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Regulatory updates Circulars Consultations

20 Jun 2024

SFC secures conviction for provision of paid investment advice on Telegram chat group without licence

20 Jun 2024

SFC suspends Shum Wai Nap for seven months for failures in managing a private fund

19 Jun 2024

Three sophisticated ramp-and-dump cases transferred to District Court

19 Jun 2024

SFC’s 35th year and beyond: guiding Hong Kong’s capital markets with mission and vision

Regulatory calendar

18 Jun 2024

Circular to intermediaries Severe weather trading

18 Jun 2024

Circular to Management Companies of SFC-authorised Investment Products Listed on The Stock Exchange of Hong Kong Limited concerning Severe Weather Trading of Hong Kong Securities and Derivatives Markets

24 May 2024

Circular to Management Companies of SFC-authorised Real Estate Investment Trusts (REIT) - Treasury units of SFC-authorised REITs

16 May 2024

Circular on streamlined requirements for eligible exchange-traded funds adopting a master-feeder structure

Please note that anti-money laundering and counter-financing of terrorism (AML/CFT) sanctions related circulars are only available on the complete list of AML/CFT circulars which can be found here.

17 May 2024

SFC welcomes industry-led public consultation on voluntary code of conduct for ESG ratings and data products providers

19 Apr 2024

HKMA and SFC consult on annual updates to Financial Services Providers list under OTC derivatives regulatory regime

28 Mar 2024

SFC consults on proposals to enhance REIT regime and SFO market conduct regime for listed CIS

22 Mar 2024

SFC and HKMA further consult on enhancements to Hong Kong’s OTC derivatives reporting regime