with the CSRC and Mainland exchanges
Cooperative arrangements with other Mainland regulators
Cross-boundary Wealth Management Connect
Local
International
Investigatory assistance and exchange of information
Exchange of information
Market or product-related arrangements
IOSCO EMMOU
Fintech cooperation agreements
Contact us
Public enquiries: Further guidance and sources of information
Regulatory functions
Corporates
Dual filing
Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions
Corporate disclosure
Guidelines on Disclosure of Inside Information
Consultation service
Waiver
Takeovers and mergers
Dealing disclosures
Decisions and statements
Disciplinary proceedings
Documents on display
Exempt status
Offer periods
Practice notes
Performance Pledges
Post-vet list
Secondary listed companies
Takeovers Panel and related committees
Transaction announcements and documents
Takeovers Bulletin
Forms
Consultations and Conclusions
Unlisted shares, debentures
Circulars
Consultations and conclusions
FAQs
Intermediaries
Licensing
Do you need a licence or registration?
Types of intermediary and licensed individual
Application procedures
Ongoing obligations
Quick reference guides to licensing requirements
WINGS
Register of licensees & registered institutions
List of modifications or waivers of licensing requirements
Circulars
Consultations and conclusions
Forms
FAQs
Supervision
Supervisory approach
Supervisory actions
Modifications or waivers
Cross-boundary WMC
List of comparable OTCD jurisdictions
List of jurisdictions with comparable OTCD margin requirements
FAQs
Circulars
Consultations and conclusions
Forms
Publications and statistics
Search regulations by topic
Products
List of publicly offered investment products
Specific information about unlisted structured investment products
Mutual recognition of funds arrangements
List of recognised jurisdiction schemes and inspection regimes
Products Key Facts Statements (KFS)
Format of Illustration Document for ILAS
Information Disclosure Templates for Investment Portfolios (Pooled Retirement Funds)
List of ESG funds
Open-ended fund companies
OFC Structure
Regulatory requirements
List of Registered OFCs
Post-registration matters
Useful materials
Real estate investment trusts
Circular
Consultations and conclusions
Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
Circulars
Consultations and conclusions
Forms & checklists
FAQs
List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)
Quick Reference to FASTrack Applications
Markets
Market statistics and research
Statistics
Research papers
Approved or authorised entities
Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance
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
FAQs
Enforcement
Disciplinary proceedings
Secrecy provisions
Enforcement actions
Enforcement news
Current cold shoulder orders
Current disqualification orders
Enforcement statistics
Have you seen these people?
People subject to arrest warrants
Persons of interest
Upcoming hearings calendar
Circulars
Consultations and conclusions
Rules and standards
Laws
Codes and guidelines
Codes
Guidelines
Circulars
Account opening
Regulatory requirements
Acceptable account opening approaches
List of eligible jurisdictions for remote onboarding of overseas individual clients
OTC derivatives regulatory regime
Short position reporting rules
Securities and Futures Ordinance Part XV - Disclosure of Interests
Suitability requirement
Regulatory requirements
Circulars
FAQs
Non-complex and complex products
List of specified jurisdictions
Minimum information to be provided and warning statements
Other publications and information sources
Anti-money laundering and counter-financing of terrorism
Legal and regulatory requirements
Circulars
Other publications and information sources
Investor Identification and OTC Securities Transactions Reporting
Gazette notices
Government notices
Legal notices
Sustainable finance
Principles of responsible ownership
Search regulations by topic
Virtual assets
Overview
Virtual asset trading platform operators
Other virtual asset related activities
Other useful materials
Published resources
Corporate publications
SFC's Strategic Priorities for 2024-2026
Annual reports
Quarterly report
Corporate brochure
Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong
Newsletters
Enforcement Reporter
SFC Compliance Bulletin: Intermediaries
SFC Regulatory Bulletin
Takeovers Bulletin
Consultations
Reports and surveys
Other reports and surveys
Research papers
Statistics
Speeches
FAQs
SFC in Action
News and announcements
News
All news
Corporate news
Enforcement news
Other news
Policy statements and announcements
High shareholding concentration announcements
Decisions, statements and disclosures
Current cold shoulder orders
Events
Career
Why the SFC
Join us as an experienced professional
Current Openings
Join us as an Executive Trainee
Join us as an Intern
Summer and Winter Internship Programme
Sustainable Finance Internship Programme
Working at the SFC
Core values
A socially responsible employer
People and the community
CSR activities
Environmental protection
CSR Committee
What the SFC does
Regulatory objectives
Who we regulate
How we function
Regulatory philosophy
Regulatory tools
Public consultation
Contact us
FAQs
FAQs
Forms
Lodge a complaint
Media corner
Search
Popup advanced search keywords
Advanced search
All of these words:
Any of these words:
The exact phrase:
None of these words:
Popup search form
Close
Home
System maintenance schedule
System maintenance schedule
Date
Time (GMT +0800)
Services suspended
Last update: 29 Jul 2024
We use cookies to improve the website performance and user experience. If you continue to use this website, you are agreeing to their uses. Learn more about our
privacy policy
.
close cookies alert
