关键词：Securities

Root: English > Departments 

 
General Office 

  Dept. of Public Offering Supervision 


Dept. of Market Supervision 

  Dept. of Intermediary Supervision 


Dept. of Listed Company Supervision 

  Dept. of Investment Fund Supervision 


Dept. of Futures Supervision 

  Enforcement Bureau I 


Enforcement Bureau II 

  Dept. of Legal Affairs 


Dept. of Accounting 

  Dept. of International Cooperation 


Dept. of Personnel & Education 

  Publicity Office of the CPC CSRC Committee 


Compliances Office 

  CPC CSRC Committee 


Research Center 

  Office of Branches Coordinating Committee 


Information Center 

  Headquarter Service Center 



Root: English > Departments > Dept. of Public Offering Supervision > Introduction 




All the information contained in this site is provided by the China Securities Regulatory Commission ("CSRC"). Before using or citing this information, please read the following carefully:

1. The CSRC logo belongs to the China Securities Regulatory Commission. To use the CSRC logo, the permission of the China Securities Regulatory Commission must be obtained and the appropriate acknowledgement made.

2. The copyright in all the information contained in this site belongs to the China Securities Regulatory Commission. This information may not be changed, sold or leased without the prior permission of the China Securities Regulatory Commission.

3. The China Securities Regulatory Commission may amend or update any of the information contained in this site at any time. However, the China Securities Regulatory Commission makes no guarantees with respect thereto. Under no circumstances does the China Securities Regulatory Commission accept legal liability for any losses caused by the use or citation of the said information.

4. Chinese version is the standard for all infomation.

Root: English > Departments > Dept. of Market Supervision > Introduction 




According to the Circular of the General Office Under the State Council on Printing and Issuing the Regulations of the China Securities Regulatory Commission on Function Allocation, Internal Organizations and The Staffing (No.131 [1998] State Council), the functions of the Department of Market Supervision are: to draw up regulations and detailed implementation rules in terms of the transaction, liquidation, registration and depository of securities under the supervision (excluding the unlisted treasury bonds and corporate bonds, the same below); to examine the founding of institutions in charge of securities transaction, liquidation, registration and depository, and supervise the business activities of such institutions; to examine the constitutions, business rules and categories of listed securities of securities exchanges; to analyze quotations of securities transaction at home and abroad; to supervise the information dissemination of domestic securities and futures markets.

The Department of Market Supervision has the Comprehensive Division, the Division of Transaction Supervision, the Division of Settlement Supervision, and the Division of Information Supervision, major functions of which are respectively specified as follows:

1. The Comprehensive Division: to take charge of administrative and secretarial affairs inside the Department, comprehensive coordination, research on part of subjects, seek for and make up of omissions for other divisions and other management of its own affairs.

2. The Division of Transaction Supervision: to draft regulations, detailed implementation rules and other administrative rules on the supervision over securities transaction, inspect and urge pertinent organizations to carry out the said provisions; to examine the establishment of securities exchanges and supervise their business activities; to examine the constitutions, business rules and categories of listed securities of securities exchanges; to conduct market research and investigation and put forward proposals for the planning and development of securities markets.

3. The Division of Settlement Supervision: to draft regulations and detailed implementation rules in terms of the transaction, liquidation, registration and depository of securities under the supervision; to examine the establishment of institutions in charge of securities transaction, liquidation, registration and depository, and to supervise the business activities of such institutions; to examine the constitutions and business rules of institutions responsible for securities liquidation, registration and depository.

4. The Division of Information Supervision: to analyze the quotations of securities transaction; to carry out market tracking and monitoring, timely discover and deal with stocks with abnormal fluctuations, cooperate with relevant departments, e.g. the enforcement bureau, in the investigation for fighting against overspeculation; to supervise the information dissemination of domestic securities and futures markets. 

The China Securities Regulatory Commission

Root: English > Departments > Dept. of Intermediary Supervision > Introduction 




According to the Circular of the General Office Under the State Council on Printing and Issuing the Regulations of the China Securities Regulatory Commission on Function Allocation, Internal Organizations and The Staffing ( No.131 [1998] State Council), the responsibilities of the Department of Intermediary Supervision are: to draft regulations and detailed rules for the implementation thereof on the supervision of securities institutions and investment consulting agencies; to examine the establishment of securities institutions and investment consulting agencies and their qualifications for securities business operation and supervise their business activities; to examine the qualifications for senior executives serving the securities institutions and investment consulting agencies and supervise the business activities of such executives; to examine the establishment of institutions dealing with securities business overseas by domestic institutions; to examine the establishment of institutions dealing with securities business within China by overseas institutions and supervise the business activities of the established institutions.

The Department of Intermediary Supervision has five divisions, namely, the Comprehensive Division, the Division of Securities Companies Examination, the Division of Securities Companies Inspection I, the Division of Securities Companies Inspection II and the Division of Consulting Agency Supervision, major functions of which are respectively specified as follows:

1. The Comprehensive Division is responsible for the administrative and secretarial affairs inside the Department, comprehensive coordination, the supervision of securities institutions with foreign investment and other related matters handed over by leaders.

2. The Division of Securities Companies Examination takes charge of the examination of matters in respect of the establishment, modification and withdrawal of securities companies, the administration on the qualifications for senior executives serving securities companies and on the practicing qualifications for securities practitioners.

3. Functions of the Division of Securities Companies Inspection I are to inspect and supervise the securities companies located in the south-central and northern parts of China, to examine the securities companies’ qualifications for underwriting and self-support businesses, and to conduct research on policies in respect of businesses of comprehensive companies.

4. Functions of the Division of Securities Companies Inspection II are to inspect and supervise the securities companies located in the northwestern, southwestern, northern and eastern parts of China, to examine the compliance of securities companies’ qualifications for online commissioning business with laws and regulations, to examine the establishment of securities service department, and to conduct research on policies in connection with broking business of securities companies.

5. The Division of Consulting Agency Supervision takes responsibilities for the examination on matters in terms of the establishment, modification and withdrawal of securities consulting agencies, the administration on the qualifications for senior executives serving such agencies and the supervision over the qualifications for practitioners of such agencies.

The China Securities Regulatory Commission


Root: English > Departments > Dept. of Listed Company Supervision > Introduction 




l. Functions of the Department of Listed Company Supervision are:
1. to draft regulations and detailed rules for the implementation thereof on the supervision over listed companies and organize the inspection on the implementation of such regulations and rules;
2. to conduct special research on important issues relating to policies in connection with listed companies;
3. to take charge of the training on securities knowledge for directors and supervisors of listed companies;
4. to carry out the supervision tasks of local securities regulatory offices and bourses, instruct and urge as well as inspect the first-line supervision of securities exchanges over the information disclosure of listed companies;
5. to examine, supervise and inspect matters in terms of consolidation and division of domestic listed companies;
6. to supervise the acquisition, merger and asset restructuring of domestic listed companies;
7. to carry out patrol inspection and special verification on standardized operation, information disclosure, utilization of raised funds, financial and accounting reports of listed companies;

8. to supervise the performance of obligations under securities laws and regulations by listed companies, their directors, supervisors, senior executives and major shareholders;
9. to deal with important emergencies occurring inside listed companies relating to securities markets.

II. Internal Divisions and Their Functions

1. The Comprehensive Division: to lead the organization for the drafting of and amendment to laws, regulations and regulatory documents concerning the supervision over listed companies; to cooperate in the training for directors and independent directors of listed companies; to take charge of administrative and secretarial affairs inside the Department, comprehensive coordination and other affairs concerned.

2. The Division of Corporate Governance Supervision: to draft out regulatory documents in respect of corporate governance structure of listed companies and conduct research on important policy issues in connection with listed companies’ corporate governance; to instruct listed companies to establish and improve the corporate governance structure and standardized operation; to supervise the utilization of raised funds by listed companies; to carry out patrol inspection and special verification on listed companies; to cooperate with the enforcement bureau in the handling of complaints on listed companies.

3. The Division of Merger and Acquisition Supervision: to cooperate with relevant departments in the drafting of laws and regulations concerning the merger, acquisition and asset restructuring of listed companies; to supervise the activities of listed companies in terms of acquisition, consolidation, division, voting right collection as well as asset restructuring; to instruct listed companies and concerned parties to fulfill statutory procedures and obligations of information disclosure in the course of acquisition and merger activities; to supervise the practicing quality of the relevant intermediary agencies during the activities of acquisition and merger.

4. The Division of Supervision Coordination: to coordinate with the Department of Public Offering Supervision in the examination on listed companies’ refinancing; to overall coordinate and instruct the routine supervision of the dispatched agencies over listed companies. Set up listed company classified supervision system and put it into practice; to focus on the tracking and supervision over listed companies with high risks; to coordinate the handling of significant emergencies occurring in listed companies with departments inside and outside the China Securities Regulatory Commission; to deal with relevant work for the delisting of listed companies’ shares; to cooperate with concerned departments in promoting the establishment of civil litigation system for securities market.

5. The Division of Information Disclosure Supervision: to instruct, urge and inspect the first-line supervision of securities exchanges over the information disclosure of listed companies; to coordinate with the accounting department in the handling of financial and accounting issues arising from listed companies’ information disclosure, and to cooperate with the accounting department in drafting and amending the rules on the information disclosure of listed companies (periodical and temporary reports); to organize and collect, analyze and deal with feedbacks on listed companies from the market and medias. To coordinate with securities exchanges and regional agencies in the supervision over the information disclosure of listed companies.

The China Securities Regulatory Commission

Root: English > Departments > Dept. of Investment Fund Supervision > Introduction 




China Securities Regulatory Commission
Functioning from October, 1997 and set up in September 1998, the Department of Investment Fund Supervision is responsible for the following responsibilities: to draft regulations and detailed rules for the implementation hereof on the supervision over securities investment funds; to examine securities investment funds, the establishment of securities investment fund management companies and supervise the business operations carried out by such companies; to jointly review the qualification for fund custodian business of the institutions engaged in the custody of securities investment funds, and supervise their fund custodian business; to supervise the sales and operation of securities investment funds; to review and supervise the qualified foreign institutional investors (QFII) and the establishment of representative offices in China by overseas asset management institutions.

The Department of Investment Fund Supervision has five divisions, namely the Comprehensive Division, Supervision Division I, Supervision Division II, Supervision Division III, and Supervision Division IV, responsibilities of which are specified as follows:

The Comprehensive Division: takes charge of administrative and secretarial affairs inside the Department, comprehensive coordination, submission of fund information and announcement of statistical data and external information to the public;

The Supervision Division I: bears liability to draft rules for businesses conducted by fund management companies and their senior executives and supervises such their businesses;

The Supervision Division II: is in charge of drafting rules for business conducted by custodian banks and supervises such business, and responsible for the supervision over fund information disclosure, fund investment and transaction;

The Supervision Division III: is responsible for the drafting of operation rules for fund products and fund marketing as well as the supervision over such operations.

The Supervision Division IV: takes responsibilities for the drafting of operation rules for the QFIIs and custodian banks, and supervises such operations.


Root: English > Departments > Dept. of Futures Supervision  > Introduction 




The Department of Futures Supervision of the China Securities Regulatory Commission (the CSRC) is a functional department responsible for the supervision over futures markets, the main responsibilities of which are specified as follows: to draw up regulations and detailed rules for the implementation thereof on the supervision over futures markets; to examine the establishment, constitution, business rules and listed futures contracts of futures exchanges and supervise their business activities; to examine the establishment of futures operating institutions, futures settlement institutions, and futures investment consulting institutions, as well as the their qualifications for futures business, and supervise their business activities; to examine the qualifications for the senior executives of futures operating institutions, futures settlement institutions, and futures investment consulting institutions and supervise their business activities; to analyze the quotations of domestic futures transaction, and study the futures markets at home and abroad; to examine the qualifications of domestic institutions for overseas futures business and supervise such futures business abroad. There are four divisions under the Department of Futures Supervision, namely the Comprehensive Division, the Division of Futures Exchange Supervision, the Division of Brokerage House Supervision, and the Division of Overseas Futures Supervision, with their respective functions as follows:
The Comprehensive Division: be in charge of the comprehensive, administrative and foreign affairs inside the Department, along with such secretarial work as verification of documents and custody of files; legislation on futures markets; the qualification certification for senior executives in futures brokerage companies and routine management work; the liaison and coordination for matters in connection with futures association; the planning and maintenance of the website of the Department and publication of supervision information; and the coordination with all the departments of the CSRC and for the pertinent matters.

The Division of Futures Exchange Supervision: supervises such business activities as transaction, delivery, and settlement conducted by futures exchanges according to the laws; draws up a specific system for the effective supervision over futures exchanges; takes charge of examination on the constitution, transaction rules and futures contracts of futures exchanges; coordinates the cooperation among futures exchanges.

The Division of Brokerage House Supervision: drafts a specific system for the effective supervision over futures operating institutions; supervises the business activities of futures operating institutions according to the laws; takes charge of the examination on the establishment and modification of the futures operating institutions subject to the laws and carries out annual inspection of futures operating institutions; deals with and coordinates the complaints lodged against the futures operating institutions and maintains the interests of investors; instructs and coordinates the routine futures supervision of the dispatched agencies.

The Division of Overseas Futures Supervision: examines the application from domestic enterprises for overseas futures business and issues permits for overseas futures business; supervises futures businesses in terms of categories and quantity of futures as exchanged by the enterprises holding the said permits at overseas futures markets, and verifies the qualifications of the overseas agents and overseas futures exchanges as selected by the enterprises holding such permits, and investigates and punishes the illegal transaction of futures abroad; draws up specific rules and regulations for the supervision over the overseas futures; conducts research on domestic and overseas futures market.


Root: English > Departments > Enforcement Bureau I  > Introduction 




The Comprehensive Division: takes charge of the administrative and secretarial affairs inside the Bureau, the comprehensive coordination and other related work; organizes the drafting of the working rules and detailed implementation rules on the investigation of cases in violation of laws and regulations occurring on securities and futures markets; bears the liability for reexamine cases of this Bureau; is responsible for inquiries from and replies to related departments inside and outside the China Securities Regulatory Commission (the CSRC) in terms of legislative affaires investigated by the Bureau; cooperates in the investigation into cases with relevant authorities of of Hong Kong and foreign countries.

The Investigation Division I: bears the liability to investigate the law-breaking cases that are required to be handled with replies from the State Council and relevant departments and confirmed significant by the CSRC in terms of securities, futures and funds;

The Investigation Division II: takes responsibilities to organize, urge, coordinate and instruct the investigation into the law-breaking cases in terms of securities, futures and funds as conducted by the securities regulatory offices of the municipalities of Tianjin, Shenyang, Shanghai and Ji’nan as well as the specially assigned offices within the jurisdiction of such municipalities;

The Investigation Division III: takes charge of the organization, urging, coordination and instruction for the investigation into the law-breaking cases in terms of securities, futures and funds as conducted by the securities regulatory offices of the municipalities of Guangzhou and Shenzhen, the specially assigned offices within the jurisdiction of such municipalities along with the securities regulatory office of Beijing municipality directly under the CSRC;

The Investigation Division IV: be in charge of the organization, urging, coordination and instruction for the investigation into the law-breaking cases in terms of securities, futures and funds as conducted by the securities regulatory offices of the municipalities of Wuhan, Chengdu and Xi’an, the specially assigned offices within the jurisdiction of such municipalities along with the securities regulatory office of Chongqing municipality directly under the CSRC;

The Division for Letters and Calls: takes charge of receiving and handling such affairs within the functions and powers of the securities regulatory authorities as reporting, complaints, letters and calls as well as the chairman’s hotline, and of instructing and supervising the handling of letters and calls within the securities regulatory system.

Root: English > Departments > Enforcement Bureau II  > Introduction 




 
Division Structure

The Comprehensive Division

The Investigation Division I

The Investigation Division II

The Investigation Division III

The Investigation Division IV

Responsibilities of Personnel

To draft regulations and detailed implementation rules governing market manipulation and insider dealing in the course of securities and futures transactions;

To organize the investigation into cases  involving market manipulation and insider dealing in the course of securities and futures transactions, and put forward proposals for resolution thereof

Divisional Structure
The Comprehensive Division

The Division of Regulation

The Division of Regulation Coordination

The Division of Handling and Judgment Enforcement of Cases

The Division of Litigation Reconsideration



Responsibilities of Divisions

To draft laws, regulations, rules and the detailed implementation rules thereof on securities and futures markets, and examine rules and regulations as drawn up by every departments of the China Securities Regulatory Commission (the CSRC); to offer consulting services for legal problems encountered in the course of supervision, and give explanations to the related laws, regulations and rules within the scope of its authorization; to supervise and coordinate the execution of the pertinent laws, regulations and rules; to take charge of the publicity and education of relevant laws, regulations and rules; to organize the handling of cases on administrative reconsideration, administrative litigation, state compensation and litigations of other kinds in terms of the CSRC; to supervise the activities of intermediary businesses of securities and futures as conducted by lawyers and their law firms; to bear liability for the handling and hearing of the CSRC’s administrative penalty cases and for the execution of administrative penalties, to coordinate as well as instruct the handling and hearing of the administrative penalty cases within the CSRC’s system and the execution of administrative penalties, and to undertake the routine work of the administrative penalty committee of the CSRC.

Root: English > Departments > Dept. of Accounting  > Introduction 




Basic functions of the Department of Accounting (Office of Chief Accountant) are specified as follows:

To draft the administrative measures of the securities and futures industries and listed companies for the implementation of accounting and financial affairs in accordance with the uniform accounting and financial systems as stipulated by the State, and submit such measures to the Ministry of Finance for examination and approval before implementation; to examine the rules and regulations as drawn up by departments of the China Securities Regulatory Commission (the CSRC) in terms of accounting and financial affairs concerning securities and futures; to offer consulting services for issues of accounting and financial affairs as well as assets evaluation in the course of supervision; to examine the qualifications of accountants, asset evaluators and their firms for intermediary businesses of securities and futures, and supervise their business activities concerned; to supervise the implementation of the State accounting and financial provisions by securities and futures institutions according to regulations and carry out auditing for leaving positions inside such institutions; to uniformly coordinate the policies of securities and futures markets on charges and taxes; to draw up related rates of charges, rules and regulations for supervision fee, all of which shall not be put into practice until being examined and approved by the competent authorities responsible for collection under the State Council; to examine the financial budget and final accounts of organizations, dispatched agencies and bourses as well as their activities of income and expenditure.

The Division of Comprehensive:

Takes charge of the administrative and secretarial affairs inside the Department as well as the comprehensive coordination; draws up regulations of securities companies, futures brokering companies, securities investment funds and fund management companies, securities and futures exchanges on accounting, auditing, financial affairs and taxation; is responsible for other relevant affairs.

The Division of Accounting System:

Is responsible for drafting the administrative measures of securities and futures industries and listed companies for the implementation of accounting and financial affairs, examines the rules and regulations as drawn up by departments inside the CSRC in terms of accounting and financial affairs concerning securities and futures and offers consulting services for issues of accounting and financial affairs as well as assets evaluation in the course of supervision.

The Division of Accountant Supervision:

Bears the liability to supervise the accountants, asset evaluators and their firms that are engaged in securities and futures industries, and organizes the auditing on financial affairs and for leaving positions.

The Division of Financial Budget Management:

Be in charge of the organization and collection of fees for supervision conducted by the Department and its dispatched agencies, budget allocation and expenditure supervision of such fees, and is responsible for the coordination in taxation and charges as collected at the securities and futures markets.

The Division of Auditing:

Be in charge of the supervision over the financial affairs and the auditing for leaving positions inside the organizations of the CSRC, their dispatched agencies, institutions directly under them, securities and futures exchanges as well as securities registration and settlement companies.

Division Structure
The Comprehensive Division: is responsible for the administrative and secretarial affairs, comprehensive coordination and other affairs inside the Office.

The Division of Investigation: takes charge of the investigation into cases violating laws and disciplines relating to bodies under the securities supervisory system and their personnel;

The Division of Trial: bears the liability to try cases violating laws and disciplines relating to bodies under the securities supervisory system and their personnel.

Functions of Divisions

to draw up relevant rules and regulations;

to inspect issues arising from the compliance with and implementation of laws, regulations and rules by bodies under the securities supervisory system and their personnel;

to accept the charge and accusation against the activities violating administrative disciplines as conducted by bodies under the securities supervisory system and their personnel;

to investigate the activities contravening administrative disciplines as conducted by bodies under the securities supervisory system and their personnel;

to be responsible for other functions required to be performed by the supervisory organs according to laws as well as the administrative rules and regulations;

The China Securities Regulatory Commission

Root: English > Departments > Information Center  > Introduction 




Established in May, 1997, the Information Center, according to the Circular on Organizational Staffing of the Information Center (No.75 [1997] CSRC), the Circular on Printing and Issuing the Plan for Establishing Divisions of Various Departments of the China Securities Regulatory Commission and the Procedures for the Appointment of Divisional Cadres and the Promotion of Divisional Personnel of the China Securities Regulatory Commission (No.47 [1998] CSRC) and in light of function adjustment made in actual work by all the departments of the China Securities Regulatory Commission (the CSRC) in recent years, has the basic functions as follows:

1. to take charge of studying and drafting the medium and long-term programs for the construction of information system of national securities and futures industries, and of conducting coordination in and urging the implementation of such programs;

2. to be responsible for the integrated planning and administration of standards for securities and futures industries so as to be geared to the standards of international organizations;

3. to bear the liability to organize the securities and futures industries to participate in the research on national scientific and technological projects;

4. to be in charge of examining and reporting for approval the application for tax exemption of the imported equipment of securities and futures industries;

5. to supervise the security of the network and information of securities and futures industries;

6. to be responsible for the verification of qualification of securities companies for online transaction according to law;

7. to take responsibility to provide technical support for the relevant regulations and policies of the CSRC;

8. to be liable for the master planning of the construction of computerization of government management inside the CSRC, and for the development, operation and maintenance of the operating information system that supports the supervision;

9. to be held liable to build and maintain the website of the CSRC and strengthen the administration on the online release of the CSRC’s information;

10. to take charge of the development, operation and maintenance of the computer system and local area network of the CSRC (including its branches);

11. to be in charge of the management of the information center and the library of the CSRC; and

12. to undertake other matters as handed over by the CSRC’s leaders.

After approved by the CSRC, the divisional structure of the Information Center and their functions are specified as follows:

The Comprehensive Division: is in charge of the comprehensive affairs concerning the personnel, party, labor union and administration; of managing and maintaining various information systems as shared by the CSRC and its branches and managing the CSRC’s library; of verifying the qualification for online securities commission, gathering statistics for online securities transaction and studying supervisory policies; of compiling the year book of industrial information technology, assisting relevant ministries in the production of such year book, providing articles about the industry and participating in cross-industry information-based activities; of organizing and putting into practice the research on scientific and technological subjects of securities industry as well as the demonstration thereof.

The Division of Computer Management: takes charge of the office network system of the CSRC and warrants the safe operation of the computers and system; is responsible for the construction, management and maintenance of the equipment room of the computer center; for the construction, management and safe operation of wide area networks established between the CSRC and its branches, exchanges or securities registration and clearing companies; for the construction, management and operation of office information system concerned; for the procurement, configuration and maintenance of the relevant hardware and software equipment and consumption materials for the CSRC’s computers; and for the construction, management and operation of the website of the CSRC.

The Division of System Planning: bears the liability for the construction of the CSRC’s computerization of government management, and for the construction, popularization for use, operation and maintenance of the application system for securities and futures supervisory business between the CSRC and its branches; coordinates the construction of branches’ information system infrastructure; establishes and improves the system of information system management of the CSRC and its branches and supervises the implementation thereof; organizes to apply for and implements the securities and futures supervisory information system projects which are supported by the state; coordinates the cross-industrial sharing of supervisory information system concerned.

The Division of Supervision of Technologies: takes responsibility to promote industrial information, and organizes to carry out and propel the security protection of industrial network and information; supervises the online securities commission transaction consecutively; pushes forward the construction of industrial standardization and popularization together with application thereof; completes the implementation and coordination for cross-department and cross-industry standards, and conducts coordination in national and international standardization on behalf of the industry; provides technical supports for regulations and policies on supervision; studies the policies for the industrial information technology development; applies for the tax exemption of imported equipment for the industry.

Moreover, offices in charge of the routine work of the Coordinating Group of Information Security Protection of Securities and Futures Industries as well as the Securities Sub-Committee of the China Finance Standardization Technical Committee are also established inside the Information Center.

Root: English > Departments > Dept. of Investment Fund Supervision > Introduction 




China Securities Regulatory Commission
Functioning from October, 1997 and set up in September 1998, the Department of Investment Fund Supervision is responsible for the following responsibilities: to draft regulations and detailed rules for the implementation hereof on the supervision over securities investment funds; to examine securities investment funds, the establishment of securities investment fund management companies and supervise the business operations carried out by such companies; to jointly review the qualification for fund custodian business of the institutions engaged in the custody of securities investment funds, and supervise their fund custodian business; to supervise the sales and operation of securities investment funds; to review and supervise the qualified foreign institutional investors (QFII) and the establishment of representative offices in China by overseas asset management institutions.

The Department of Investment Fund Supervision has five divisions, namely the Comprehensive Division, Supervision Division I, Supervision Division II, Supervision Division III, and Supervision Division IV, responsibilities of which are specified as follows:

The Comprehensive Division: takes charge of administrative and secretarial affairs inside the Department, comprehensive coordination, submission of fund information and announcement of statistical data and external information to the public;

The Supervision Division I: bears liability to draft rules for businesses conducted by fund management companies and their senior executives and supervises such their businesses;

The Supervision Division II: is in charge of drafting rules for business conducted by custodian banks and supervises such business, and responsible for the supervision over fund information disclosure, fund investment and transaction;

The Supervision Division III: is responsible for the drafting of operation rules for fund products and fund marketing as well as the supervision over such operations.

The Supervision Division IV: takes responsibilities for the drafting of operation rules for the QFIIs and custodian banks, and supervises such operations.


Root: English > Departments > Dept. of International Cooperation > Introduction to the Department 




Divisional Structure
The Comprehensive Division

The Division of Foreign Affairs

The Division of International Cooperation

The Division of Affairs of Hong Kong, Macao and Taiwan

The Division of Overseas Listing



Functions of Divisions

The Department of International Cooperation of the China Securities Regulatory Commission (CSRS) is responsible for foreign affairs on behalf of the CSRC; drafting rules and regulations concerning international cooperation; supervising and managing visits to and from foreign countries; initiating dialogues with international organizations and governments; supervising the performance of the overseas counterparts; coordinating and organizing the cross-border inspection cooperation; coordinating, organizing, obtaining or providing technical assistance and personnel training abroad; taking charge of the research and coordination concerning the opening of securities industry after accession to the WTO; providing instructions to policies related to affairs of Hong Kong, Macao and Taiwan inside the CSRC; taking charge of examination on overseas listing by domestic enterprises and drafting regulations thereof.


Root: English > Departments > Publicity Office of the CPC CSRC Committee  > Introduction 




Division Structure
There are two divisions in the Publicity Office of the CPC CSRC Committee, namely the Comprehensive Division and the Division of Party School (CYL Committee).

Functions of Divisions

Major functions are specified as follows:

1. to take charge of theoretical study, publicity and education for party members and cadres of the CSRC;

2. to be responsible for ideological and political work and the specific work on the construction of spiritual civilization;

3. to undertake specific work of the Party school;

4. to bear liability for the work of the CSRC’s communist youth league and that concerning young people inside the CSRC.

Service Targets

All units and individuals that care about the publicity of ideological and political theories and the construction of spiritual civilization inside the securities supervision organizations

Description of Operation

1. studying of the central group of the Committee: All the compiled press releases concerning such study shall be published on the website;

2. display of the construction of spiritual civilization and spirits of the young CYL members: The CSRC has taken important measures to build spiritual civilization in a systematic way, organized typical and awarded units to exchange their experiences and announced to the public the decisions on choosing and commending young CYL members;

3. information about the Party school; and

4. publicity of ideological development.

Root: English > Departments > Office of Branches Coordinating Committee  > Introduction 




I. Functions of the Office of Coordination Committee for Regional Offices
The Coordination Committee for Regional Offices has an office to be responsible for the routine work of the Committee.

1. to draft rules and regulations on strengthening the administration and coordination of branches;

2. to put forward proposals to the policy-based, procedural and guiding documents which are intended to be issued to branches by departments of the China Securities Regulatory Commission (the CSRC);

3. to evaluate the work of branches and inspect the branches’ implementation of arrangement made at Party Committee and Chairman office meetings; to urge the handling of important matters as replied officially by leaders of the CSRC ;

4. to take charge of the communication with branches as well as of the compilation and publication of work bulletins; to organize the exchange of experiences and assist the General Office in the organization of convening important meetings in connection with branches;

5. to bear the liability to investigate the work of branches and the ideology of branches’ personnel and conduct regular analysis; to participate in the studying of major issues like division of functions and powers of branches and divisional structure, etc., and raise opinions therefore;

6. to collect and process opinions and suggestions of branches regularly;

7. to be responsible for other work handed over by the Coordination Committee for Regional Offices.

II. The divisions of the Office of Coordination Committee for Regional Offices

The Office of Coordination Committee for Regional Offices has the Comprehensive Division and the Division of Coordination composed of 9 members in all.

III. Office Address: Suite 8027, China Securities Regulatory Commission, No.16, Finance Street, Xicheng District, Beijing

Introducing the SFC

The Securities and Futures Commission (SFC) is an independent non-governmental statutory body outside the civil service, responsible for regulating the securities and futures markets in Hong Kong.

For more details, please see the other parts of this section. 

Regulatory Objectives
The Securities and Futures Commission (SFC) is an independent statutory body established by the Securities and Futures Commission Ordinance (SFCO). The SFCO and nine other securities and futures related ordinances were consolidated into the Securities and Futures Ordinance (SFO), which came into operation on 1 April 2003.


We are responsible for administering the laws governing the securities and futures markets in Hong Kong and facilitating and encouraging the development of these markets.

Our statutory regulatory objectives as set out in the SFO are:

to maintain and promote the fairness, efficiency, competitiveness, transparency and orderliness of the securities and futures industry;
to promote understanding by the public of the operation and functioning of the securities and futures industry;
to provide protection for members of the public investing in or holding financial products;
to minimise crime and misconduct in the securities and futures industry;
to reduce systemic risks in the securities and futures industry; and
to assist the Financial Secretary in maintaining the financial stability of Hong Kong by taking appropriate steps in relation to the securities and futures industry.
In carrying out our mission, we aim to ensure Hong Kong¡¦s continued success and development as an international financial centre.


The SFC is divided into four operational divisions: Corporate Finance, Intermediaries and Investment Products, Enforcement, and Supervision of Markets. The Commission is supported by the Legal Services Division and Corporate Affairs Division.

  Whom, What and How We Regulate
We regulate How we do it 
Licensed corporations and individuals carrying out the following regulated activities:

Dealing in securities
Dealing in futures contracts
Leveraged foreign exchange trading
Advising on securities
Advising on futures contracts
Advising on corporate finance
Providing automated trading services
Securities margin financing
Asset management
Set licensing standards to ensure that all practitioners are fit and proper
Approve licences and maintain a public register of licensees
Issue codes and guidelines to inform the industry of its expected standard of conduct
Monitor licensees¡¦ financial soundness and compliance with ordinance, codes, guidelines, rules and regulations
Handle misconduct complaints against licensees
Investigate and take action against misconduct

Investment products offered to the public Set standards for the authorisation and regulation of investment products
Authorise investment products offered to the public and their promotion (including advertisements and marketing materials)

Listed companies Approve changes to the Listing Rules
Monitor announcements and vet listing application materials under the Dual Filing regime
Administer the Codes on Takeovers and Mergers and Share Repurchases
Consider requests for exemptions from prospectus requirements under the Companies Ordinance
Enquire into listed companies¡¦ suspected prejudicial or fraudulent transactions or provision of false or misleading information to the public

Hong Kong Exchanges and Clearing Limited (HKEx) Oversee the performance of its role as the frontline regulator of listingrelated matters
Approve the creation of new markets, new products and changes to its rules and regulations
Monitor HKEx¡¦s own compliance with the Listing Rules
Monitor the trading of shares, options and futures on its markets
Oversee its systems and technology

Approved share registrars Approve the Federation of Share Registrars as an association whose members shall be approved share registrars
Require approved share registrars to comply with the requirements of the Code of Conduct for Share Registrars

Investor Compensation Company Limited (ICC) Recognise the ICC as an independent compensation company
Approve the rules and any amendment of rules of the ICC
Require the ICC to prepare and regularly submit financial statements, auditors¡¦ report and other documents to the SFC

All participants in trading activities Monitor unusual market movements and direct trade suspension of related stocks to maintain an informed and orderly market
Investigate and take action against market misconduct and other breaches of the law

Corporate Governance and the SFC
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Corporate Governance
As the statutory regulator of the securities and futures markets in Hong Kong, the Commission places great importance on corporate governance. We always strive to enhance our accountability to the public and the transparency of our work. We adopt and implement corporate governance practices commensurate with the best standards applicable to public bodies.

The Commission

Composition of the Board

The constitution and proceedings of the Board are defined by the SFO. All the Members of the Board are appointed by the HKSAR Chief Executive for a fixed term and the SFO requires that the majority of the Members must be independent Non-Executive Directors (NEDs). The composition of the Board ensures independent supervision of the Commission's executive functions.

The Securities and Futures (Amendment) Ordinance 2006, which amends the SFO to provide for the separation of the role of the Chairman of the Commission from that of the executive arm of the Commission and to create a Chief Executive Officer (CEO) post, has come into effect as from 23 June 2006.

Under the new structure, the Commission will be led by a chairman whose role will be separated from the executive arm, while the executive arm will be headed by a CEO. The Chairman will lead the SFC Board in setting the overall direction, policies and strategies of the Commission and monitoring the performance of the executive arm in fulfilling the objectives, policies and strategies set by the board. As for the CEO, he has the executive responsibility for the day-to-day running of Commission. He should implement the objectives, policies and strategies agreed by the board, and facilitate the board's effective functioning.

The respective roles and responsibilities of the Chairman and CEO are set out below:

Role and responsibilities of the Chairman

1.  The Chairman has no executive responsibility for the day-to-day running of the Commission.
2.  His/her key responsibilities are to -
    (a) establish and develop an effective Board;
    (b) lead the Board as a team;
    (c) plan and manage the Board's business;
    (d) lead the Board in its setting of the overall directions, policies, strategies, agendas and priorities of the Commission;
    (e) facilitate effective contributions by the NEDs; 
    (f) maintain and develop a productive relationship with the CEO;
    (g) with the CEO, ensure that key issues are discussed by the Board in a timely manner, that the Board has adequate support and is provided with all the necessary information on which to base decisions;
    (h) with the CEO, lead the communication of Commission policies to its stakeholders; 
    (i) as Chairman of the Commission, represent the Commission officially at the local and international level, as appropriate, including attending meetings of the committees and subcommittees of the Legislative Council when requested;
    (j) provide a source of counsel and challenge to the CEO on how the Commission is run, including giving feedback to the CEO on senior management performance, development and succession, and on organizational structure; and
    (k) evaluate the effective functioning of the Board, SFC committees and individual directors.


Role and responsibilities of the CEO:

1.  The CEO has the overall executive responsibility for the day-to-day running of the Commission and specific functions or duties delegated by the Board from time to time.
2.  His/her key responsibilities include -
    (a) implementing the strategy agreed by the SFC Board, in whose formulation s/he will have played a major part, and facilitating the effective functioning of the Board;
    (b) reporting to the Board regularly with appropriate, timely and quality information so that the Board can discharge its responsibilities effectively;
    (c) informing and consulting the Chairman and the Board on all matters of significance to the Commission including helping ensure that key issues are discussed by the Board in a timely manner, that the Board has adequate support and is provided with all the necessary information on which to base decisions;
    (d) developing and delivering the strategic objectives agreed with the Board including helping to set the agenda and establish priorities for the SFC;
    (e) recommending to the Board significant operational changes and major capital expenditures where these are beyond the delegated authority;
    (f) assigning responsibilities clearly to senior management and supervising the work of other Executive Directors;
    (g) overseeing the day-to-day regulatory work of the Commission and ensuring that the Commission is equipped with the necessary staffing, financial and risk management systems for its mission;
    (h) tendering advice to the Chief Executive of the Hong Kong Special Administrative Region under section 11(1) of the Securities and Futures Ordinance (Cap. 571) after consulting the Chairman and any other member of the Commission as appropriate;
    (i) signing the annual accounts of the Commission and the Investor Compensation Fund;
    (j) sharing with the Chairman the task of convening meetings of the Board and the Advisory Committee;
    (k) recruiting, developing and retaining talented people to work at the Commission and in particular establishing a strong management team which is fair and fully evaluated;
    (l) communicating throughout the Commission the strategic objectives agreed with the Board, including those in the corporate plan, and ensuring that these are achieved in practice;
    (m) sharing with the Chairman and other members of the SFC senior management the responsibility of communicating the Commission's messages externally; and
    (n) as CEO of the Commission, represent the Commission officially at the local and international level, as appropriate, including attending meetings of the committees and subcommittees of the Legislative Council when requested. 



The remuneration package of individual Executive Directors (EDs) is determined by the HKSAR Chief Executive upon the recommendation of the Remuneration Committee of the Commission, which is chaired by an NED and comprises only NEDs. Our Chairman and NEDs receive a fixed sum of honorarium every year.

How the Commission Operates

All important policies and decisions are discussed and approved by the Board, which meets regularly every month and holds additional meetings as necessary. Divisional staff attend Board meetings to explain policy proposals, report on important operational matters and regulatory issues. Members are also briefed on the financial positions of the Commission and provided with monthly financial statements.

To play an effective oversight role, the Board has delegated most of the regulatory powers and functions to individual EDs, staff or Committees, reserving the critical functions at the Board level. The Commission maintains a detailed delegation list.

All newly appointed Members receive briefings on the work of the Commission and are provided with relevant SFC documents including a copy of the Code of Conduct, which sets out the legal obligations and the Commission's requirements on them. All Members are required to disclose their investment portfolio upon appointment and report any subsequent changes to the Commission.

Members have separate and independent access to the senior management and divisional staff for additional information they may require about any policy proposal. They have access to the Commission Secretary, who is responsible for ensuring the procedures of the Commission are complied with. Members and the Commission Committees can seek independent professional advice at the expense of the Commission as and when necessary.

Commission Committees

The Commission has established the Advisory Committee, Public Shareholders' Group and other consultative and regulatory committees with a largely external membership drawn from the market. These committees provide external input to the Commission on policy matters.

NEDs play an important role in ensuring that the Commission is accountable and transparent by chairing and participating in various Commission committees, which have their respective terms of reference. The Commission committees circulate their minutes and report important issues to the Board regularly.

The NEDs' role is particularly important in several internal committees:

Audit Committee

The Audit Committee comprises only NEDs. Senior staff including EDs are invited to attend meetings where necessary.

The Audit Committee convenes every quarter and additionally if necessary to review quarterly and annual financial statements before their submission to the Commission for approval. It endorses the appointment of external auditors for the Commission's approval every year and plays an important role in the design of the scope of internal and external audits. It reviews audit findings set out in the external auditors' management letters and management's responses to them, and monitors the implementation of agreed improvements.

The Audit Committee also examines management procedures to monitor the effectiveness of the systems of financial and internal control. It considers and approves our annual internal control review programme and cross-divisional audit programme.

For the provision of non-audit services by external auditors, the Audit Committee will critically consider each engagement on a merit basis. To ensure independence and objectivity of the annual audit, two different external auditors are appointed to perform respectively the annual audit and internal control review of the Commission.

Remuneration Committee

The Remuneration Committee comprises all NEDs. Senior staff are invited to attend the meetings where necessary.

The Remuneration Committee reviews policy on the level and structure of staff remuneration and makes recommendations to the Commission. It also considers and approves results of pay surveys. The Remuneration Committee is consulted on the re-appointment of EDs and decisions on senior management.

The HKSAR Chief Executive and the Financial Secretary under the delegated authority of the former determine the remuneration packages of the CEO and EDs taking into consideration recommendations by the Remuneration Committee. The pay packages comprise an annual fixed pay and a performance related variable pay.

The CEO consults the Remuneration Committee on the payment and amount of variable pay to individual EDs as a matter of good corporate governance practice. The recommendations are reported to the Administration for information.

Budget Committee

The Budget Committee examines and approves the proposed parameters and basis for annual budget compilation, including the estimates of our income and expenditure for the next financial year, which will then be submitted to the full Commission for approval.

Management Committee

The Management Committee, chaired by the CEO, comprises all EDs, Senior Directors and the Chief Counsel. It performs administrative, financial and management functions as delegated by the Commission. At its monthly meetings, the Committee considers funding requests from departments and divisions including requests to engage outside consultants and advisers. It has the power to determine the remuneration, allowance and conditions of employment. Every month, it also reviews the Commission's financial and staffing positions, and progress of major information technology projects.

Conduct Standards
Code of Conducts

The Commission requires the highest standards of integrity and conduct from its staff. It sets out in the Code of Conduct its requirements and the relevant legal obligations. In particular, all Commission staff should be aware of potential conflicts of interest and ensure that their work is carried out properly, impartially and free from any suggestion of improper influence. All Commission staff are required to keep confidential information acquired in the course of duties.

The Code sets a clear policy for staff on personal dealings in securities and futures contracts and various statutory requirements relating to personal dealings. The Code requires staff to declare their investment in securities and futures contracts upon commencement of employment and report all subsequent transactions.

Public Interest Grievances

The Personnel Manual comprises major human resources policies and procedures as approved by the Commission, which include the Equal Employment Opportunities policy, grievances procedures and disciplinary procedures. These procedures ensure that personnel matters are handled in a fair and impartial process with adequate checks and balances.

The Grievance Procedures - Public Interest Grievances is published on our website to assist those who believe that they have discovered improper practices or misconduct relating to the running of the Commission or work related activities of Commission employees, to report these to the Commission in a constructive manner. The procedures enable the following persons to report confidentially: any person who has an employment contract with the Commission, is on secondment to the Commission, is engaged as an independent consultant by the Commission or is a contractor or supplier of services to the Commission.

Complaints against Commission Staff

The Commission has a policy of transparency and accountability. It takes seriously any dissatisfaction regarding the way in which Commission staff have carried out or failed to carry out their duties. The Procedures for Handling Complaints against Commission Staff ensures prompt handling of any complaints from members of the public against our staff and facilitates effective follow-up action. We have published the procedures on our website to enhance transparency and provide clear guidance to the public.

Internal Controls
The internal control procedures ensure that the Commission achieves its regulatory objectives and performs its regulatory functions in a fair and transparent manner and in accordance with the law. In addition, the Commission's operational procedures help safeguard assets against unauthorised use or disposition, maintain proper accounting records and ensure reliability and integrity of information used within the Commission or for publication.

Accountability and Transparency

Individual divisions and departments of the Commission follow operating manuals in performing functions and exercising powers. The manuals ensure that we comply with relevant legal, regulatory and administrative requirements. They are subject to review by the independent Process Review Panel.

The Commission is accountable for the use of its financial resources and has established detailed financial and budgetary control procedures. For the reporting and disclosure of the Commission's financial statements, we have adopted the International Financial Reporting Standards promulgated by the International Accounting Standards Board since 2000-2001.

The financial statements are considered by the Audit Committee and approved by the Board before the Chairman and the CEO sign them. Each year, the revised and proposed budgets are submitted to the Financial Secretary for approval and laid before the LegCo after consideration by the Commission. By law, the Director of Audit may examine any books, accounts, vouchers, records or documents kept by the Commission.

The Commission has always been fiscally responsible. Despite our expanded functions and workload and the strain on resources, we have always exercised strict controls over our operational expenditure, in particular the personnel expenses.

The Commission is committed to open communication with our stakeholders and the public. We publish our Quarterly Reports and Annual Report within 45 days after the end of the relevant period. We report our operations and activities to the public through periodic newsletters, press releases, publications and press conferences.

Internal Audit

As a relatively small organisation, we do not have a full-time internal audit unit. Instead, we have appointed an independent firm of accountants to conduct internal control review for us annually. The firm's review forms part of the Commission's overall annual internal control review programme, which is approved by the Audit Committee and includes also reviews by our cross-divisional audit teams.

The purpose of the internal control review is to assess whether the systems of internal control as set out in the various Commission's manuals are adhered to, to evaluate the adequacy of the controls in place, to safeguard assets and ensure reliability and integrity of information, and to identify enhancements to current procedures and controls to improve operating efficiency. The internal controls are designed to provide reasonable, but not absolute, assurance that errors and irregularities will not occur, and that procedures are performed in accordance with management's intentions.

Risk Management and Contingency Plans

The operational divisions of the Commission closely monitor and assess risks in their respective regulatory areas. They regularly report their risk analysis and make recommendations in managing the risks to the Board. We have a market contingency plan, which details procedures for dealing with emergency situations that may affect Hong Kong's securities and futures markets.

We also have prepared an internal contingency plan to deal with emergency situations that may affect the Commission's operations, such as fire, flooding or other disasters that may affect the Commission's offices. The plan details the contingency measures from all operational and supporting divisions in recovering and resuming their business during and after any emergencies.

Independent Checks and Balances
The Commission is subject to various external checks and balances designed to ensure fairness and observance of due process. These include statutory rights of appeal, judicial review, and scrutiny by independent bodies such as the Process Review Panel, the Ombudsman and the Independent Commission Against Corruption.

An Independent Review Panel

The Commission's internal procedures for regulating the markets, including procedures for ensuring consistency and fairness, are reviewed on an on-going basis by the Process Review Panel (PRP). The PRP is an independent, non-statutory panel established by the HKSAR Chief Executive in November 2000. The Commission is the first securities regulator in the world to introduce such an external review system on its internal operations.

The PRP currently comprises 12 members, including nine members from the financial sector, academia and the legal and accountancy professions, and three ex-officio members including the Secretary for Justice (or her representative), the Commission's Chairman and an NED of the Commission.

Securities and Futures Appeals Panel/Tribunal

A wide range of the regulatory decisions of the Commission are subject to a full review by the Securities and Futures Appeals Tribunal (SFAT), which is chaired by a High Court judge and comprises two other members appointed by the HKSAR Chief Executive.

Before the establishment of the SFAT, the independent Securities and Futures Appeals Panel (SFAP) heard appeals against decisions made by the SFC relating to the registration, regulation and discipline of intermediaries.

ICAC Reviews

The Independent Commission Against Corruption (ICAC) has conducted periodic corruption prevention reviews on the procedures and practices of the Commission since 1990.

Reporting to the Government

The Commission is an independent regulatory body but is subject to regular reporting and furnishing of information to the Financial Secretary and the Financial Services and the Treasury Bureau regarding our operations and important issues. We are required to consult the Financial Secretary before exercising certain powers. After consultation with the CEO of the Commission, the Chief Executive may, upon being satisfied that it is in the public interest to do so, give the Commission written directions as to the furtherance of any of its regulatory objectives or the performance of any of its functions.

Public Redress Mechanism

Members of the public can complain to the Ombudsman against the Commission and its staff if they believe that we have been guilty of maladministration in the performance of our functions.

Anyone who is dissatisfied with a Commission decision may appeal to the SFAT. Where this remedy is not available, they may take civil action in the Courts against the Commission, by either applying for judicial review of the Commission's decisions or seeking remedies.

Cross-Border Co-operation
The SFC works closely with its counterparts worldwide concerning regulatory and enforcement co-operation. Throughout the years, the SFC has signed bilateral or multilateral co-operative agreements with different jurisdictions. In this section, you will have access to:

the list of co-operative arrangements that the SFC has concluded with Mainland and overseas regulators for the purposes of exchange of information and investigatory assistance;
the list of co-operative arrangements that the SFC has concluded with Mainland and overseas regulators for the exchange of information;
the list of signatories to the Multilateral Memorandum of Understanding of the International Organization of Securities Commissions (IOSCO MMOU) on regulatory co-operation;
other regulatory co-operative arrangements.


Co-operative arrangements that the SFC has concluded with Mainland and overseas regulators for the purposes of exchange of information and investigatory assistance:

Country/ Jurisdiction  Authorities Arrangements Hyperlinks
Australia Australian Securities and Investments Commission  MOU - October 2001
MMOU www.asic.gov.au
Belgium Commission Bancaire Financière et des Assurances MMOU www.cbfa.be
Bermuda Bermuda Monetary Authority CU - November 1992
MMOU www.bma.bm
British Virgin Islands Financial Services Commission MMOU www.bvifsc.vg
Canada (Alberta) Alberta Securities Commission MMOU www.albertasecurities.com
Canada (British Columbia) British Columbia Securities Commission MOU - February 1996
MMOU www.bcsc.bc.ca
Canada (Ontario) Ontario Securities Commission MOU - February 1997
MMOU www.osc.gov.on.ca
Canada (Quebec) Autorité des marchés financiers MOU - May 1998
MMOU www.lautorite.qc.ca
China China Securities Regulatory Commission MORC - June 1993
MORC concerning Futures - July 1995
MMOU www.csrc.gov.cn
Czech Republic Czech National Bank MMOU www.cnb.cz
Denmark Danish Financial Supervisory Authority MMOU www.ftnet.dk
Dubai Dubai Financial Services Authority MMOU www.dfsa.ae
France Autorité des marchés financiers MRAA
MMOU www.cob.fr
Germany Bundesanstalt für Finanzdienstleistungsaufsicht MOU - March 1998
MMOU www.BAFin.de
Greece Hellenic Capital Market Commission MMOU www.hcmc.gr
Hungary Financial Supervisory Authority MMOU www.pszaf.hu
India Securities and Exchange Board of India MMOU www.sebi.gov.in
Isle of Man Financial Supervision Commission CU - June 1992
MMOU www.fsc.gov.im
Israel Israel Securities Authority MOU - March 2006
MMOU www.isa.gov.il
Italy Commissione Nazionale per le Società e la Borsa MOU - May 1997
MMOU www.consob.it
Japan Financial Services Agency Statement of Intent - May 2005 www.fsa.go.jp
Jersey Jersey Financial Services Commission Letter of Intent - September 2005
MMOU www.jerseyfsc.org
Lithuania Lithuanian Securities Commission MMOU www.lsc.lt
Luxembourg Commission de Surveillance du Secteur Financier CU - October 1999
MMOU www.cssf.lu
Malta Malta Financial Services Authority MMOU www.mfsa.com.mt
Malaysia Securities Commission MOU - February 1994
MMOU www.sc.com.my
Mexico Comision Nacional Bancaria y de Valores MMOU www.cnbv.gob.mx
New Zealand Securities Commission MOU - September 1996
MMOU www.seccom.govt.nz
Nigeria Securities and Exchange Commission MMOU www.sec.gov.ng
Norway Kredittilsynet
(Financial Supervisory Authority of Norway) MMOU www.kredittilsynet.no
Philippines Securities and Exchange Commission MOU - November 2004 www.sec.gov.ph
Poland Polish Securities and Exchange Commission MMOU www.kpwig.gov.pl
Portugal Comissão do Mercado de Valores Mobiliários MOU - May 2000
MMOU www.cmvm.pt
Singapore Monetary Authority of Singapore MOU - January 1997
MMOU www.mas.gov.sg
Slovakia National Bank of Slovakia MMOU www.nbs.sk
South Africa Financial Services Board MOU - Septmber 1998
MMOU www.fsb.co.za
Spain Comisión Nacional del Mercado de Valores MOU - September 1996
MMOU www.cnmv.es
Sri Lanka Securities and Exchange Commission of Sri Lanka MMOU www.sec.gov.lk
Thailand Securities and Exchange Commission MOU - November 1993 www.sec.or.th
Turkey Capital Markets Board MMOU www.cmb.gov.tr
United Kingdom Financial Services Authority MOU - October 1992
MMOU www.fsa.gov.uk
United States of America The United States Commodity Futures Trading Commission MOU - October 1995
MMOU www.cftc.gov
United States of America The United States Securities and Exchange Commission MOU - October 1995
MMOU www.sec.gov



Co-operative arrangements that the SFC has concluded with Mainland and overseas regulators for the exchange of information:

Country/ Jurisdiction  Authorities Arrangements Hyperlinks
Austria Financial Market Authority  www.fma.gv.at
Bahamas Securities Commission of the Bahamas  www.scb.gov.bs
Bahrain Bahrain Monetary Agency  www.cbb.gov.bh
Brazil Comissão de Valores Mobiliários MOU - May 1997 www.cvm.gov.br
Canada Winnipeg Commodity Exchange Inc. CU - 1994 www.wce.ca
China Administration and Supervision Department of the State Administration of Foreign Exchange MORC and Technical Assistance - December 1996 www.safe.gov.cn
China China Banking Regulatory Commission MOU - April 2007 www.cbrc.gov.cn
China China Insurance Regulatory Commission  Regulatory Co-operation Agreement of Understanding - March 2008 www.circ.gov.cn
China People's Bank of China Letter of Intent for Co-operation - 1997 www.pbc.gov.cn
China Shanghai Securities Exchange MORC - June 1993 www.sse.com.cn
China Shenzhen Stock Exchange MORC - June 1993 www.szse.cn
Chinese Taipei Securities and Futures Bureau of the Financial Supervisory Commission MOU - February 1996 www.sfb.gov.tw
Cyprus Central Bank of Cyprus CU - 1994/1995 www.centralbank.gov.cy
Cyprus Cyprus Securities and Exchange Commission  www.cysec.gov.cy
France Commission Bancaire (Banking Commisison)  www.commission-bancaire.org
Guernsey Guernsey Financial Services Commission CU - 1992 www.gfsc.gg
Indonesia Capital Market Supervisory Agency MOU - October 1994 www.bapepam.go.id
Ireland Irish Financial Services Regulatory Authority CU - November 1997 www.ifsra.ie
Macau Monetary Authority of Macao MOU - July 2000 www.amcm.gov.mo
Netherlands The Netherlands Authority for the Financial Markets CU - June 1994 www.afm.nl
Sweden Finansinspektionen MOU - September 1998 www.fi.se
Switzerland Swiss Federal Banking Commission  www.ebk.admin.ch

Notes:
Documents that are available are published with the consent of the counterparties.
MOU - Memorandum of Understanding
MMOU - IOSCO Multilateral Memorandum of Understanding
CU - Confidentiality Undertaking
MRAA - Memorandum Regarding Administrative Arrangements
MORC - Memorandum of Regulatory Cooperation




IOSCO Multilateral Memorandum of Understanding Concerning Consultation and Co-operation and the Exchange of Information ("IOSCO MMOU")

The IOSCO MMOU, adopted by the IOSCO, is the first global information-sharing arrangement among securities regulators. It sets a new international benchmark for co-operation critical to combating violations of securities and derivatives laws. Applicants to become signatories to the IOSCO MMOU must undergo a rigorous screening process to verify their ability to co-operate as provided in the IOSCO MMOU.
The SFC is a signatory together with regulators from other jurisdictions worldwide. The following is a list of the current signatories:

Country/ Jurisdiction Authorities
Australia Australian Securities and Investments Commission
Belgium Commission Bancaire Financière et des Assurances 
Bermuda Bermuda Monetary Authority
British Virgin Islands Financial Services Commission
Canada (Alberta) Alberta Securities Commission
Canada (British Columbia) British Columbia Securities Commission
Canada (Ontario) Ontario Securities Commission
Canada (Quebec) Autorité des marchés financiers
China China Securities Regulatory Commission
Czech Republic Czech National Bank
Denmark Danish Financial Supervisory Authority
Dubai Dubai Financial Services Authority
France Autorité des marchés financiers
Germany Bundesanstalt für Finanzdienstleistungsaufsicht
Greece Hellenic Capital Market Commission
Hong Kong, China Securities and Futures Commission
Hungary Financial Supervisory Authority
India Securities and Exchange Board of India
Isle of Man Financial Supervision Commission
Israel Israel Securities Authority
Italy Commissione Nazionale per le Società e la Borsa
Jersey Jersey Financial Services Commission
Lithuania Lithuanian Securities Commission
Luxembourg Commission de Surveillance du Secteur Financier
Malaysia Securities Commission
Malta Malta Financial Services Authority
Mexico Comision Nacional Bancaria y de Valores
New Zealand Securities Commission
Nigeria Securities and Exchange Commission
Norway Kredittilsynet
(Financial Supervisory Authority of Norway)
Poland Polish Securities and Exchange Commission
Portugal Comissão do Mercado de Valores Mobiliários
Singapore Monetary Authority of Singapore
Slovakia The National Bank of Slovakia
South Africa Financial Services Board
Spain Comisión Nacional del Mercado de Valores
Sri Lanka Securities and Exchange Commission of Sri Lanka
Turkey Capital Markets Board
United Kingdom Financial Services Authority
United States of America The United States Commodity Futures Trading Commission
United States of America The United States Securities and Exchange Commission



Other regulatory co-operative arrangements:

Country/ Jurisdiction  Authorities Arrangements Hyperlinks
Dubai Dubai Financial Services Authority MOU - April 2008 www.dfsa.ae/dfsa
Guernsey Guernsey Financial Services Commission Letter of Intent - June 2005 www.gfsc.gg
India Securities and Exchange Board of India Letter of Intent - May 2005 www.sebi.gov.in
Indonesia Capital Market Supervisory Agency Letter of Intent - May 2004 www.bapepam.go.id
Malaysia Securities Commission  Letter of Intent - July 2005 www.sc.com.my
Sri Lanka Securities and Exchange Commission of Sri Lanka Letter of Intent - April 2005 www.sec.gov.lk
Thailand Securities and Exchange Commission Letter of Intent - November 2004 www.sec.or.th

Co-operative Arrangements with Local Organisations
MOU Local Counterparties Date
1. Memorandum of Understanding between the Securities and Futures Commission and the Financial Reporting Council (PDF file) Financial Reporting Council  12 November 2007
2. Memorandum of Understanding Between Securities and Futures Commission and Insurance Authority (PDF file) Insurance Authority 20 December 2005
3. Memorandum of Understanding concerning the new oversight regime under the Clearing and Settlement Systems Ordinance (PDF file) Hong Kong Monetary Authority 4 November 2004
4. Memorandum of Understanding Concerning the Regulation of the Regulation of MPF Intermediaries (PDF File) Hong Kong Monetary Authority
1 January 2004
Insurance Authority
Mandatory Provident Fund Schemes Authority
5. Memorandum of Understanding Concerning the Regulation of Mandatory Provident Funds Products
(PDF File)  Mandatory Provident Fund Schemes Authority 23 April 2003
6. Agreed Interpretation of Terms in the Memorandum of Understanding between the SFC and HKEx on Matters Relating to SFC Oversight, Supervision of Exchange Participants and Market Surveillance for the purposes of the commencement of the Securities and Futures Ordinance (PDF File) Hong Kong Exchanges and Clearing Limited
11 April 2003
7. Memorandum of Understanding Governing Listing Matters (PDF File)
Hong Kong Exchanges and Clearing Limited 28 January 2003
8. Memorandum of Understanding between the Securities and Futures Commission and Hong Kong Monetary Authority (PDF File) Hong Kong Monetary Authority
12 December 2002
9. Memorandum of Understanding for the Listing of Hong Kong Exchanges and Clearing Limited on The Stock Exchange of Hong Kong Limited (PDF File) Hong Kong Exchanges and Clearing Limited
22 August 2001
The Stock Exchange of Hong Kong Limited
10. Memorandum of Understanding on Matters Relating to SFC's Oversight, Supervision of Exchange Participants and Market Surveillance (MS Word)  Hong Kong Exchanges and Clearing Limited 20 February 2001
11. First Supplement to the Memorandum of Understanding Governing Listing Matters (PDF File)
The Stock Exchange of Hong Kong Limited 21 August 2000
12. First Supplement to the Addendum to Memorandum of Understanding Governing Listing Matters (PDF File)
The Stock Exchange of Hong Kong Limited 21 August 2000
13. Memorandum of Understanding for the Listing of Hong Kong Exchanges and Clearing Limited on The Stock Exchange of Hong Kong Limited (PDF File) Hong Kong Exchanges and Clearing Limited


19 June 2000
The Stock Exchange of Hong Kong Limited
14. Amended and Restated Memorandum of Understanding Governing Listing Matters (PDF File)
The Stock Exchange of Hong Kong Limited 6 March 2000
15. Amended and Restated Addendum to Memorandum of Understanding Governing Listing Matters (PDF File) The Stock Exchange of Hong Kong Limited 6 March 2000
16. Memorandum of Understanding Concerning the Regulation of Mandatory Provident Funds Products
(PDF File) Mandatory Provident Fund Schemes Authority 30 June 1999
17. Memorandum of Understanding on Cooperation in respect of Supervision of Entities or Financial Groups
Hong Kong Monetary Authority 23 October 1995


Policy Statement on disclosure of certain information to the public

1.  Introduction
  This policy statement provides an overview of the SFC's approach to disclosing publicly the fact that it is conducting an inquiry or investigation into a corporation and highlights some of the key concerns and considerations that will usually affect the SFC's decision whether or not to make any such disclosure.
2.  General position
  2.1  The SFC will not normally make public the fact that it is or is not conducting a statutory inquiry or investigation, or any of its findings or conclusions, save in exceptional circumstances or where required to do so by law.
  2.2  It is not possible to set out an exhaustive list of the exceptional circumstances but paragraph 3 gives some indication of when they are likely to arise. In any event, each case will turn on its particular facts.
3.  Publicity during an inquiry or investigation
  3.1  Where the SFC is conducting an inquiry or investigation into a corporation, it will, in exceptional circumstances, make a public announcement that it is doing so if it considers such an announcement is desirable to ¡V
    1.  maintain and promote confidence in the securities and futures industry;
2.  protect members of the investing public;
3.  minimize widespread misconduct or reduce systemic risks in the securities and futures industry; or
4.  facilitate the conduct of the inquiry or investigation, for example by bringing forward witnesses.

  3.2  In deciding whether or not to make an announcement, the SFC will have due regard to its functions as stated in the Securities and Futures Ordinance (Cap. 571), ("SFO"). It will also consider ¡V
    1.  the potential prejudice that it believes may be caused to the inquiry or investigation itself or to any person the subject of it; and
2.  the restrictions on disclosure imposed by section 378 of the SFO (which deals with the preservation of secrecy).

  3.3  The exceptional circumstances referred to in paragraph 3.1 may arise, for example, in the following cases ¡V
    1.  Where the matters under inquiry or investigation have become the subject of public concern, speculation or rumour. In such cases it may be desirable for the SFC to make public the fact of its inquiry or investigation in order to allay concern, or contain the speculation or rumour and thereby maintain public confidence.
2.  Where publicity is unavoidable. For example, investigations into suspected criminal offences may lead to the SFC having to make enquiries amongst the general public and thus attract publicity.

  3.4  A decision to make an announcement must be made by at least two Executive Directors in consultation with the Chief Executive Officer. Announcements will normally be limited to confirming the fact that an inquiry or investigation is under way in respect of a corporation and specifying the provision of the SFO under which the SFC is proceeding.
4.  Publicity following an inquiry or investigation
  4.1  The SFC may announce the conclusion of an inquiry or investigation where ¡V
    1.  it is not prevented by law from doing so;
2.  the fact that the SFC was conducting an inquiry or investigation was previously made public, whether by the SFC or otherwise; and
3.  the SFC has concluded that there is no or insufficient evidence to justify taking any further regulatory action.

  4.2  The SFC will normally make a public announcement if, upon the conclusion of an inquiry or investigation, enforcement action is taken against a person. Paragraphs 4.3 to 4.8 clarify when such announcements will normally be made and the information that they will usually contain. However, this is not an exhaustive list and the timing of any announcement and the information that it may contain will be decided on a case-by-case basis.
  4.3  Where the SFC has commenced any criminal proceedings it may make a public announcement that it has done so. When the court has adjudicated the matter, the SFC will normally make a public announcement which will include the identity of the defendant, a brief summary of the facts of the case and the decision of the Court.
  4.4  Where the SFC has taken disciplinary action under Part IX of the SFO against any person, it will normally make a public announcement setting out the identity of the person disciplined, a brief summary of the conduct which attracted the disciplinary action and details of the sanction imposed. However, announcements regarding disciplinary action will not be made until after the expiry of the period for lodging an appeal to the Securities and Futures Appeals Tribunal or, if an appeal is lodged, until after the appeal has been determined.
  4.5  Where the SFC has issued, withdrawn, substituted or varied a restriction notice under Part X of the SFO, it will normally make a public announcement setting out the identity of the person the subject of the notice as well as the action taken under the notice and the reasons for doing so.
  4.6  Where the SFC has commenced any civil proceedings or made any application to the Court pursuant to its powers of intervention under Part X of the SFO, it may make a public announcement that it has done so. When the Court has adjudicated the matter, the SFC will normally issue a public announcement noting the decision. Such an announcement will normally include the identity of the person against whom proceedings have been initiated, a brief summary of the facts of the case and the decision of the Court.
  4.7  Irrespective of the outcome of a ruling, and subject to confidentiality considerations of a commercial nature, it is the policy of the Panel and the Takeovers Appeal Committee to publish their rulings, and the reasons for those rulings, so that their activities may be understood by the public.
  4.8  Where, on the conclusion of its inquiry or investigation, the SFC is required to submit a report to the Financial Secretary, or where it has uncovered evidence of serious crime and has passed this on to the Commercial Crime Bureau or the Independent Commission Against Corruption, the SFC will not normally make a public announcement. However, it may do so in exceptional circumstances if ¡V
    1.  such an announcement is desirable for any of the purposes described in paragraph 3.1;
2.  the recipient agency has no objection; and
3.  the fact of the SFC's inquiry or investigation was previously made public (whether by the SFC or otherwise).

    In deciding whether to make an announcement, the SFC will have due regard to and consider the matters described in paragraph 3.2. Any such announcement will normally be limited to confirming only that the SFC has concluded its inquiry or investigation and passed its findings to the relevant agency for consideration.


Employment Opportunities 
The SFC has been given the Good People Management Award 2004. We are committed to being a good employer and consider the staff the most important asset. We have the following vacancies. Click on the links for details.
Brief Description
Manager - Intermediaries Supervision
Executive Trainee - Intermediaries Supervision
Training Assistant 
Summer Interns
Senior Manager - Corporate Finance (Takeovers Team)
Senior Manager - Intermediaries Supervision (Risk Management)
Senior Manager - Intermediaries Supervision
Executive Trainee - Enforcement
Assistant Manager - Finance
Temporary Clerk - Intermediaries Supervision
Senior Human Resources Manager
Manager - Information Technology
Administrator - Licensing
Senior Manager - Policy, China and Investment Products
Senior Manager - Enforcement
Senior Manager - Investment Products
Senior Manager - External Relations (Proactive management of the SFC's profile)
Manager - Investment Products
Human Resources Manager
Assistant Counsel - Legal Services Division
Clerk - Enforcement
Manager - External Relations (IE planning and research)
Manager - External Relations (Management of IE campaigns)
Assistant Manager - External Relations
Administrator - External Relations
Manager - Intermediaries and Investment Products Division
(Licensing Department)
Executive Trainees - Intermediaries and Investment Products Division
(Licensing Department)
Manager - Corporate Finance (Takeovers Team)
Manager - Enforcement
Director - China Affairs

Complaints against the SFC
Being a public body, the Commission performs its regulatory functions with high transparency and accountability. The Commission wants to hear from you if you discover improper practices regarding the running of the Commission or work related activities when being engaged by or to work in/with the Commission, or are dissatisfied on the way in which the Commission staff have carried out their duties. Please click the relevant link below for more details.

Public Interest Grievance
Complaints against Staff

Complaints against Market Activities or Intermediaries
 
The Commission values reports from the public on any suspected crime and misconduct in the securities and futures industry, e.g. market manipulation, unlicensed activities, unauthorized trading, mis-selling by SFC licensees. You are advised to read the "How to Make a Complaint" leaflet, which explains how you can make effective complaints against market activities or intermediaries and how the Commission handles them. Moreover, please refer to the Privacy Policy Statement concerning how the SFC uses personal data collected in complaints.

If you have been contacted by a representative of a firm regarding an investment opportunity and you suspect that the firm does not hold a licence from the SFC (you may search our online register of licensed persons here, please complete the "Complaint Form on Unlicensed Firms" to provide information to us about this. For other matters, please fill in the online complaint form and submit it to us. 
 
Historical Background
Until the mid-1970s, stock and commodities markets in Hong Kong were largely unregulated. After the stock market crash of 1973-1974, the Government intervened and the core legislation governing the securities and futures industry was enacted.

The legislation was administered by two part-time Commissions - one for securities and the other for commodities trading - and their executive arm, the Commissioner for Securities and Commodities Trading, who headed the Office of the Commissioner for Securities and Commodities Trading, which was established as part of the Government. This structure remained largely unchanged for over a decade, during which time there was rapid change in the securities and futures markets, both internationally and in Hong Kong.

Inevitably, the existing regulatory structure fell behind. In 1987, the deficiencies in the structure were made all too apparent by the October crash, which resulted in the closure of both the Hong Kong stock and stock index futures markets for four days. In the aftermath of the crash, a six-member committee, the Securities Review Committee, chaired by Ian Hay Davison, was created to examine Hong Kong's regulatory structure and regime and how they could be improved, to minimise the chances of a repeat of the disruption and chaos of October 1987.

In May 1988, the Committee released its report*, which concluded that the Office of the Commissioner for Securities and Commodities Trading had insufficient resources properly to regulate the rapidly growing and changing Hong Kong market.

The Committee found that too much effort had been spent on ineffective routine vetting, instead of active surveillance and monitoring of markets and intermediaries. The two commissions were not regulating effectively because they lacked strong direction and had become passive and reactive, instead of being active and proactive.

The Committee recommended that the then existing structure should be replaced with a single statutory body outside the civil service, headed and staffed by full-time professional regulators and funded primarily by the market. In their view, such a body should have broad investigative and disciplinary powers to enable it to perform its regulatory functions effectively.

Thus, in May 1989, following the enactment of the Securities and Futures Commission Ordinance, the SFC was born.

* Davison Report extracted from Part II of The Securities Regulation of Hong Kong .

   

Legislation & Regulatory Handbook
Legislation
Securities and Futures Ordinance (including subsidiary legislation)

Companies Ordinance (including subsidiary legislation)

Legislative Amendments

Part XV of SFO - Disclosure of Interests

Materials relating to Securities and Futures Bill

Derivation Table

Others

  Regulatory Handbook
Volume 1 - Regulatory Philosophy

Volume 2 - Business Standards

  Codes, Guidelines & Circulars

  Archives - Codes, Guidelines & Circulars

   

    Volume 1 - Regulatory Philosophy
Foreword
What is the Regulatory Handbook?
Chapter 1 - Introduction to the Securities and Futures Commission
Chapter 2 - How We Regulate
Chapter 3 - The Organisation of Responsibilities at the Securities and Futures Commission
Chapter 4 - Enforcement Philosophy of the Securities and Futures Commission

Volume 1 - Regulatory Philosophy
Foreword 
We have launched this Regulatory Handbook in conjunction with the recent enactment of the new Securities and Futures Ordinance. The Handbook incorporates all the latest regulatory codes, guidelines and approaches in an easily accessible and user-friendly place. We hope that financial intermediaries, investors and all interested parties will find this Handbook useful. The Handbook will regularly be updated on our website at www.sfc.hk .

Comments and suggestions for its improvement should be sent to enquiry@sfc.hk

Andrew Sheng
Chairman
Securities and Futures Commission

Volume 1 - Regulatory Philosophy
Executive Summary
What is the Regulatory Handbook?
The SFC Regulatory Handbook:

puts together the latest versions of the Securities and Futures Commission's (SFC) codes, guidelines and guidance information in a 2 volume publication for easy reference
Volume 1 of the Regulatory Handbook aims to give some background information about the SFC's aims and objectives, regulatory approach and enforcement philosophy
Volume 2 contains the SFC's codes, guidelines and important circulars. These are divided into 5 categories for quick reference

Volume 2 - Business Standard
How to Use Volume 2 of the Regulatory Handbook
Part A - Licensing of Intermediaries and Continuing Obligations of Licensed Persons
Part B - Specific Requirements for Regulated Activities
Part C - Regulated Investment Products
Part D - Corporate Finance
Part E - Enforcement Related
Part F - Securities and Futures Ordinance
Part G - Miscellaneous



How to Use Volume 2 of the Regulatory Handbook
Contents
Volume 2 of the Regulatory Handbook contains all the latest versions of the Securities and Futures Commission's (SFC) codes, guidelines and guidance information that may be of interest to readers.


Read the Handbook and the relevant legislation together
Please note that the requirements in the codes, guidelines and guidance information mentioned in the Regulatory Handbook are in addition to the requirements contained in the relevant legislation. Therefore, it is very important for you to read the codes, guidelines and guidance information together with the relevant legislation to have a complete picture on what is required.


Reference only and not a substitute for professional advice
The information and material contained in the Regulatory Handbook is compiled by the SFC for reference purposes only SFC. Any information provided about how the SFC may interpret the law or how certain problems may be addressed is provided generally, without considering your specific circumstances. This information should not be regarded as a substitute for professional advice. We recommend that you seek independent legal or other professional advice if you have any doubt about how the law/rules applies to you, or before you take any action on any issues contained in the Regulatory Handbook.


Legal Disclaimer
The SFC shall not be responsible for any consequential effect, nor be liable for any loss or damage, howsoever caused, arising from the use of or reliance upon any information or material provided in the Regulatory Handbook.


Accuracy
The SFC will endeavour to ensure that the information contained in the Regulatory Handbook is accurate as at the date of publication and will attempt to update it on a regular basis. However the SFC does not warrant the accuracy of such information or accept any liability (including third party liability) for any loss or damage, whether or not arising from any error or omission in compiling such information.


Intellectual Property
Unless otherwise stated, all copyright and other intellectual property rights of the materials in the Regulatory Handbook belong to the SFC and such materials may be reproduced or distributed provided that our copyright is acknowledged. This licence may be withdrawn at any time without notice.



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Part A - Licensing of Intermediaries and Continuing Obligations of Licensed Persons
Securities and Futures (Financial Resources) (Amendment) Rules 2006 for Sponsors
Licensing of Intermediaries
Circular to Licensed Corporations who wish to act as Financial Intermediaries for Entrants under the Capital Investment Entrant Scheme (18 November 2003)
Fit and Proper Guidelines
Licensing Information Booklet
Competence Requirement
Competence Requirement
Circular to Licensed and Registered Persons - Relaxation for Former Practitioners to Re-enter the Industry
Guidelines on Competence
Insurance Requirement
Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004)
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004)
Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules (31 March 2003)
Continuing Obligations of Licensed Persons
Circular to Licensed Corporations Ways to combat fake websites
Circular to Licensed Corporations - Notification on cessation of accreditation and return of licence (23 December 2003)
Circular to Licensed Corporations and Associated Entities Business Continuity Plan in light of the Possible Outbreak of Avian Influenza and Influenza Pandemic in Hong Kong
Debt Collection Guidelines for Licensed Corporations
Disciplinary Fining Guidelines
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission
Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules
Code of Conduct
Circular to all Licensed Corporations Implementation of prudent risk management policies and procedures
Circular to All Licensed Corporations Reminder to comply with certain Code and Internal Control Guidelines requirements
Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure
Circular to All Licensed Corporations - Importance of Prudent Risk Management
Circular to All Licensed Corporations - Reminder of Importance of Prudent Risk Management
Circular to All Licensed Corporations Licensed for Dealing in Securities Continuous and Close Supervision of Firm's Operations
Circular to All Licensed Corporations Licensed for Dealing in Securities
Circular to Licensed Corporations and Associated Entities Business Continuity Plan during the 6th Ministerial Conference of the World Trade Organization
Circular to Licensed Corporations and Associated Entities Further Reminder of Business Continuity Arrangement during the 6th Ministerial Conference of the World Trade Organization
Circular to SFC's Licensed Intermediaries Telephone Recording Requirements
Circular to SFC's Registered Intermediaries - Order Recording Requirements (13 November 2002)
Client Identity Rule Policy
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Continuous Professional Training
Guidelines on Continuous Professional Training
Electronic Activities
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet
Guidance Note on Internet Regulation
Financial Resources Rules Policy
Circular to Licensed Corporations Window Dressing of Financial Position
Circular to Licensed Corporations which are licensed for Type 1 or 8 regulated activity SFC's Advice to Securities Firms Offering IPO Financing
Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition Compliance with the Securities and Futures (Financial Resources) Rules ("the FRR")
Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities - Compliance with the Securities and Futures (Financial Resources) Rules
Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition - Compliance with Section 56(3) of the Securities and Futures (Financial Resources) Rules to Submit Financial Return
Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules (11 August 2003)
Circular to Licensed Corporations-Excel template of the financial return under the Securities and Futures (Financial Resources) Rules
Money Laundering
Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance
Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order
Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Afghanistan) Regulation
Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - Non-cooperative Countries and Territories
Circular to Intermediaries-Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Frequently Asked Questions on the Guidance Note on Prevention of Money Laundering and Terrorist Financing
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) New Regulation under United Sanctions Ordinance (Cap. 537) (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2006 (2) United Nations Sanctions (Liberia) Regulation 2005
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Suspicious Transactions Reports Classification
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Seminar for Compliance Officers
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Sudan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Section 311 of the USA Patriot Act
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guidance Note and Quarterly Suspicious Transaction Report Analysis
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Afghanistan) Regulation ("Regulation")
Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532
Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories ("NCCTs") (2) United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) Non-cooperative Countries and Territories
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations Sanctions (Democratic Republic of Congo) Regulation 2005 (3) United Nations (Anti-Terrorism Measures) Ordinance (4) Blocking Property of Proliferators and Supporters of Weapons of Mass Destruction
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Liberia) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) Non-cooperative Countries and Territories (3) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; and (3) United Nations Security Council Resolution (UNSCR) 1483
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance ("the Ordinance") and United Nations Sanctions (Afghanistan) Regulation ("the Regulation")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Afghanistan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance (3) US President's Executive Order 13224 (4) United Nations Security Council Resolution (UNSCR) 1483(2003)
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Afghanistan) Regulation (3) United Nations Sanctions (Libya) (Repeal) Regulation 2004
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the “l"Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the “l"Regulation")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Quarterly Suspicious Transaction Report Analysis issued by the Joint Financial Intelligence Unit ("JFIU")
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 (3) United Nations Sanctions (Cote d'Ivoire) Regulation 2006
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 (3) Combating Financing of Weapons of Mass Destruction Activities
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Identification and Reporting of Suspicious Transactions
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) US President's Executive Order 13224 (3) Non-cooperative Countries and Territories (4) Anti-Money Laundering Training Seminar Materials
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2007 (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Apply for a New Password to Access Joint Financial Intelligence Unit's New Website
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) United Nations Sanctions (Democratic People's Republic of Korea) Regulation (3) United Nations Sanctions (Liberia) Regulation 2005 (Amendment) (No. 2) Regulation 2007 (4) United Nations (Anti-Terrorism Measures) Ordinance (5) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Enhancement of Website and Obligation to Report Suspicious Transactions
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Sudan) Regulation
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Iran) Regulation ("the Iran Regulation")
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Good Market Practices Identified from Self-Assessment Program
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Iran
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Liberia) Regulation 2005 (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2008 (2) United Nations Sanctions (Cote d'Ivoire) Regulation 2008
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Uzbekistan, Iran, Pakistan, Turkmenistan, S?o Tom? and Pr?ncipe and the northern part of Cyprus
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Questions and Answers on Identification and Handling of High Risk Customers and Politically Exposed Persons ("FAQs")
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1)US President's Executive Order 13224; (2)United Nations (Anti-Terrorism Measures) Ordinance; (3)Non-cooperative Countries and Territories; and New Members of FATF
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance - United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation
Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, US President's Executive Order 13224
Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224
Prevention of Money Laundering and Terrorist Financing Guidance Note
Handling of Client Money
Circular to Licensed corporations and associated entities - Proper segregation and safeguarding of client money



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Part B - Specific Requirements for Regulated Activities
Circular to All Licensed Corporations Questions and Answers on Suitability Obligations
Circular to All Licensed Corporations - Requirements under certain amendment rules and amended Code of Conduct will come into effect on 1 October 2006
The new sponsor regime
Advising on Corporate Finance
Circular to Licensed Corporations which are licensed for Type 6 regulated activity - Theme Inspection of Sponsors
Guidelines on revised procedures for applications for Exempt Fund Manager (EFM) status under the Code on Takeovers and Mergers (Code) by fund managers that form part of complex international financial groups
Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that form part of complex international financial groups
Implementation of new sponsor regime
The Takeovers and Mergers Panel has imposed Cold Shoulder Orders on Mr Anthony Wong Man Shek
The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng
The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng
Please see Part D, Volume 2 of the SFC Regulatory Handbook, on Corporate Finance Matters
Advising on Securities and Futures Contracts
Circular to Intermediaries - Dubious Financial Instruments
Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers
Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers
Asset Management
Circular to Licensed Corporations which are licensed for Type 9 regulated activity Frequently Asked Questions on Financial Return Form 12 - Aggregate net value of assets under management
Please see Part C, Volume 2 - Business Standards of the SFC Regulatory Handbook, on Regulated Investment Products
Codes
Fund Manager Code of Conduct
Dealing in Securities and Futures Contracts
Circular to all intermediaries dealing with cleints who invest in structured products - Advice to Investors on Structured Notes
Circular to Intermediaries Equity-linked Instruments are subject to suitability and fair dealing requirements
Circular to Intermediaries Marketing of Hedge Funds
Circular to Intermediaries - Dubious Financial Instruments
Circular to Licensed Corporations Observe the Know Your Clients Rules to Avoid Losses
Circular to Licensed Corporations which are licensed for Type 1 regulated activity Watch out! Brokerage firms were defrauded again!
Circular to Licensed Corporations - Advice to Investors on Exotic Warrants
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission
Guidance Note on Position Limits and Large Open Position Reporting Requirements
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements
Guidelines on Disclosure of Fees and Charges Relating to Securities Services
Leveraged Foreign Exchange Trading
Providing Automated Trading Services
Guidelines on the Regulation of Automated Trading Services
Securities Margin Financing
Circular to All Licensed Corporations-Prepare for Implementation of the New Requirements to Address Risks Arising from Securities Margin Financing
Circular to Licensed Corporations licensed for Type 1 or Type 8 regulated activity and Associated Entity - Implementation of 140% repledging limit with effect from 1 October 2007



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Part C - Regulated Investment Products
Collective Investment Schemes
Codes
Code on Immigration-Linked Investment Schemes
Code on Investment-Linked Assurance Schemes
Code on Pooled Retirement Funds
Code on Real Estate Investment Trusts
Code on Unit Trusts and Mutual Funds
SFC Code on MPF Products
Circulars/Guidelines
Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2003
Circular to Fund Management Companies of SFC-authorised Funds - FAQs on SFC Authorisation of Unit Trusts and Mutual Funds
Circular to Fund Management Companies of SFC-authorised Funds - Information relating to the Risk Management and Control Process of UCITS III Funds applying for SFC authorisation
Circular to Fund Management Companies of SFC-authorised Funds - SFC facilitates delegation of investment management functions to non-AIR jurisdictions
Circular to Fund Management Companies of SFC-authorised Funds - Streamlined Measures for Processing UCITS III Schemes with Special Features
Circular to Fund Managers of SFC Authorised Funds, Legal Advisors, Fund Auditors and Other Relevant Parties - Investment Products Department - Streamlining of Authorisation Process
Circular to Fund Managers of SFC Authorized Funds and Other Relevant Parties - FAQ on Presentation of Benchmark Performance in Advertising Materials
Circular to Fund Managers regarding the Capital Investment Entrant Scheme and Related Undertaking
Circular to Intermediaries Regarding the Marketing of Hedge Funds
Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2005"
Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2004
Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2006
Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2007
Circular to Management Companies / Product Issuers of SFC-authorized Schemes - Streamlining of Pre-vetting of Notices and Advertisements of Authorized Collective Investment Schemes
Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Acquisitions by SFC-authorised REITs
Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Electronic Dissemination of Public Announcements of SFC-authorised REITs
Circular to Management Companies of SFC-Authorised Real Estate Investment Trusts - New Frequently Asked Questions
Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - On-market Unit Repurchases by SFC-authorised REITs
Circular to SFC Licensed Fund Managers and Investment Advisers - FAQs for Investors on UCITS III
Circular to SFC Registered Institutions - FAQs for Investors on UCITS III
General Circular to Licensed REIT Managers - Frequently Asked Question on disclosure of distribution composition
General Circular to SFC Approved Fund Management Companies - Suspension of Dealings
General Circular to SFC-approved Fund Management Companies - Interim Measures on the Disclosure and Submission Requirements for the authorisation of UCITS III Funds domiciled in Luxembourg, Ireland and the United Kingdom by the SFC
General Circular to SFC-approved Fund Management Companies - Investment in SFC-authorised Real Estate Investment Trusts ('REITs') by Unit Trusts and Mutual Funds authorised under the SFC Code on Unit Trusts and Mutual Funds ('UT Code')
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet



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Part D - Corporate Finance
Takeovers/Mergers and Share Repurchases
Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers
Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers
Guidelines on revised procedures for applications for Exempt Fund Manager (EFM) status under the Code on Takeovers and Mergers (Code) by fund managers that form part of complex international financial groups
Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that form part of complex international financial groups
The Codes on Takeovers and Mergers and Share Repurchases (February 2002 edition as amended in April 2003, February 2004 and April 2005)
The Codes on Takeovers and Mergers and Share Repurchases (October 2005 edition as amended in April 2008)
Corporate Finance Practices
Code of Conduct for Corporate Finance Adviser
Guidelines for the Exemption of Listed Companies from the Securities (Disclosure of Interests) Ordinance
Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32)
Guidelines on marketing materials for listed structured products
Guidelines on marketing materials for listed structured products - Frequently Asked Questions
Guidelines on Use of Offer Awareness and Summary Disclosure Materials in Offerings of Shares and Debentures Under the Companies Ordinance
Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32)
Use of Plain Language
How to Create Clear Announcements - Guidelines on the Use of Plain Language
Project on the Use of Plain Language - How to Create a Clear Prospectus



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Part E - Enforcement Related
Circular to analysts on handling non-public price sensitive information
Circular to Licensed Corporations and Registered Institutions - Settlement of Disciplinary Cases
Client Identity Rule Policy
Disciplinary Fining Guidelines
Guidance Note on Cooperation with the SFC - March 2006



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Part F - Securities and Futures Ordinance
Circular to Intermediaries Acting as Sponsors - Increase in the minimum paid-up share capital requirement for sponsors
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
General
Circular to all Licensed Corporations - Securities and Futures (Financial Resources) Rules - Enhanced Excel format of Proforma Financial return
Circular to Certain Deemed Licensed Corporations (Sole Proprietors) - Migration into the New Regime under the Securities and Futures Ordinance
Circular to deemed licensed corporations which have not submitted migration applications - Client assets arrangement in anticipation of business cessation
Circular to deemed licensed corporations which have not submitted migration applications - Migration to the New Regime under the Securities and Futures Ordinance ("SFO")
Circular to Exempt Persons who are authorised financial institutions - Registration matters pertaining to the Securities and Futures Ordinance
Circular to Intermediaries licensed or registered for Dealing in Securities or Securities Margin Financing Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules
Circular to Licensed Banks who are not Exempt Persons - Registration matters pertaining to the Securities and Futures Ordinance
Circular to Licensed Corporations - Change of Accreditation by Deemed Licensed Representatives (23 April 2003)
Circular to Licensed Corporations - Facilitation of Lodgment of Annual Returns by Representatives
Circular to Licensed Corporations - Migration to the new regime under the Securities and Futures Ordinance (27 January 2004)
Circular to Licensed Corporations - Officer for Signing Financial Resources Returns (other than Responsible Officer)
Circular to Licensed Corporations - Responsible Officers (28 May 2004)
Circular to Licensed Corporations - Substantial Shareholders
Circular to Licensed Corporations and Associated Entities Forms specified by SFC
Circular to Licensed Corporations and Registered Institutions - Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest
Circular to Licensed Corporations and Registered Institutions - Courses to Facilitate Former Practitioners to Re-enter the Industry and New Recognised Continuous Professional Training Providers
Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2003/04
Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05
Circular to Licensed Corporations and Registered Institutions - Licensing Information Booklet and Handling of Licensing Related Enquiries (28 August 2003)
Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004)
Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004)
Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules
Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004)
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004)
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Licence Holders Insurance for Exchange Participants
Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules (11 August 2003)
Circular to Registered Commodity Dealers which are participants of Hong Kong Futures Exchange Limited - Securities and Futures (Insurance) Rules
Circular to Registered Corporations & Exempt Persons who are not authorised financial institutions - Licensing matters pertaining to the Securities and Futures Ordinance
Circular to Registered Firms and Exempt Persons - Fit and Proper Guidelines , Guidelines on Competence, Guidelines on Continuous Professional Training
Circular to Registered Investment Advisers on Cold Calling
Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules (31 March 2003)
Circular to SFC's Registered Firms and Exempt Persons - Guidelines on Transitional Arrangements, Guidelines on Waivers of Certain Licensing Fees
Circular to SFC's Registered Intermediaries - Notification of in-house training sessions by corporate licensees
Circular to SFC's Registered and Exempt Intermediaries - Securities and Futures Ordinance
Circular to SFC's Registered Commodity Trading Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance
Circular to SFC's Registered Intermediaries and Exempt Persons - Comparison Table on Securities and Futures Ordinance Requirements for Licensing and Supervision of Intermediaries
Circular to SFC's Registered Intermediaries and Exempt Persons which are not Authorized Institutions - Compliance under the Securities and Futures Ordinance (Cap. 571)
Circular to SFC's Registered Investment Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance
Guidelines on Competence
Guidelines on Continuous Professional Training
Guidelines on Transitional Arrangements
Guidelines on Waivers of Certain Licensing Fees
Guidelines to Address Analyst Conflicts of Interest to Come into Effect
Licensing Information Booklet
Part XV - Disclosure of Interests
Guidelines for the approval of corporations as approved lending agents
Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Outline of Part XV



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Part G - Miscellaneous
2002 Exempt Persons Activities Survey - Circular to Exempt Persons under the former regime - - 2002 Exempt Persons Activities Survey & 2002 Fund Mgt Activities Survey
2002 Exempt Persons Activities Survey - REMINDER
2002 Intermediaries Activities Survey - REMINDER
2002 Intermediaries Activities Survey - Circular to Registered Firms under the former regime - 2002 Intermediaries Activities Survey & 2002 Fund Mgt Activities Survey
Circular to all Issuers of Unlisted Retail Structured Products - Enhance Prospective Investors' Understanding of Structured Products
Circular to Licensed and Registered Firms - Contingency plan for possible staff infection of atypical pneumonia
Circular to Licensed Corporations - Business continuity planning against serious communicable diseases (24 November 2003)
Circular to Licensed Corporations - Common Anniversary Date Program
Circular to Licensed Corporations - Investor Leaflet "Index Tracking Exchange Traded Funds"
Circular to Licensed Corporations and Registered Institutions - Investor Leaflet "Hedge Funds"
Circular to Licensed Corporations and Registered Institutions - SFC to Move to Chater House
Circular to Registered Firms and Exempt Persons - Advice from the Prevention of Respiratory Tract Infections
Investor Survey on Investment Research Activities (25 November 2003)
Invitation-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing
Securities Firm Survey on Investment Research Activities (25 November 2003)
Investor Compensation Arrangement
Investor Compensation Arrangement
Share Registration
Code of Conduct for Share Registrars
Fees
Securities and Futures (Fees) Rules
Forms
Electronic Public Offerings
Guidelines for Electronic Public Offerings
Miscellaneous
Circular to All Licensed Corporations
Circular to All Licensed Corporations
Circular to All Licensed Corporations - Be alert to individuals pretending to be SFC staff
Circular to analysts on handling non-public price sensitive information
Circular to Intermediaries Conducting Type 1 or Type 8 Regulated Activity Allocation problem of China Life IPO
Circular to intermediaries conducting Type 1 or Type 8 Regulated Activity - Allocation problem of China Life IPO
Circular to Licensed Corporations Implementation of Hong Kong Accounting Standards 39 and 32
Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request
Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request
Circular to Licensed Corporations - "Investor Leaflet "Know Your Broker"
Circular to Licensed Corporations - Investor Leaflet "Fund Investing"
Circular to Licensed Corporations - Investor Leaflet "How to Make a Complaint"
Circular to Licensed Corporations - Investor Leaflet "IPO Investing"
Circular to Licensed Corporations and Registered Institutions - Settlement of Disciplinary Cases
Circular to Licensed Corporations Providing Online Trading Services Reminder of Adequate Information Security Measures to Combat Possible Denial-of-Service Attacks
Invitation-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing
Revised "Non-Statutory Guidelines on Directors' Duties" issued by the Companies Registry (This is not an SFC document)

Codes, Guidelines and Circulars
Click on a column heading to sort the publications by date, title, document type or price (if applicable).
Issued Date Publication Document Type Issuing/Admin. Department Hardcopy (Price)
Apr 2008 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Licence Holders Insurance for Exchange Participants Circular LIC 
Apr 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Questions and Answers on Identification and Handling of High Risk Customers and Politically Exposed Persons ("FAQs") Circular ISD 
Apr 2008 The Codes on Takeovers and Mergers and Share Repurchases (October 2005 edition as amended in April 2008) Code CFD HK$100
Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President's Executive Order 13224 Circular ISD 
Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Uzbekistan, Iran, Pakistan, Turkmenistan, S?o Tom? and Pr?ncipe and the northern part of Cyprus Circular ISD 
Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD 
Feb 2008 Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure Circular ISD 
Feb 2008 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2007 Circular IPD 
Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2008 (2) United Nations Sanctions (Cote d'Ivoire) Regulation 2008 Circular ISD 
Jan 2008 Circular to Management Companies / Product Issuers of SFC-authorized Schemes - Streamlining of Pre-vetting of Notices and Advertisements of Authorized Collective Investment Schemes Circular IPD 
Jan 2008 Circular to Management Companies of SFC-Authorised Real Estate Investment Trusts - New Frequently Asked Questions Circular IPD 
Jan 2008 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - On-market Unit Repurchases by SFC-authorised REITs Circular IPD 
Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD 
Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Liberia) Regulation 2005 (2) US President's Executive Order 13224 Circular ISD 
Dec 2007 Guidance Note on Position Limits and Large Open Position Reporting Requirements Guidelines SOM 
Nov 2007 Revised "Non-Statutory Guidelines on Directors' Duties" issued by the Companies Registry (This is not an SFC document) Guidelines ER -
Nov 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD 
Oct 2007 Circular to All Licensed Corporations - Reminder of Importance of Prudent Risk Management Circular ISD 
Oct 2007 Circular to Licensed Corporations - Investor Leaflet "Index Tracking Exchange Traded Funds" Circular ER 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Iran Circular ISD 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Good Market Practices Identified from Self-Assessment Program Circular ISD 
Oct 2007 Circular to Fund Management Companies of SFC-authorised Funds - SFC facilitates delegation of investment management functions to non-AIR jurisdictions Circular IPD 
Oct 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Acquisitions by SFC-authorised REITs  Circular IPD 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Iran) Regulation ("the Iran Regulation") Circular ISD 
Oct 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Sudan) Regulation Circular ISD 
Sep 2007 Circular to Licensed Corporations licensed for Type 1 or Type 8 regulated activity and Associated Entity - Implementation of 140% repledging limit with effect from 1 October 2007  Circular ISD 
Sep 2007 Circular to Licensed Corporations and Registered Institutions - Investor Leaflet "Hedge Funds" Circular ER 
Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Enhancement of Website and Obligation to Report Suspicious Transactions Circular ISD 
Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) United Nations Sanctions (Democratic People's Republic of Korea) Regulation (3) United Nations Sanctions (Liberia) Regulation 2005 (Amendment) (No. 2) Regulation 2007 (4) United Nations (Anti-Terrorism Measures) Ordinance (5) US President's Executive Order 13224 Circular ISD 
Jul 2007 Circular to Licensed Corporations - Investor Leaflet "Fund Investing" Circular ER 
Jul 2007 Circular to Intermediaries Acting as Sponsors - Increase in the minimum paid-up share capital requirement for sponsors Circular LIC 
Jul 2007 Circular to Licensed Corporations - Investor Leaflet "IPO Investing" Circular ER 
Jun 2007 Circular to Licensed Corporations - "Investor Leaflet "Know Your Broker" Circular ER 
Jun 2007 Circular to Licensed Corporations and Associated Entities Apply for a New Password to Access Joint Financial Intelligence Unit's New Website  Circular ISD 
Jun 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2007 (2) US President's Executive Order 13224 Circular ISD 
Jun 2007 SFC Adopts a Pragmatic Approach to Licensing Fund Managers Circular LIC -
Jun 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Electronic Dissemination of Public Announcements of SFC-authorised REITs  Circular IPD 
May 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar  Circular ISD 
May 2007 Circular to All Licensed Corporations Questions and Answers on Suitability Obligations  Circular ISD 
Apr 2007 Circular to Licensed Corporations - Investor Leaflet "How to Make a Complaint" Circular IEC 
Apr 2007 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC 
Mar 2007 Circular to Fund Management Companies of SFC-authorised Funds - Streamlined Measures for Processing UCITS III Schemes with Special Features Circular IPD 
Feb 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular ISD 
Feb 2007 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2006 Circular IPD 
Jan 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) US President's Executive Order 13224 (3) Non-cooperative Countries and Territories (4) Anti-Money Laundering Training Seminar Materials Circular IIP/ISD 
Dec 2006 The new sponsor regime Circular LIC -
Dec 2006 Circular to All Licensed Corporations Circular ISD 
Dec 2006 Implementation of new sponsor regime Circular LIC -
Dec 2006 Circular to Licensed Corporations Providing Online Trading Services Reminder of Adequate Information Security Measures to Combat Possible Denial-of-Service Attacks Circular ISD 
Nov 2006 Circular to all Issuers of Unlisted Retail Structured Products - Enhance Prospective Investors' Understanding of Structured Products Circular IEC 
Nov 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Identification and Reporting of Suspicious Transactions Circular ISD 
Oct 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 (3) Combating Financing of Weapons of Mass Destruction Activities Circular ISD 
Oct 2006 Circular to Fund Management Companies of SFC-authorised Funds - FAQs on SFC Authorisation of Unit Trusts and Mutual Funds Circular IPD 
Sep 2006 Circular to All Licensed Corporations - Requirements under certain amendment rules and amended Code of Conduct will come into effect on 1 October 2006 Circular ISD 
Sep 2006 Guidelines on marketing materials for listed structured products Guidelines CFD -
Sep 2006 Guidelines on marketing materials for listed structured products - Frequently Asked Questions Guidelines CFD -
Sep 2006 Circular to Licensed Corporations and Registered Institutions - Emergency Contact Person Circular LIC -
Sep 2006 General Circular to Licensed REIT Managers - Frequently Asked Question on disclosure of distribution composition  Circular IPD 
Sep 2006 Circular to intermediaries licensed or registered for Type 6 regulated activity - Sponsor regime Circular LIC -
Sep 2006 Securities and Futures (Financial Resources) (Amendment) Rules 2006 for Sponsors Circular LIC -
Sep 2006 Circular to All Licensed Corporations - Be alert to individuals pretending to be SFC staff Circular ISD 
Sep 2006 Fit and Proper Guidelines  Guidelines LIC -
Aug 2006 Circular to Fund Management Companies of SFC-authorised Funds - Information relating to the Risk Management and Control Process of UCITS III Funds applying for SFC authorisation Circular IPD 
Aug 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Circular ISD 
Jul 2006 Circular to All Licensed Corporations-Prepare for Implementation of the New Requirements to Address Risks Arising from Securities Margin Financing Circular ISD 
Jul 2006 Invitation-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing  Circular ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar  Circular ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Quarterly Suspicious Transaction Report Analysis issued by the Joint Financial Intelligence Unit ("JFIU") Circular ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 (3) United Nations Sanctions (Cote d'Ivoire) Regulation 2006  Circular ISD 
Jun 2006 Circular to All Licensed Corporations Circular ISD 
Jun 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Sudan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD 
May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Frequently Asked Questions on the Guidance Note on Prevention of Money Laundering and Terrorist Financing Circular ISD 
May 2006 Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission Code ISD HK$30
May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2006 (2) United Nations Sanctions (Liberia) Regulation 2005 Circular ISD 
Apr 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guidance Note and Quarterly Suspicious Transaction Report Analysis  Circular ISD 
Apr 2006 Prevention of Money Laundering and Terrorist Financing Guidance Note Guidelines ISD HK$30
Apr 2006 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC 
Mar 2006 Circular to All Licensed Corporations - Importance of Prudent Risk Management Circular ISD 
Mar 2006 Circular to Fund Managers of SFC Authorized Funds and Other Relevant Parties - FAQ on Presentation of Benchmark Performance in Advertising Materials Circular IPD -
Mar 2006 Guidance Note on Cooperation with the SFC - March 2006 Guidelines ENF -
Mar 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Continuous and Close Supervision of Firm's Operations Circular ISD 
Mar 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance  Circular ISD 
Feb 2006 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2005"  Circular IPD -
Feb 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 Circular ISD 
Jan 2006 Circular to Licensed Corporations which are licensed for Type 9 regulated activity Frequently Asked Questions on Financial Return Form 12 - Aggregate net value of assets under management Circular ISD 
Jan 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Liberia) Regulation Circular ISD 
Dec 2005 Circular to Fund Managers of SFC Authorised Funds, Legal Advisors, Fund Auditors and Other Relevant Parties - Investment Products Department - Streamlining of Authorisation Process Circular IPD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan in light of the Possible Outbreak of Avian Influenza and Influenza Pandemic in Hong Kong Circular ISD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Circular ISD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations Sanctions (Democratic Republic of Congo) Regulation 2005 (3) United Nations (Anti-Terrorism Measures) Ordinance (4) Blocking Property of Proliferators and Supporters of Weapons of Mass Destruction Circular ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Further Reminder of Business Continuity Arrangement during the 6th Ministerial Conference of the World Trade Organization Circular ISD 
Nov 2005 Circular to All Licensed Corporations Reminder to comply with certain Code and Internal Control Guidelines requirements  Circular ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan during the 6th Ministerial Conference of the World Trade Organization Circular ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Afghanistan) Regulation Circular ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Suspicious Transactions Reports Classification Circular ISD 
Sep 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular ISD 
Sep 2005 Circular to Licensed Corporations and Associated Entities Section 311 of the USA Patriot Act Circular ISD 
Aug 2005 Guidelines on revised procedures for applications for Exempt Fund Manager (EFM) status under the Code on Takeovers and Mergers (Code) by fund managers that form part of complex international financial groups Guidelines CFD -
Aug 2005 Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that form part of complex international financial groups  Guidelines CFD -
Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) New Regulation under United Sanctions Ordinance (Cap. 537) (2) US President's Executive Order 13224 Circular ISD 
Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Seminar for Compliance Officers Circular ISD 
Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular ISD -
Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation") Circular ISD -
Jul 2005 Circular to Licensed Corporations and Registered Institutions - Settlement of Disciplinary Cases Circular ENF -
Jun 2005 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05 Circular LIC -
Jun 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules Circular LIC -
Jun 2005 Code on Real Estate Investment Trusts  Code IPD -
Jun 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular ISD -
May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
May 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC -
May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the “l"Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the “l"Regulation") Circular ISD -
Apr 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular ISD -
Apr 2005 Circular to SFC Registered Institutions - FAQs for Investors on UCITS III Circular IPD -
Apr 2005 The Codes on Takeovers and Mergers and Share Repurchases (February 2002 edition as amended in April 2003, February 2004 and April 2005) Code CFD -
Mar 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular LIC -
Mar 2005 General Circular to SFC-approved Fund Management Companies - Interim Measures on the Disclosure and Submission Requirements for the authorisation of UCITS III Funds domiciled in Luxembourg, Ireland and the United Kingdom by the SFC Circular IPD -
Mar 2005 Guidelines to Address Analyst Conflicts of Interest to Come into Effect Circular LIC -
Mar 2005 Circular to SFC Licensed Fund Managers and Investment Advisers - FAQs for Investors on UCITS III Circular IPD -
Feb 2005 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2004 Circular IPD -
Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD -
Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Jan 2005 Circular to all Licensed Corporations - Securities and Futures (Financial Resources) Rules - Enhanced Excel format of Proforma Financial return Circular ISD -
Jan 2005 Guidelines on Disclosure of Fees and Charges Relating to Securities Services  Guidelines LIC -
Dec 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Dec 2004 Circular to all Licensed Corporations Implementation of prudent risk management policies and procedures Circular ISD -
Dec 2004 Circular to deemed licensed corporations which have not submitted migration applications - Client assets arrangement in anticipation of business cessation Circular LIC -
Dec 2004 Circular to Licensed Corporations and Registered Institutions - Courses to Facilitate Former Practitioners to Re-enter the Industry and New Recognised Continuous Professional Training Providers Circular LIC -
Dec 2004 Circular to Licensed Corporations which are licensed for Type 6 regulated activity - Theme Inspection of Sponsors  Circular ISD -
Nov 2004 Circular to Licensed Corporations which are licensed for Type 1 or 8 regulated activity SFC's Advice to Securities Firms Offering IPO Financing  Circular ISD -
Nov 2004 Circular to SFC's Licensed Intermediaries Telephone Recording Requirements Circular ISD -
Nov 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) Non-cooperative Countries and Territories (3) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
Nov 2004 Circular to Licensed Corporations and Registered Institutions - Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest Circular IIP -
Nov 2004 General Circular to SFC-approved Fund Management Companies - Investment in SFC-authorised Real Estate Investment Trusts ('REITs') by Unit Trusts and Mutual Funds authorised under the SFC Code on Unit Trusts and Mutual Funds ('UT Code') Circular IPD -
Oct 2004 Circular to Licensed Corporations - Facilitation of Lodgment of Annual Returns by Representatives Circular LIC -
Oct 2004 Circular to deemed licensed corporations which have not submitted migration applications - Migration to the New Regime under the Securities and Futures Ordinance ("SFO") Circular LIC -
Oct 2004 The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng Circular CFD -
Oct 2004 The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng Circular CFD -
Oct 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532  Circular ISD -
Sep 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Sep 2004 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2003/04 Circular LIC -
Aug 2004 Circular to Certain Deemed Licensed Corporations (Sole Proprietors) - Migration into the New Regime under the Securities and Futures Ordinance  Circular LIC -
Aug 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Afghanistan) Regulation (3) United Nations Sanctions (Libya) (Repeal) Regulation 2004 Circular ISD -
Aug 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532  Circular ISD -
Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Afghanistan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance (3) US President's Executive Order 13224 (4) United Nations Security Council Resolution (UNSCR) 1483(2003) Circular ISD -
Jul 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular ISD -
Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular ISD -
Jun 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Jun 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition Compliance with the Securities and Futures (Financial Resources) Rules ("the FRR") Circular ISD -
Jun 2004 Circular to Licensed Corporations Ways to combat fake websites Circular ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Jun 2004 Circular to Licensed Corporations Implementation of Hong Kong Accounting Standards 39 and 32 Circular ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance  Circular ISD -
Jun 2004 Circular to Licensed Corporations which are licensed for Type 1 regulated activity Watch out! Brokerage firms were defrauded again! Circular ISD -
May 2004 Circular to Licensed Corporations - Responsible Officers (28 May 2004) Circular LIC -
May 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Apr 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular LIC -
Apr 2004 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular LIC -
Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance ("the Ordinance") and United Nations Sanctions (Afghanistan) Regulation ("the Regulation") Circular ISD -
Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Mar 2004 Guidelines for the approval of corporations as approved lending agents Guidelines LSD -
Mar 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular LIC -
Mar 2004 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular LIC -
Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular ISD -
Mar 2004 Circular to analysts on handling non-public price sensitive information Circular ENF -
Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories ("NCCTs") (2) United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Feb 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance  Circular ISD -
Feb 2004 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2003 Circular IPD -
Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Jan 2004 Circular to Licensed Corporations - Migration to the new regime under the Securities and Futures Ordinance (27 January 2004) Circular LIC -
Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; and (3) United Nations Security Council Resolution (UNSCR) 1483 Circular ISD -
Jan 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition - Compliance with Section 56(3) of the Securities and Futures (Financial Resources) Rules to Submit Financial Return Circular ISD -
Dec 2003 Circular to all intermediaries dealing with cleints who invest in structured products - Advice to Investors on Structured Notes Circular IEC -
Dec 2003 Circular to Licensed Corporations - Notification on cessation of accreditation and return of licence (23 December 2003) Circular LIC -
Dec 2003 Circular to intermediaries conducting Type 1 or Type 8 Regulated Activity - Allocation problem of China Life IPO Circular ISD -
Dec 2003 Circular to Intermediaries Conducting Type 1 or Type 8 Regulated Activity Allocation problem of China Life IPO Circular ISD -
Dec 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Dec 2003 Circular to Licensed and Registered Persons - Relaxation for Former Practitioners to Re-enter the Industry Circular LIC -
Nov 2003 Circular to Licensed corporations and associated entities - Proper segregation and safeguarding of client money Circular ISD -
Nov 2003 Investor Survey on Investment Research Activities (25 November 2003) Circular LIC -
Nov 2003 Securities Firm Survey on Investment Research Activities (25 November 2003) Circular LIC -
Nov 2003 Circular to Licensed Corporations - Business continuity planning against serious communicable diseases (24 November 2003) Circular LIC -
Nov 2003 Circular to Licensed Corporations who wish to act as Financial Intermediaries for Entrants under the Capital Investment Entrant Scheme (18 November 2003) Circular LIC -
Nov 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) Non-cooperative Countries and Territories Circular ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Oct 2003 Circular to Licensed Corporations Observe the Know Your Clients Rules to Avoid Losses Circular ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Afghanistan) Regulation ("Regulation") Circular ISD -
Sep 2003 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities - Compliance with the Securities and Futures (Financial Resources) Rules Circular ISD -
Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular ISD -
Aug 2003 Circular to Licensed Corporations and Registered Institutions - Licensing Information Booklet and Handling of Licensing Related Enquiries (28 August 2003) Circular LIC -
Aug 2003 Licensing Information Booklet  Guidelines LIC HK$50
Aug 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, US President's Executive Order 13224  Circular ISD -
Aug 2003 Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules (11 August 2003) Circular LIC -
Aug 2003 Circular to Fund Managers regarding the Capital Investment Entrant Scheme and Related Undertaking Circular IPD -
Aug 2003 Outline of Part XV Guidelines LSD -
Aug 2003 Circular to Licensed Corporations - Advice to Investors on Exotic Warrants Circular IEC -
Jul 2003 Circular to Licensed Corporations - Substantial Shareholders Circular LIC -
Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular ISD -
Jul 2003 Circular to Licensed Corporations - Common Anniversary Date Program Circular LIC -
Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1)US President's Executive Order 13224; (2)United Nations (Anti-Terrorism Measures) Ordinance; (3)Non-cooperative Countries and Territories; and New Members of FATF Circular ISD -
Jul 2003 Circular to Licensed Corporations - Officer for Signing Financial Resources Returns (other than Responsible Officer) Circular LIC -
Jun 2003 Circular to Licensed Corporations and Registered Institutions - SFC to Move to Chater House Circular LIC -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224  Circular ISD -
May 2003 2002 Exempt Persons Activities Survey - REMINDER Circular LIC -
May 2003 2002 Intermediaries Activities Survey - REMINDER Circular LIC -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance - United Nations Sanctions (Afghanistan) Regulation Circular ISD -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224  Circular ISD -
May 2003 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules  Circular LIC -
May 2003 Circular to Intermediaries-Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance  Circular ISD -
Apr 2003 2002 Exempt Persons Activities Survey - Circular to Exempt Persons under the former regime - - 2002 Exempt Persons Activities Survey & 2002 Fund Mgt Activities Survey Circular LIC -
Apr 2003 2002 Intermediaries Activities Survey - Circular to Registered Firms under the former regime - 2002 Intermediaries Activities Survey & 2002 Fund Mgt Activities Survey Circular LIC -
Apr 2003 Circular to Licensed Corporations-Excel template of the financial return under the Securities and Futures (Financial Resources) Rules  Circular ISD -
Apr 2003 Circular to Licensed Corporations - Change of Accreditation by Deemed Licensed Representatives (23 April 2003) Circular LIC -
Apr 2003 Guidelines for Electronic Public Offerings Guidelines SOM/CFD -
Apr 2003 Investor Compensation Arrangement Guidelines IEC -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance  Circular ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order Circular ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Afghanistan) Regulation  Circular ISD -
Apr 2003 Circular to Intermediaries Equity-linked Instruments are subject to suitability and fair dealing requirements Circular ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - Non-cooperative Countries and Territories Circular ISD -
Apr 2003 Circular to Intermediaries Marketing of Hedge Funds Circular ISD -
Apr 2003 Circular to Intermediaries licensed or registered for Dealing in Securities or Securities Margin Financing Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules Circular ISD -
Apr 2003 Circular to Intermediaries Regarding the Marketing of Hedge Funds Circular IPD -
Apr 2003 Circular to Licensed and Registered Firms - Contingency plan for possible staff infection of atypical pneumonia  Circular LIC -
Apr 2003 Circular to Licensed Corporations Window Dressing of Financial Position Circular ISD -
Apr 2003 Circular to Licensed Corporations and Associated Entities Forms specified by SFC Circular ISD -
Mar 2003 Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules (31 March 2003) Circular LIC -
Mar 2003 Securities and Futures (Fees) Rules Rules CA -
Mar 2003 Code on Immigration-Linked Investment Schemes Code IPD -
Mar 2003 Code on Investment-Linked Assurance Schemes Code IPD -
Mar 2003 Code on Pooled Retirement Funds Code IPD -
Mar 2003 Code on Unit Trusts and Mutual Funds Code IPD -
Mar 2003 Fund Manager Code of Conduct Code IPD -
Mar 2003 Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet Guidelines IPD -
Mar 2003 Guidelines on Competence Guidelines LIC HK$20
Mar 2003 Guidelines on Continuous Professional Training Guidelines LIC HK$20
Mar 2003 SFC Code on MPF Products Code IPD -
Mar 2003 Circular to Registered Firms and Exempt Persons - Advice from the Prevention of Respiratory Tract Infections Circular LIC -
Mar 2003 Circular to Registered Firms and Exempt Persons - Fit and Proper Guidelines , Guidelines on Competence, Guidelines on Continuous Professional Training Circular LIC -
Mar 2003 Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) Guidelines LSD -
Mar 2003 Code of Conduct for Corporate Finance Adviser  Code CFD HK$20
Mar 2003 Guidelines on Use of Offer Awareness and Summary Disclosure Materials in Offerings of Shares and Debentures Under the Companies Ordinance Guidelines CFD -
Mar 2003 Circular to SFC's Registered Firms and Exempt Persons - Guidelines on Transitional Arrangements, Guidelines on Waivers of Certain Licensing Fees Circular LIC -
Mar 2003 Guidelines on Transitional Arrangements Guidelines LIC HK$100
Mar 2003 Guidelines on Waivers of Certain Licensing Fees Guidelines LIC HK$20
Mar 2003 Code of Conduct for Share Registrars Code SOM -
Mar 2003 Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements  Guidelines SOM -
Mar 2003 Guidelines on the Regulation of Automated Trading Services Guidelines SOM -
Mar 2003 Circular to SFC's Registered Commodity Trading Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance  Circular LIC -
Mar 2003 Circular to SFC's Registered Investment Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance Circular LIC -
Mar 2003 Client Identity Rule Policy Guidelines ENF/IIP -
Mar 2003 Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission Guidelines ISD HK$20
Mar 2003 Debt Collection Guidelines for Licensed Corporations Guidelines LIC -
Mar 2003 Disciplinary Fining Guidelines Guidelines ENF -
Mar 2003 Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission Guidelines ISD $30
Mar 2003 Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules Guidelines ISD -
Feb 2003 Circular to SFC's Registered Intermediaries and Exempt Persons - Comparison Table on Securities and Futures Ordinance Requirements for Licensing and Supervision of Intermediaries Circular IIP -
Feb 2003 Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32) Guidelines CFD -
Feb 2003 Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) Guidelines CFD -
Feb 2003 Circular to Registered Commodity Dealers which are participants of Hong Kong Futures Exchange Limited - Securities and Futures (Insurance) Rules Circular LIC -
Jan 2003 Circular to Exempt Persons who are authorised financial institutions - Registration matters pertaining to the Securities and Futures Ordinance Circular LIC -
Jan 2003 Circular to Licensed Banks who are not Exempt Persons - Registration matters pertaining to the Securities and Futures Ordinance Circular LIC -
Jan 2003 Circular to Registered Corporations & Exempt Persons who are not authorised financial institutions - Licensing matters pertaining to the Securities and Futures Ordinance Circular LIC -
Dec 2002 Circular to SFC's Registered Intermediaries and Exempt Persons which are not Authorized Institutions - Compliance under the Securities and Futures Ordinance (Cap. 571) Circular LIC -
Dec 2002 Circular to SFC's Registered and Exempt Intermediaries - Securities and Futures Ordinance Circular LIC -
Nov 2002 Circular to SFC's Registered Intermediaries - Order Recording Requirements (13 November 2002) Circular ISD -
Nov 2002 Circular to Registered Investment Advisers on Cold Calling  Circular LIC -
Aug 2002 Circular to SFC's Registered Intermediaries - Notification of in-house training sessions by corporate licensees  Circular LIC -
Apr 2002 The Takeovers and Mergers Panel has imposed Cold Shoulder Orders on Mr Anthony Wong Man Shek Circular CFD -
Mar 2002 Circular to Intermediaries - Dubious Financial Instruments  Circular LIC -
Nov 2001 General Circular to SFC Approved Fund Management Companies - Suspension of Dealings Circular IPD -
Apr 2001 Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers Guidelines CFD -
Apr 2001 Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers Guidelines CFD -
Mar 1999 Guidance Note on Internet Regulation  Guidelines SOM -
Jan 1998 Project on the Use of Plain Language - How to Create a Clear Prospectus Guidelines CFD -
Jul 1997 How to Create Clear Announcements - Guidelines on the Use of Plain Language Guidelines CFD -
Jul 1991 Guidelines for the Exemption of Listed Companies from the Securities (Disclosure of Interests) Ordinance Guidelines CFD

Archives - Codes, Guidelines & Circulars (applicable before 1 April 2003)
Click on a column heading to sort the publications by date, title, document type or price (if applicable).
Issued Date Publication Document Type Issuing/Admin. Department Hardcopy (Price)
Mar 2003 Circular to SFC's Registered Intermediaries-Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation  Circular ISD -
Mar 2003 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance; and (2) US President's Executive Order Circular ISD -
Feb 2003 Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance Guidelines CFD -
Feb 2003 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing (1)United Nations (Anti-Terrorism Measures) Ordinance; (2)Non-cooperative Countries and Territories ("NCCTs"); and (3) US President's Executive Order Circular ISD -
Feb 2003 Frequently Asked Questions on Competence Guidelines LIC -
Feb 2003 Frequently Asked Questions on Continuous Professional Training Guidelines LIC -
Feb 2003 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance and (2) US President's Executive Order Circular ISD -
Jan 2003 Circular to All Securities Dealers, Securities Margin Financiers and Exempt Dealers - Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules Circular ISD -
Jan 2003 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order Circular ISD -
Jan 2003 Circular to SFC's Registered Intermediaries - Money Laundering - Non-cooperative Countries and Territories  Circular ISD -
Dec 2002 Circular to SFC's Registered Intermediaries - "Guidelines for Exemptions from the Recognised Industry Qualification and Local Regulatory Framework Paper Requirements" Circular LIC -
Dec 2002 Guidance Note on Competence Guidelines LIC -
Dec 2002 Guidelines for Exemptions from the Recognised Industry Qualification and Local Regulatory Framework Paper Requirements Guidelines LIC -
Dec 2002 Circular to SFC's Registered Intermediaries - United Nations (Anti-Terrorism Measures) Ordinance, United Nations Sanctions (Afghanistan) Regulation  Circular ISD -
Nov 2002 Circular to Registered Persons Regarding the Marketing of Hedge Funds Circular IPD -
Nov 2002 Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements  Guidelines SOM -
Nov 2002 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order (25 November 2002) Circular ISD -
Nov 2002 Circular to SFC's Registered Intermediaries - United Nations (Anti-Terrorism Measures) Ordinance (15 November 2002) Circular ISD -
Nov 2002 Circular to All Intermediaries - Subsidiary Legislation to be made under the Securities and Futures Ordinance (14 November 2002)  Circular ISD -
Nov 2002 Circular to SFC's Registered Intermediaries - Order Recording Requirements (13 November 2002) Circular ISD -
Nov 2002 Circular to SFC's Registered Intermediaries - United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation 2002 (6 November 2002) Circular ISD -
Oct 2002 Leveraged Foreign Exchange Trading (Fees) Rules Rules CA -
Oct 2002 Securities and Futures Commission (Fees) Rules Rules CA -
Oct 2002 Circular to SFC's Registered Intermediaries - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order (24 October 2002) Circular ISD -
Oct 2002 Circular to SFC's Registered Intermediaries - Money Laundering - (1) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation 2002; (2) Non-cooperative Countries and Territories; and (3) US President's Executive Order (23 October 2002) Circular ISD -
Sep 2002 Circular to SFC's Registered Intermediaries-United Nations (Anti-Terrorism Measures) Ordinance (25 September 2002) Circular ISD -
Sep 2002 Circular to SFC's Registered Intermediaries-United Nations Sanctions (Afghanistan) Regulation (24 September 2002) Circular ISD -
Sep 2002 Circular to SFC's Registered Intermediaries-Anti-Money Laundering / Combating Terrorist Financing-US President's Executive Order (9 September 2002) Circular ISD -
Sep 2002 Circular to SFC's Registered Intermediaries-Anti-Money Laundering / Combating Terrorist Financing-US President's Executive Order (5 September 2002) Circular ISD -
Sep 2002 Circular to All SFC's Registered Securities Dealers and Securities Margin Financiers-Financial Resources (Amendment) Rules 2002 (4 September 2002) Circular ISD -
Aug 2002 Circular to SFC's Registered Intermediaries-Money Laundering-United Nations (Anti-terrorism Measures) Ordinance (30 August 2002) Circular ISD -
Aug 2002 Circular to SFC's Registered Intermediaries-Money Laundering-US President's Executive Order (30 August 2002) Circular ISD -
Aug 2002 Circular to SFC's Registered Intermediaries-Money Laundering-US President's Executive Order (21 August 2002) Circular ISD -
Aug 2002 Circular to SFC's Registered Intermediaries-United Nations Sanctions (Afghanistan) (Amendment) Regulation 2002 (14 August 2002) Circular ISD -
Jul 2002 Circular to All Securities Dealers-Segregation of Duties Circular ISD -
Jul 2002 Circular to SFC's Registered Intermediaries-Money Laundering-(1) Non-cooperative Countries and Territories; and (2) US President's Executive Order (10 July 2002) Circular ISD -
Jul 2002 Circular to SFC's Registered Intermediaries-Review of the FATF Forty Recommendations Consultation Paper (5 July 2002) Circular ISD -
Jun 2002 Circular to Registered Intermediaries-Amendment to the Code of Conduct for Persons Registered with the Securities and Futures Commission Circular ISD -
Jun 2002 Presentation Material for Seminar on Prevention of Money Laundering (25.6.2002) Circular ISD -
Jun 2002 Circular to SFC's Registered Intermediaries-Guidance in detecting terrorist financing (14 June 2002) Circular ISD -
Jun 2002 Circular to SFC's Registered Intermediaries-United Nations Sanctions (14 June 2002) Circular ISD -
Jun 2002 Circular to All SFC's Registered Securities Dealers and Securities Margin Financiers-Financial Resources (Amendment) Rules 2002 Circular ISD -
May 2002 Circular to SFC's Registered Intermediaries-Money Laundering-US President's Executive Order (15 May 2002) Circular ISD -
Apr 2002 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (23 April 2002) Circular ISD -
Apr 2002 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (4 April 2002) Circular ISD -
Apr 2002 Disciplinary Fining Guidelines Guidelines ENF -
Mar 2002 Frequently Asked Questions on Financial Resources Rules Circular ISD -
Mar 2002 General Circular to SFC-approved Fund Management Companies - Disclosure Requirements of Guaranteed Funds - Amendment to the Code on Unit Trusts and Mutual Funds Circular IPD -
Mar 2002 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (15 March 2002) Circular ISD -
Mar 2002 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (5 March 2002) Circular ISD -
Feb 2002 Circular to SFC's Registered Intermediaries - Money Laundering - List of Suspicious Activities Indicators Commonly Associated with Money Laundering in Hong Kong Non-ccoperative Countries and Territories (25 February 2002) Circular ISD -
Feb 2002 Codes on Takeovers and Mergers and Share Repurchases Code CFD $100
Feb 2002 Frequently Asked Questions on Securities Margin Financing Regulation Circular ISD -
Feb 2002 Guidelines for the Regulation of Automated Trading Services Guidelines SOM -
Feb 2002 Modification/Waiver of Financial Resources Rules Guidelines ISD -
Jan 2002 General Circular to SFC-approved Fund Management Companies - Guarantors of Guaranteed Funds - Amendment to the Code on Unit Trusts and Mutual Funds Circular IPD -
Jan 2002 Circular to SFC's Registered Intermediaries - United Nations Sanctions (18 January 2002) Circular ISD -
Jan 2002 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (11 January 2002) Circular ISD -
Dec 2001 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (27 December 2001) Circular ISD -
Dec 2001 Circular to SFC's Registered Intermediaries - Money Laundering-(1) Non-cooperative Countries and Territories; and (2) US President's Executive Order (14 December 2001) Circular ISD -
Dec 2001 Circular to SFC's Registered Intermediaries - United Nations Sanctions (4 December 2001) Circular ISD -
Dec 2001 Corporate Finance Adviser Code of Conduct Code CFD -
Nov 2001 Circular to SFC's Registered Intermediaries - Equity-linked Instruments are Subject to Suitability and Fair Dealing Requirements Circular ISD -
Nov 2001 Circular to SFC's Registered Intermediaries - United Nations Sanctions (14 November 2001) Circular ISD -
Nov 2001 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (12 November 2001) Circular ISD -
Nov 2001 Circular to Brokers: Caution! Two More Brokers Defrauded Despite SFC Warning Circular ISD -
Nov 2001 Debt Collection Practice Guidelines LIC -
Nov 2001 Measure to Prevent Unauthorised Trades and Over-trading Guidelines LIC -
Oct 2001 Circular to SFC's Registered Intermediaries - United Nations Sanctions (22 October 2001) Circular ISD -
Oct 2001 Circular to SFC's Registered Intermediaries - Money Laundering - US President's Executive Order (19 October 2001) Circular ISD -
Oct 2001 Circular to SFC's Registered Intermediaries - Money Laundering - (1) Non-cooperative Countries and Territories; and (2) US President's Executive Order (9 October 2001) Circular ISD -
Oct 2001 Code of Conduct for Share Registrars Code SOM Free
Oct 2001 General Circular to SFC Approved Fund Management Companies - Money Market Funds - Amendment to the Code on Unit Trusts and Mutual Funds Circular IPD -
Sep 2001 Circular Letter to SFC's Registered Intermediaries - Identification of Non-Cooperative Jurisdictions by the Financial Action Task Force on Money Laundering (28 September 2001) Circular ISD -
Sep 2001 Circular Letter to All Dealers and Securities Margin Financiers - Effect of Cessation of the Hang Seng 100 Index on FRR Calculation Circular ISD -
Aug 2001 General Circular to Persons Registered with the SFC Whose Business Involves the Discretionary Management of Collective Investment Schemes Circular IPD -
Aug 2001 Circular to Brokers-Suspected Fraud by Walk-In Clients Circular ISD 
Aug 2001 Licensing Information Booklet  Guidelines LIC Free
Jul 2001 Circular Letter to All Registered and Licensed Firms - Identification of Non-Cooperative Jurisdictions by the Financial Action Task Force on Money Laundering (31July 2001) Circular ISD -
Jun 2001 Guidance Notes on Continuous Professional Training Guidelines LIC -
May 2001 General Circular on the Provision of Financial Information on the Internet - Licensing Requirements Circular LIC -
May 2001 Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet Guidelines IPD -
Apr 2001 Code of Conduct for Persons Registered with the Securities and Futures Commission (incorporated amendments made on 28 June 2002) Code IIP/SOM $20
Apr 2001 Frequently Asked Questions on the Code of Conduct for Registered Persons Circular IIP/SOM -
Mar 2001 Circular Letter to All Securities Dealers - Analysis of Misappropriation of Assets Cases from Brokers and Investors' Perspectives Circular ISD -
Feb 2001 Circular Letter to All Registered and Licensed Firms - Identification of Non-Cooperative Jurisdictions by the Financial Action Task Force on Money Laundering (28 February 2001) Circular ISD -
Dec 2000 Fit & Proper Criteria Guidelines LIC $20
Sep 2000 Update on eIPO - Letter to Securities Dealers and Exempt Dealers Circular ISD -
Aug 2000 Guidance Note on Incidental Advice Provided by Solicitors and Accountants Guidelines LIC -
Aug 2000 Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes Guidelines SOM -
Jul 2000 Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering Guidelines SOM -
Jul 2000 General Circular to All Registered and Licensed Firms on Internet Trading and Advising Circular LIC -
Jul 2000 Client Identity Rule Policy Guidelines ENF/IIP -
May 2000 Commodity Exchange Compensation Fund Circular IEC -
May 2000 Unified Exchange Compensation Fund Circular IEC -
Sep 1999 Issue of Advertisements by Intermediaries Guidelines LIC -
Jul 1999 Guidelines for Review of Internal Controls and Systems of Trustees / Custodians Guidelines IPD -
Jun 1999 SFC Code on MPF Products Code IPD $100
Mar 1999 Guidance Note on Internet Regulation  Guidelines SOM -
Jan 1998 Code on Investment-Linked Assurance Schemes Code IPD $100
Jan 1998 Code on Pooled Retirement Funds Code IPD $100
Dec 1997 Code on Unit Trusts and Mutual Funds Code IPD $100
Dec 1997 Fund Manager Code of Conduct Code IPD $30
May 1997 Management, Supervision and Internal Control Guidelines for Persons Registered with or Licensed by the Securities and Futures Commission Guidelines SOM $30
Mar 1995 Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Registered Persons Guidelines ISD -
Jul 1994 Conduct of Business Guidelines for Licence Holders under the Leveraged Foreign Exchange Trading Ordinance Guidelines ISD -
Feb 1993 Code on Immigration-Linked Investment Schemes Code IPD -

 

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Register of Licensed Persons and Automated Trading Service
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Public Register of Licensed Persons and Registered Institutions
You can search for a licensed person or a registered institution through
Name Search ; or
Regulated Activity Search
You may view amendments to the register made by the SFC in the previous month:

Additions of licensed persons / registered institutions for April 2008 (Last Updated : 2 May 2008)
Removals of licensed persons / registered institutions for April 2008 (Last Updated : 2 May 2008)
Variations of regulated activities of licensed persons / registered institutions for April 2008 (Last Updated : 2 May 2008)
Variations of conditions of licensed persons / registered institutions for April 2008 (Last Updated : 2 May 2008)
You may also read a list of Modifications or Waivers granted for

Licensing requirements
S&F (Financial Resources) Rules

List of Authorised Investment Products
List of Authorised Investment Products You can search for an investment product through

Name Search ; or
Product Category Search
You can view changes to the List of Authorised Investment Products in the previous month:

List of Investment Products Authorised during March 2008
List of Investment Products Deauthorised during March 2008

In case of doubt, please contact the SFC at enquiry@sfc.hk .

Please read the important legal Information about the List of Authorised Investment Products.


Licensing Related Matters
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Intermediaries Supervision Related Matters
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Modifications or waivers of statutory requirements
Licensing Requirements
S&F (Financial Resources) Rules
S&F (Professional Investor) Rules
S&F (Contract Notes, Statements of Account and Receipts) Rules

Forms
Licensing Related Forms
Intermedaires Supervision Related Forms
Investment Products Related Forms

Circulars
Click on a column heading to sort the publications by date, title, document type or price (if applicable).
Issued Date Publication Document Type Circular Type Issuing/Admin. Department Hardcopy (Price)
Apr 2008 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Licence Holders Insurance for Exchange Participants Circular - LIC 
Apr 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Questions and Answers on Identification and Handling of High Risk Customers and Politically Exposed Persons ("FAQs") Circular Anti-Money Laundering ISD 
Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Mar 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Uzbekistan, Iran, Pakistan, Turkmenistan, S?o Tom? and Pr?ncipe and the northern part of Cyprus Circular Anti-Money Laundering ISD 
Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Feb 2008 Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure Circular Others ISD 
Feb 2008 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2007 Circular - IPD 
Feb 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2008 (2) United Nations Sanctions (Cote d'Ivoire) Regulation 2008 Circular Anti-Money Laundering ISD 
Jan 2008 Circular to Management Companies / Product Issuers of SFC-authorized Schemes - Streamlining of Pre-vetting of Notices and Advertisements of Authorized Collective Investment Schemes Circular - IPD 
Jan 2008 Circular to Management Companies of SFC-Authorised Real Estate Investment Trusts - New Frequently Asked Questions Circular - IPD 
Jan 2008 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - On-market Unit Repurchases by SFC-authorised REITs Circular - IPD 
Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Jan 2008 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - (1) United Nations Sanctions (Liberia) Regulation 2005 (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Nov 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Oct 2007 Circular to All Licensed Corporations - Reminder of Importance of Prudent Risk Management Circular Others ISD 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - FATF Statement on Iran Circular Anti-Money Laundering ISD 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Good Market Practices Identified from Self-Assessment Program Circular Anti-Money Laundering ISD 
Oct 2007 Circular to Fund Management Companies of SFC-authorised Funds - SFC facilitates delegation of investment management functions to non-AIR jurisdictions Circular - IPD 
Oct 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Acquisitions by SFC-authorised REITs  Circular - IPD 
Oct 2007 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Iran) Regulation ("the Iran Regulation") Circular Anti-Money Laundering ISD 
Oct 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Sudan) Regulation Circular Anti-Money Laundering ISD 
Sep 2007 Circular to Licensed Corporations licensed for Type 1 or Type 8 regulated activity and Associated Entity - Implementation of 140% repledging limit with effect from 1 October 2007  Circular Others ISD 
Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Enhancement of Website and Obligation to Report Suspicious Transactions Circular Anti-Money Laundering ISD 
Aug 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) United Nations Sanctions (Democratic People's Republic of Korea) Regulation (3) United Nations Sanctions (Liberia) Regulation 2005 (Amendment) (No. 2) Regulation 2007 (4) United Nations (Anti-Terrorism Measures) Ordinance (5) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Jul 2007 Circular to Intermediaries Acting as Sponsors - Increase in the minimum paid-up share capital requirement for sponsors Circular - LIC 
Jun 2007 Circular to Licensed Corporations and Associated Entities Apply for a New Password to Access Joint Financial Intelligence Unit's New Website  Circular Anti-Money Laundering ISD 
Jun 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2007 (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Jun 2007 SFC Adopts a Pragmatic Approach to Licensing Fund Managers Circular Others LIC -
Jun 2007 Circular to Management Companies of SFC-authorised Real Estate Investment Trusts - Electronic Dissemination of Public Announcements of SFC-authorised REITs  Circular - IPD 
May 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar  Circular Anti-Money Laundering ISD 
May 2007 Circular to All Licensed Corporations Questions and Answers on Suitability Obligations  Circular Others ISD 
Apr 2007 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular - LIC 
Mar 2007 Circular to Fund Management Companies of SFC-authorised Funds - Streamlined Measures for Processing UCITS III Schemes with Special Features Circular - IPD 
Feb 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Feb 2007 Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2006 Circular - IPD 
Jan 2007 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) US President's Executive Order 13224 (3) Non-cooperative Countries and Territories (4) Anti-Money Laundering Training Seminar Materials Circular Anti-Money Laundering IIP/ISD 
Dec 2006 The new sponsor regime Circular Others LIC -
Dec 2006 Circular to All Licensed Corporations Circular Others ISD 
Dec 2006 Implementation of new sponsor regime Circular Others LIC -
Dec 2006 Circular to Licensed Corporations Providing Online Trading Services Reminder of Adequate Information Security Measures to Combat Possible Denial-of-Service Attacks Circular Others ISD 
Nov 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Identification and Reporting of Suspicious Transactions Circular Anti-Money Laundering ISD 
Oct 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President's Executive Order 13224 (3) Combating Financing of Weapons of Mass Destruction Activities Circular Anti-Money Laundering ISD 
Oct 2006 Circular to Fund Management Companies of SFC-authorised Funds - FAQs on SFC Authorisation of Unit Trusts and Mutual Funds Circular - IPD 
Sep 2006 Circular to All Licensed Corporations - Requirements under certain amendment rules and amended Code of Conduct will come into effect on 1 October 2006 Circular FRR ISD 
Sep 2006 Circular to Licensed Corporations and Registered Institutions - Emergency Contact Person Circular - LIC -
Sep 2006 General Circular to Licensed REIT Managers - Frequently Asked Question on disclosure of distribution composition  Circular - IPD 
Sep 2006 Circular to intermediaries licensed or registered for Type 6 regulated activity - Sponsor regime Circular Others LIC -
Sep 2006 Securities and Futures (Financial Resources) (Amendment) Rules 2006 for Sponsors Circular FRR LIC -
Sep 2006 Circular to All Licensed Corporations - Be alert to individuals pretending to be SFC staff Circular Others ISD 
Aug 2006 Circular to Fund Management Companies of SFC-authorised Funds - Information relating to the Risk Management and Control Process of UCITS III Funds applying for SFC authorisation Circular - IPD 
Aug 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Circular Others ISD 
Jul 2006 Circular to All Licensed Corporations-Prepare for Implementation of the New Requirements to Address Risks Arising from Securities Margin Financing Circular FRR ISD 
Jul 2006 Invitation-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing  Circular Others ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar  Circular Anti-Money Laundering ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Quarterly Suspicious Transaction Report Analysis issued by the Joint Financial Intelligence Unit ("JFIU") Circular Anti-Money Laundering ISD 
Jul 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 (3) United Nations Sanctions (Cote d'Ivoire) Regulation 2006  Circular Anti-Money Laundering ISD 
Jun 2006 Circular to All Licensed Corporations Circular Others ISD 
Jun 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Sudan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance Circular Anti-Money Laundering ISD 
May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Frequently Asked Questions on the Guidance Note on Prevention of Money Laundering and Terrorist Financing Circular Anti-Money Laundering ISD 
May 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d'Ivoire) Regulation 2006 (2) United Nations Sanctions (Liberia) Regulation 2005 Circular Anti-Money Laundering ISD 
Apr 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guidance Note and Quarterly Suspicious Transaction Report Analysis  Circular Anti-Money Laundering ISD 
Apr 2006 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular - LIC 
Mar 2006 Circular to All Licensed Corporations - Importance of Prudent Risk Management Circular Others ISD 
Mar 2006 Circular to Fund Managers of SFC Authorized Funds and Other Relevant Parties - FAQ on Presentation of Benchmark Performance in Advertising Materials Circular - IPD -
Mar 2006 Circular to All Licensed Corporations Licensed for Dealing in Securities Continuous and Close Supervision of Firm's Operations Circular Others ISD 
Mar 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance  Circular Anti-Money Laundering ISD 
Feb 2006 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2005"  Circular - IPD -
Feb 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 Circular Anti-Money Laundering ISD 
Jan 2006 Circular to Licensed Corporations which are licensed for Type 9 regulated activity Frequently Asked Questions on Financial Return Form 12 - Aggregate net value of assets under management Circular Others ISD 
Jan 2006 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Liberia) Regulation Circular Anti-Money Laundering ISD 
Dec 2005 Circular to Fund Managers of SFC Authorised Funds, Legal Advisors, Fund Auditors and Other Relevant Parties - Investment Products Department - Streamlining of Authorisation Process Circular - IPD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan in light of the Possible Outbreak of Avian Influenza and Influenza Pandemic in Hong Kong Circular Others ISD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Circular Anti-Money Laundering ISD 
Dec 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations Sanctions (Democratic Republic of Congo) Regulation 2005 (3) United Nations (Anti-Terrorism Measures) Ordinance (4) Blocking Property of Proliferators and Supporters of Weapons of Mass Destruction Circular Anti-Money Laundering ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Further Reminder of Business Continuity Arrangement during the 6th Ministerial Conference of the World Trade Organization Circular Others ISD 
Nov 2005 Circular to All Licensed Corporations Reminder to comply with certain Code and Internal Control Guidelines requirements  Circular Others ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Circular Anti-Money Laundering ISD 
Nov 2005 Circular to Licensed Corporations and Associated Entities Business Continuity Plan during the 6th Ministerial Conference of the World Trade Organization Circular Others ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular Anti-Money Laundering ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD 
Oct 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Suspicious Transactions Reports Classification Circular Anti-Money Laundering ISD 
Sep 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular Anti-Money Laundering ISD 
Sep 2005 Circular to Licensed Corporations and Associated Entities Section 311 of the USA Patriot Act Circular Anti-Money Laundering ISD 
Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) New Regulation under United Sanctions Ordinance (Cap. 537) (2) US President's Executive Order 13224 Circular Anti-Money Laundering ISD 
Aug 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Seminar for Compliance Officers Circular Anti-Money Laundering ISD 
Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
Jul 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation") Circular Anti-Money Laundering ISD -
Jun 2005 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05 Circular - LIC -
Jun 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules Circular - LIC -
Jun 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
May 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular - LIC -
May 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the “l"Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the “l"Regulation") Circular Anti-Money Laundering ISD -
Apr 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
Apr 2005 Circular to SFC Registered Institutions - FAQs for Investors on UCITS III Circular - IPD -
Mar 2005 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants Circular - LIC -
Mar 2005 General Circular to SFC-approved Fund Management Companies - Interim Measures on the Disclosure and Submission Requirements for the authorisation of UCITS III Funds domiciled in Luxembourg, Ireland and the United Kingdom by the SFC Circular - IPD -
Mar 2005 Guidelines to Address Analyst Conflicts of Interest to Come into Effect Circular - LIC -
Mar 2005 Circular to SFC Licensed Fund Managers and Investment Advisers - FAQs for Investors on UCITS III Circular - IPD -
Feb 2005 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2004 Circular - IPD -
Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular Anti-Money Laundering ISD -
Feb 2005 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Jan 2005 Circular to all Licensed Corporations - Securities and Futures (Financial Resources) Rules - Enhanced Excel format of Proforma Financial return Circular FRR ISD -
Dec 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Dec 2004 Circular to all Licensed Corporations Implementation of prudent risk management policies and procedures Circular Others ISD -
Dec 2004 Circular to deemed licensed corporations which have not submitted migration applications - Client assets arrangement in anticipation of business cessation Circular - LIC -
Dec 2004 Circular to Licensed Corporations and Registered Institutions - Courses to Facilitate Former Practitioners to Re-enter the Industry and New Recognised Continuous Professional Training Providers Circular - LIC -
Dec 2004 Circular to Licensed Corporations which are licensed for Type 6 regulated activity - Theme Inspection of Sponsors  Circular Others ISD -
Nov 2004 Circular to Licensed Corporations which are licensed for Type 1 or 8 regulated activity SFC's Advice to Securities Firms Offering IPO Financing  Circular FRR ISD -
Nov 2004 Circular to SFC's Licensed Intermediaries Telephone Recording Requirements Circular Others ISD -
Nov 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) Non-cooperative Countries and Territories (3) United Nations (Anti-Terrorism Measures) Ordinance Circular Anti-Money Laundering ISD -
Nov 2004 Circular to Licensed Corporations and Registered Institutions - Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest Circular - IIP -
Nov 2004 General Circular to SFC-approved Fund Management Companies - Investment in SFC-authorised Real Estate Investment Trusts ('REITs') by Unit Trusts and Mutual Funds authorised under the SFC Code on Unit Trusts and Mutual Funds ('UT Code') Circular - IPD -
Oct 2004 Circular to Licensed Corporations - Facilitation of Lodgment of Annual Returns by Representatives Circular - LIC -
Oct 2004 Circular to deemed licensed corporations which have not submitted migration applications - Migration to the New Regime under the Securities and Futures Ordinance ("SFO") Circular - LIC -
Oct 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532  Circular Anti-Money Laundering ISD -
Sep 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Sep 2004 Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2003/04 Circular - LIC -
Aug 2004 Circular to Certain Deemed Licensed Corporations (Sole Proprietors) - Migration into the New Regime under the Securities and Futures Ordinance  Circular - LIC -
Aug 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Afghanistan) Regulation (3) United Nations Sanctions (Libya) (Repeal) Regulation 2004 Circular Anti-Money Laundering ISD -
Aug 2004 Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532  Circular Anti-Money Laundering ISD -
Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Afghanistan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance (3) US President's Executive Order 13224 (4) United Nations Security Council Resolution (UNSCR) 1483(2003) Circular Anti-Money Laundering ISD -
Jul 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular - ISD -
Jul 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs") Circular Anti-Money Laundering ISD -
Jun 2004 Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Circular - ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Jun 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition Compliance with the Securities and Futures (Financial Resources) Rules ("the FRR") Circular - ISD -
Jun 2004 Circular to Licensed Corporations Ways to combat fake websites Circular - ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Jun 2004 Circular to Licensed Corporations Implementation of Hong Kong Accounting Standards 39 and 32 Circular - ISD -
Jun 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance  Circular Anti-Money Laundering ISD -
Jun 2004 Circular to Licensed Corporations which are licensed for Type 1 regulated activity Watch out! Brokerage firms were defrauded again! Circular - ISD -
May 2004 Circular to Licensed Corporations - Responsible Officers (28 May 2004) Circular - LIC -
May 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Apr 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular - LIC -
Apr 2004 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules (29 April 2004) Circular - LIC -
Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance ("the Ordinance") and United Nations Sanctions (Afghanistan) Regulation ("the Regulation") Circular Anti-Money Laundering ISD -
Apr 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Mar 2004 Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular - LIC -
Mar 2004 Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules (29 March 2004) Circular - LIC -
Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 Circular Anti-Money Laundering ISD -
Mar 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories ("NCCTs") (2) United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Feb 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance  Circular Anti-Money Laundering ISD -
Feb 2004 Circular to licensed corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2003 Circular - IPD -
Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Jan 2004 Circular to Licensed Corporations - Migration to the new regime under the Securities and Futures Ordinance (27 January 2004) Circular - LIC -
Jan 2004 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; and (3) United Nations Security Council Resolution (UNSCR) 1483 Circular Anti-Money Laundering ISD -
Jan 2004 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition - Compliance with Section 56(3) of the Securities and Futures (Financial Resources) Rules to Submit Financial Return Circular - ISD -
Dec 2003 Circular to Licensed Corporations - Notification on cessation of accreditation and return of licence (23 December 2003) Circular - LIC -
Dec 2003 Circular to intermediaries conducting Type 1 or Type 8 Regulated Activity - Allocation problem of China Life IPO Circular - ISD -
Dec 2003 Circular to Intermediaries Conducting Type 1 or Type 8 Regulated Activity Allocation problem of China Life IPO Circular - ISD -
Dec 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Dec 2003 Circular to Licensed and Registered Persons - Relaxation for Former Practitioners to Re-enter the Industry Circular - LIC -
Nov 2003 Circular to Licensed corporations and associated entities - Proper segregation and safeguarding of client money Circular - ISD -
Nov 2003 Investor Survey on Investment Research Activities (25 November 2003) Circular - LIC -
Nov 2003 Securities Firm Survey on Investment Research Activities (25 November 2003) Circular - LIC -
Nov 2003 Circular to Licensed Corporations - Business continuity planning against serious communicable diseases (24 November 2003) Circular - LIC -
Nov 2003 Circular to Licensed Corporations who wish to act as Financial Intermediaries for Entrants under the Capital Investment Entrant Scheme (18 November 2003) Circular - LIC -
Nov 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) Non-cooperative Countries and Territories Circular Anti-Money Laundering ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order") Circular Anti-Money Laundering ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Oct 2003 Circular to Licensed Corporations Observe the Know Your Clients Rules to Avoid Losses Circular - ISD -
Oct 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular Anti-Money Laundering ISD -
Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Afghanistan) Regulation ("Regulation") Circular Anti-Money Laundering ISD -
Sep 2003 Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities - Compliance with the Securities and Futures (Financial Resources) Rules Circular - ISD -
Sep 2003 Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance Circular Anti-Money Laundering ISD -
Aug 2003 Circular to Licensed Corporations and Registered Institutions - Licensing Information Booklet and Handling of Licensing Related Enquiries (28 August 2003) Circular - LIC -
Aug 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
Aug 2003 Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules (11 August 2003) Circular - LIC -
Aug 2003 Circular to Fund Managers regarding the Capital Investment Entrant Scheme and Related Undertaking Circular - IPD -
Jul 2003 Circular to Licensed Corporations - Substantial Shareholders Circular - LIC -
Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing, United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
Jul 2003 Circular to Licensed Corporations - Common Anniversary Date Program Circular - LIC -
Jul 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1)US President's Executive Order 13224; (2)United Nations (Anti-Terrorism Measures) Ordinance; (3)Non-cooperative Countries and Territories; and New Members of FATF Circular Anti-Money Laundering ISD -
Jul 2003 Circular to Licensed Corporations - Officer for Signing Financial Resources Returns (other than Responsible Officer) Circular - LIC -
Jun 2003 Circular to Licensed Corporations and Registered Institutions - SFC to Move to Chater House Circular - LIC -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
May 2003 2002 Exempt Persons Activities Survey - REMINDER Circular - LIC -
May 2003 2002 Intermediaries Activities Survey - REMINDER Circular - LIC -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance - United Nations Sanctions (Afghanistan) Regulation Circular Anti-Money Laundering ISD -
May 2003 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order 13224  Circular Anti-Money Laundering ISD -
May 2003 Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules  Circular - LIC -
May 2003 Circular to Intermediaries-Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance  Circular Anti-Money Laundering ISD -
Apr 2003 2002 Exempt Persons Activities Survey - Circular to Exempt Persons under the former regime - - 2002 Exempt Persons Activities Survey & 2002 Fund Mgt Activities Survey Circular - LIC -
Apr 2003 2002 Intermediaries Activities Survey - Circular to Registered Firms under the former regime - 2002 Intermediaries Activities Survey & 2002 Fund Mgt Activities Survey Circular - LIC -
Apr 2003 Circular to Licensed Corporations-Excel template of the financial return under the Securities and Futures (Financial Resources) Rules  Circular - ISD -
Apr 2003 Circular to Licensed Corporations - Change of Accreditation by Deemed Licensed Representatives (23 April 2003) Circular - LIC -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance  Circular Anti-Money Laundering ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order Circular Anti-Money Laundering ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Afghanistan) Regulation  Circular Anti-Money Laundering ISD -
Apr 2003 Circular to Intermediaries Equity-linked Instruments are subject to suitability and fair dealing requirements Circular - ISD -
Apr 2003 Circular to Intermediaries Anti-Money Laundering / Combating Terrorist Financing - Non-cooperative Countries and Territories Circular Anti-Money Laundering ISD -
Apr 2003 Circular to Intermediaries Marketing of Hedge Funds Circular - ISD -
Apr 2003 Circular to Intermediaries licensed or registered for Dealing in Securities or Securities Margin Financing Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules Circular - ISD -
Apr 2003 Circular to Intermediaries Regarding the Marketing of Hedge Funds Circular - IPD -
Apr 2003 Circular to Licensed and Registered Firms - Contingency plan for possible staff infection of atypical pneumonia  Circular - LIC -
Apr 2003 Circular to Licensed Corporations Window Dressing of Financial Position Circular - ISD -
Apr 2003 Circular to Licensed Corporations and Associated Entities Forms specified by SFC Circular - ISD -
Mar 2003 Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules (31 March 2003) Circular - LIC -
Mar 2003 Circular to Registered Firms and Exempt Persons - Advice from the Prevention of Respiratory Tract Infections Circular - LIC -
Mar 2003 Circular to Registered Firms and Exempt Persons - Fit and Proper Guidelines , Guidelines on Competence, Guidelines on Continuous Professional Training Circular - LIC -
Mar 2003 Circular to SFC's Registered Firms and Exempt Persons - Guidelines on Transitional Arrangements, Guidelines on Waivers of Certain Licensing Fees Circular - LIC -
Mar 2003 Circular to SFC's Registered Commodity Trading Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance  Circular - LIC -
Mar 2003 Circular to SFC's Registered Investment Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance Circular - LIC -
Feb 2003 Circular to SFC's Registered Intermediaries and Exempt Persons - Comparison Table on Securities and Futures Ordinance Requirements for Licensing and Supervision of Intermediaries Circular - IIP -
Feb 2003 Circular to Registered Commodity Dealers which are participants of Hong Kong Futures Exchange Limited - Securities and Futures (Insurance) Rules Circular - LIC -
Jan 2003 Circular to Exempt Persons who are authorised financial institutions - Registration matters pertaining to the Securities and Futures Ordinance Circular - LIC -
Jan 2003 Circular to Licensed Banks who are not Exempt Persons - Registration matters pertaining to the Securities and Futures Ordinance Circular - LIC -
Jan 2003 Circular to Registered Corporations & Exempt Persons who are not authorised financial institutions - Licensing matters pertaining to the Securities and Futures Ordinance Circular - LIC -
Dec 2002 Circular to SFC's Registered Intermediaries and Exempt Persons which are not Authorized Institutions - Compliance under the Securities and Futures Ordinance (Cap. 571) Circular - LIC -
Dec 2002 Circular to SFC's Registered and Exempt Intermediaries - Securities and Futures Ordinance Circular - LIC -
Nov 2002 Circular to SFC's Registered Intermediaries - Order Recording Requirements (13 November 2002) Circular - ISD -
Nov 2002 Circular to Registered Investment Advisers on Cold Calling  Circular - LIC -
Aug 2002 Circular to SFC's Registered Intermediaries - Notification of in-house training sessions by corporate licensees  Circular - LIC -
Mar 2002 Circular to Intermediaries - Dubious Financial Instruments  Circular - LIC -
Nov 2001 General Circular to SFC Approved Fund Management Companies - Suspension of Dealings Circular - IPD

Logistics World 2008 (NANJING CHINA) - China International Logistics Technology and Services Expo 2008 

Begins November 19, 2008 
Ends November 21, 2008 
Papers 
Ab. Logistics World 2008 

Country China 
State Jiangsu Province 
City Nanjing 
Email publicity@adsale.com.hk 

Category Business: Transportation 
Category 2 Business: Management 
Category 3 Business: Manufacturing 
Exhibits Y 

Organization Adsale Exhibition Services Ltd 
Contact 6th Floor, 321 Java Road, North Point, Hong Kong 

URL http://www.2456.com/logistics 

Venue Nanjing Convention and Exhibition Centre 

Description The China International Logistics Technology & Services Expo 2008 (also known as Logistics World 2008 (Nanjing China), is authorized by the Ministry of Science and Technology, P.R. China and organized by The Economic and Trade Commission of Jiangsu Province, Jiangsu Science and Technology Department, Department of Foreign Trade and Economic Cooperation, Jiangsu Provincial Government and Suzhou Municipal Government, will be held during 19-21, Nov 2008 at Jiangsu Province, PR China.

With Jiangsu Province continuous improving business environment, modern logistics industry has become a new development focal of Jiangsu Province from year 2000. According to the China Custom figure, Jiangsu total I/E value in year 2006 is the second highest in China, amounting to US$284 billion, which is 24.6% higher than the same period of previous year. Suzhou is chosen as the manufacturing base by a good number of Fortune 500 companies. She has firmly developed her leading position in the manufacturing of electronics and I.C.T. products, precision machines, light industry, food and pharmaceuticals. The presence of well-developed international logistics environment, abundant industrial resources, together with international operation system led by the local government have provided a favorable platform for the staging of Logistics World 2008 (Nanjing China).

Adsale Exhibition Services Limited is a renowned international exhibition organizer. As an overseas co-organizer of the Expo, Adsale is able to enhance the international image for the Expo by recruiting and organizing a high portion of overseas exhibitors. The participation of vast number of overseas logistics giants and related manufacturing enterprises has consolidated the international image of the Expo. What??s more, the Expo adopted international operation mode in recruiting visitors. The buyers-meet-sellers sessions are highly appreciated by both local and overseas exhibitors and trade visitors. Currently, the Expo has already developed a huge database of both local and overseas visitors. It is expected that around 50,000 will attend the Expo.

The Expo also features a series of concurrent events, including conferences of logistic projects cooperation, procurement and other professional value-added services. Specific topics will cover investment and leveraged buyout of logistic hub projects together with logistic operation services and procurement discussion. On the other hand, concurrent logistics technology development forums will highlight several hot topics, such as the trend of global logistics and supply chain development, innovative logistics technology and application (Internet Technology, RFID, Voice-Activated Technology, Laser Technology and Barcode Technology, etc.), innovative logistics management technology and application, Jiangsu modern logistics development plan and government sustainable policies towards logistics industry, etc.

No admission fee is required for trade professionals to visit Logistics World 2008. Visitors are encouraged to pre-register at the show website www.2456.com/logistics. Pre-registered visitors can collect their visitor badges at the on-site registration counter by providing their confirmation emails and business cards.

For further information of Logistics World 2008, please feel free to contact Ms Celine To / Ms Ella Shui, tel: (852) 2516 3371 / (8621) 6427 3630 (ext. 299), fax: (852) 2516 5024 / (8621) 6427 3847, email: logistics@adsale.com.hk.

You are also welcomed to visit the show website: www.2456.com/logistics for more information. 

Additional Information Online Pre-registration:
www.2456.com/logistics 

XVIIth ISPCAN International Congress on Child Abuse and Neglect 

Begins September 7, 2008 
Ends September 10, 2008 
Papers 
Ab. 

Country China 
State 
City Hong Kong 
Email congress2008@ispcan.org 

Category Health: Child 
Category 2 Society: Families 
Category 3 Health: Mental 
Exhibits Y 

Organization 
Contact 245 W. Roosevelt Rd. Building 6, Suite 39 West Chicago, IL 60185 USA 

URL http://www.ispcan.org/congress2008 

Venue Hong Kong Convention and Exhibition Centre 

Description We are delighted to invite you to attend the XVIIth ISPCAN International Congress which will be held in Hong Kong, China from 7th to 10th September 2008. The Congress is being organized by the International Society for Prevention of Child Abuse and Neglect (ISPCAN) in collaboration with Against Child Abuse (ACA), Hong Kong.
Children around the world face different forms of maltreatment: some unique to their locations and many more that transcend cultures and nations. ISPCAN congresses provide a unique opportunity for professionals all over the world to meet, discuss their concerns, learn from each other and support each other. Apart from stopping and preventing abuse and neglect, the theme of the XVIIth ISPCAN Congress hopes to stimulate participants to move the world "Towards a caring and non-violent community" emphasizing "a child's perspective" along the way.
The scientific program of the Congress will cater for colleagues ranging from those who just recently joined the field to those looking for refinements in professional practices. The many concurrent sessions will offer participants new advances and opportunities to present innovative approaches to the subject and share well-tried evidence-based best practices. The field is moving fast with increasing international collaboration. Invited experts will be highlighting latest developments and directions, be they practice or policy related.
Hong Kong is a vibrant city where the East meets the West. Many will be curious to observe firsthand what changes have taken place since the handover of sovereignty to China some ten years ago. Others may take this chance to explore the orient. The Congress social program will ensure that visitors have opportunities to enjoy our Chinese cultural heritage while revitalizing old or building new friendships.
So make sure you mark your diaries and even better, make preparations to participate actively by submitting one or more abstracts. You are sure to have a memorable time in Hong Kong. 

Additional Information Congress Subthemes:

Psychological Abuse: Identification, Assessment and Intervention
Culturally-relevant, Evidence-based Intervention
Child Trafficking, Child Labor, Child Sexual Tourism
Domestic Violence and Child Abuse
Children?s Voices and Children?s Rights (including Legal Protection of Children)
Forms of Neglect (including Institutionalized Children).


Keynote Speakers:

Dr. Cindy Kiro (New Zealand), Commissioner for Children in New Zealand
Dr. David Finkelhor (United States), Director, Crimes against Children Research Center, Co-Director, Family Research Laboratory
Mrs. Priscilla Lui Tsang Sun Kai (China), Executive Director, Against Child Abuse (Hong Kong)
Prof. Xu Yongxigang (China), Dean and Professor, Colleague of Social and Public Administration, East China University of Sciences
Prof. Michael Freeman (UK), Professor of English Law, University College, London 

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Event 13th International Biotechnology Symposium & Exhibition (IBS-2008) 

Begins October 12, 2008 
Ends October 17, 2008 
Papers March 1, 2008 
Ab. IBS-2008 

Country China 
State Liao-ning Province 
City Dalian 
Email jjzhong@sjtu.edu.cn 

Category Science: Biotechnology 
Category 2 Science: Life_Sciences 
Category 3 Science: Engineering 
Exhibits Y 

Organization Chinese Academy of Sciences, Chinese Academy of Engineering, Ministry of Education of China, Ministr 
Contact Dalian Institute of Chemical Physics, CAS, 457 Zhongshan Road, Dalian 116023, The People's Republic of China 

URL http://www.ibs2008.org/ 

Venue Dalian World Expo Center 

Description 13th International Biotechnology Symposium & Exhibition (IBS-2008)
Biotechnology for Sustainability of Human Society
October 12-17, 2008, Dalian, China
www.ibs2008.org


Under the auspices of the International Union of Pure and Applied Chemistry (IUPAC), the IBS series is held every four years on a different continent and recognized as the premier international biotechnology event. The 13th IBS is jointly organized by various Chinese governmental organizations. Thousands of participants from academia, industry and government are expected.

Theme Areas
Section I: Systems Biology (5 sessions)
Section II: Tissue Engineering and Cell Cultivation (6 sessions)
Section III: Medical Biotechnology (7 sessions)
Section IV: Agriculture Biotechnology (7 sessions)
Section V: Industrial Biotechnology (7 sessions)
Section VI: Marine Biotechnology (6 sessions)
Section VII: Environmental Biotechnology (6 sessions)
Section VIII: Food Biotechnology (5 sessions)
Section IX: Biosafety and Bioeconomy (4 sessions)
Please check the website for session titles. A few special sessions or workshops may be organized upon suggestions.

Plenary Lecturers
Three Nobel Laureates (W. Arber, D.A. Glaser and K.B. Sharpless) are confirmed.

International Advisory Board and International Scientific Committee consist of well-known scientists from the world.

Sponsorships
Industry, publishers, professional societies, government agencies and individuals are cordially invited to be co-sponsors of this prestigious conference. Please check the website for benefits.

Young Faculty and Student Awards
Each winner will be awarded up to USD 1500 for travel expenses. A total of 20 awardees are planned. Please check the website for application procedure.

Call for Papers
Please check the website for details. The deadline for abstract submission is March 1, 2008.

Registration and Accommodation
Early registration deadline is July 31, 2008. A variety of hotels and student dormitories are available.

Conference Venue
IBS-2008 will be held at the Dalian World Expo Center. With a population of 1.5 million, Dalian is a beautiful coastal city in northeast China blessed with a mild climate all year around (15-20?aC in Oct.). It is only 1 hour and 1 hour 40 min by plane from Beijing and Shanghai, respectively. Dalian is a winner of the UNEP ??Global 500 Roll of Honor?? for its environmental protection achievements.