Supervision
| Topic | Last Updated |
|---|---|
| Accounts and Audit Rules | 23 Nov 2016 |
| 9 Sep 2004 | |
|
17 Mar 2003 (updated 29 May 2020) |
|
| Account Opening | 5 Jul 2019 |
| Advisory Work on Valuations in Corporate Transactions | 13 Dec 2017 |
| Analyst Conflicts of Interest | 3 Nov 2004 |
| Anti-Money Laundering and Counter-Financing of Terrorism | 30 Sep 2024 |
| Application of the climate-related risks requirements under the Fund Manager Code of Conduct (FMCC) | 20 Aug 2021 |
| Application of section 378 of the SFO to disclosure of supervisory information by licensed corporations | 18 Dec 2018 |
| Business and Risk Management Questionnaire | 29 May 2020 |
| Client Asset Acknowledgement Letters | 30 Oct 2020 |
| Client Facilitation | 18 Dec 2020 |
| Client Money Rules | 30 Sep 2024 |
| 23 Dec 2003 | |
| 17 Mar 2003 | |
| Client Securities Rules | 28 Sep 2006 |
| 14 Dec 2004 | |
|
28 Jul 2003 (updated 22 Feb 2022) |
|
| 17 Mar 2003 | |
| Code of Conduct | 30 Sep 2024 |
| 6 May 2022 | |
| 15 Jun 2018 | |
| 23 May 2018 | |
| 16 Nov 2017 | |
| 23 Sep 2016 | |
| 22 Jan 2015 | |
| 3 Jun 2011 | |
|
30 Sep 2010 (updated 15 Oct 2024) |
|
| 12 Sep 2008 | |
| 28 Sep 2006 | |
| 14 Sep 2004 | |
| 28 Jul 2003 | |
|
16 Jul 2001 (updated 15 Oct 2024) |
|
| Contract Notes, Statements of Accounts and Receipts Rules | 20 Feb 2013 |
|
28 Jul 2010 (updated 29 Sep 2020) |
|
| 28 Sep 2006 | |
|
28 Jul 2003 (updated 8 Aug 2024) |
|
| 17 Mar 2003 | |
| Corporate Finance Adviser Code of Conduct | 12 Apr 2013 |
| Cross-boundary Wealth Management Connect | 24 Jan 2024 |
| Cybersecurity | 27 Oct 2017 |
| Depositary services for relevant CISs | 30 Sep 2024 |
| Financial resources rules and financial return | 6 Apr 2023 |
|
29 Aug 2008 (updated 24 Feb 2022) |
|
| 28 Sep 2006 | |
| 10 Jan 2006 | |
|
28 Jul 2003 (updated 24 Feb 2022) |
|
|
17 Mar 2003 (updated 24 Feb 2022) |
|
| Fund Manager Code of Conduct | 16 Nov 2017 |
| General | 28 Jul 2003 |
| 17 Mar 2003 | |
| Keeping of Records Rules | 28 Jul 2003 |
| 17 Mar 2003 | |
| Margin Lending Policy and Control Requirements | 24 Aug 2009 |
| Recognized Counterpart Rules | 17 Mar 2003 |
|
Streamlined approach for compliance with suitability obligations when dealing with sophisticated professional investors |
28 Jul 2023 |
| Triggering of Suitability Obligations | 23 Dec 2016 |
| Compliance with Suitability Obligations |
23 Dec 2016 (updated 23 Dec 2020) |
| Unsolicited Calls Exclusion Rules and section 174 of the SFO | 28 Jul 2003 |
| 17 Mar 2003 | |
| Professional Investors |
22 Jan 2015 (updated 15 Oct 2024) |
|
Guidelines on Online Distribution and Advisory Platforms and Paragraph 5.5 of the Code of Conduct [Guidance provided in these FAQs may also be relevant to offline transactions.] |
28 Mar 2018 (updated 23 Dec 2020) |
| Data Standards for Order Life Cycles | 22 Dec 2022 |
|
31 Jul 2019 (Updated 22 Dec 2022) |
|
| Guidelines for Securities Margin Financing Activities | 30 Sep 2019 |
| Use of External Electronic Data Storage | 10 Dec 2020 |
| Guidelines for Market Soundings | 1 Nov 2024 |