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 22 Feb 2019
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 Money Rules 23 Dec 2003
17 Mar 2003
Client Securities Rules 28 Sep 2006
14 Dec 2004
28 Jul 2003
17 Mar 2003
Code of Conduct 15 Jun 2018
23 May 2018
16 Nov 2017
23 Sep 2016
22 Jan 2015
3 Jun 2011
30 Sep 2010
12 Sep 2008
28 Sep 2006
14 Sep 2004
28 Jul 2003
16 Jul 2001
(updated 12 May 2015)
Contract Notes, Statements of Accounts and Receipts Rules 20 Feb 2013
28 Jul 2010
(updated 29 Sep 2020)
28 Sep 2006
28 Jul 2003
17 Mar 2003
Corporate Finance Adviser Code of Conduct 12 Apr 2013
Cybersecurity 27 Oct 2017
Financial resources rules and financial return 29 Aug 2008
28 Sep 2006
10 Jan 2006
28 Jul 2003
17 Mar 2003
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
Triggering of Suitability Obligations 23 Dec 2016
Compliance with Suitability Obligations 23 Dec 2016
Unsolicited Calls Exclusion Rules and section 174 of the SFO 28 Jul 2003
17 Mar 2003
Professional Investors 22 Jan 2015
(updated 8 Sep 2020)
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 13 Jun 2019)
Data Standards for Order Life Cycles 31 Jul 2019
Guidelines for Securities Margin Financing Activities 30 Sep 2019