Arrangements relating to SFC’s public services

有关证监会公共服务的安排

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (AML/CFT) Findings from inspections of AML/CFT controls and compliance practices

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 就打击洗钱／恐怖分子资金筹集的管控措施及合规作业方式进行视察的结果

SFC commences legal proceedings against New Ray Medicine International Holding Limited and its former top executives

证监会对新锐医药国际控股有限公司及其前高级行政人员展开法律程序

SFC concludes consultation on changes to the REIT Code

证监会发表有关修改《房地产投资信托基金守则》的谘询总结

SFC bans Pang Hon Pan for 21 months

证监会禁止彭汉彬重投业界21个月

SFC bans Chan Shun King for 24 months

证监会禁止陈舜琼重投业界24个月

SFC supports Chief Executive’s initiatives

证监会支持行政长官的施政措施

SFC and ISA sign Fintech cooperation agreement

证监会与以色列证券局签订金融科技合作协议

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) United Nations Sanctions (Central African Republic) Regulation 2020 (Amendment) Regulation 2020 (2) United Nations Sanctions (Mali) Regulation 2019 (Amendment) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1) 《2020年〈2020年联合国制裁（中非共和国）规例〉（修订）规例》 (2) 《2020年〈2019年联合国制裁（马里）规例〉（修订）规例》

SFC statement on US sanctions

证监会就美国制裁发表声明

Zeng Lingxi pleads not guilty to charges of obstructing the SFC’s search operation

曾泠樨否认妨碍证监会搜查行动的控罪

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action (2) FATF Statement on Jurisdictions under Increased Monitoring (3) Outcomes from the FATF Plenary, 21-23 October 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明 (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 (3) 财务行动特别组织2020年10月21至23日全体会议所取得的成果

SFC reprimands and fines Credit Suisse Securities (Hong Kong) Limited $2.1 million over breaches of electronic trading requirements

瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元

瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元

瑞士信贷证券（香港）有限公司因违反电子交易规定遭证监会谴责及罚款210万元

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Anti-Money Laundering and Counter-Financing of Terrorism Webinar

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 打击洗钱及恐怖分子资金筹集网络研讨会

New speech by Ashley Alder: Keynote address at Hong Kong FinTech Week 2020

欧达礼的新演讲辞：香港金融科技周2020主题演说

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 《2019年联合国制裁（刚果民主共和国）规例》

Circular to Licensed Corporations Updated Technical Specifications for OTC Derivatives Trade Reporting

致持牌法团的通函 关于场外衍生工具交易汇报的技术规格的更新

Circular to intermediaries – Workshops to introduce changes to the SFC online portal

致中介人的通函 - 有关简介证监会电子服务网站的改动的工作坊

All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155) : Re: Ngai Lai Ha (“Ms Ngai”)

All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155) : Re: Ngai Lai Ha (“Ms Ngai”)

《证券及期货条例》（第571章）所指的所有持牌法团、持牌代表及注册机构，或《银行业条例》（第155章）第20(10)条所指的有关人士 : 关于：魏丽霞（“魏女士”）

SFC publicly censures Ngai Lai Ha and imposes a cold-shoulder order for breach of the Takeovers Code

证监会公开谴责魏丽霞违反《收购守则》并对其施加冷淡对待令

New speech by Ashley Alder: Opening remarks at SFC Compliance Forum 2020

欧达礼的新演讲辞：2020证监会合规论坛开幕辞

SFC consults on climate-related risks in funds

证监会就应对基金所涉及的气候相关风险展开谘询

SFC suspends Sandra Cheung Wing Yi for 12 months

证监会暂时吊销张咏仪的牌照12个月

SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings

高盛（亚洲）有限责任公司在1Malaysia Development Berhad债券发售犯有严重监管缺失遭证监会谴责及罚款3.5亿美元

Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information

民银资本控股有限公司及其前董事因未有及时披露内幕消息而遭市场失当行为审裁处施加制裁

All licensed corporations, licensed representatives and registered institutions within the meaning of the Securities and Futures Ordinance (Cap. 571) or relevant individuals within the meaning of section 20(10) of the Banking Ordinance (Cap. 155)

《证券及期货条例》（第571章）所指的所有持牌法团、持牌代表及注册机构，或《银行业条例》（第155章）第20(10) 条所指的有关人士

SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code

证监会公开谴责苏煜均违反《收购守则》并对其施加冷淡对待令

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (ISIL and Al-Qaida) Regulation

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 (1)《联合国（反恐怖主义措施）条例》 (2)《联合国制裁（伊黎伊斯兰国及基地组织）规例》

SFC welcomes re-appointment of Non-Executive Directors

证监会欢迎非执行董事获再度委任

Redesigned SFC website

证监会重新设计网站

SFAT affirms SFC decision to ban Lai Voon Wai for five years for IPO sponsor failures

上诉审裁处确认证监会因赖文伟干犯首次公开招股保荐人缺失而禁止他重投业界五年的决定

Circular to intermediaries - Provision of trade documents to clients by access through intermediaries’ websites

致中介人的通函 - 以让客户透过中介人网站取览的方式向客户提供交易文件

Circular on the electronic dissemination of investment product documents

有关以电子形式发放投资产品文件的通函

SFC reprimands and fines China Everbright Securities (HK) Limited $2.5 million

September 28, 2020

中国光大证券（香港）有限公司遭证监会谴责及罚款250万元

SFC signs new MoU with the Insurance Authority

证监会与保险业监管局签订新的谅解备忘录

SFC warns of investment scams on social media

证监会提醒公众注意社交媒体上的投资骗局

Circular to licensed corporations : Review of internet trading cybersecurity

致持牌法团的通函 : 互联网交易网络保安检视

SFC suspends Mung Wai Sun for nine months

证监会暂时吊销蒙炜燊的牌照九个月

SFC launches consultation on anti-money laundering guidelines

证监会就打击洗钱指引展开谘询

SFC reprimands and fines The Bank of East Asia, Limited $4.2 million for regulatory breaches

东亚银行有限公司因违反监管规定遭证监会谴责及罚款420万元

SFC bans Fabian Shin Yick for 20 months over IPO sponsor failures

冼易因首次公开招股保荐人缺失而被证监会禁止重投业界20个月

SFC commences disciplinary proceedings against Ngai Lai Ha for alleged breach of Takeovers Code

证监会对魏丽霞就涉嫌违反《收购守则》展开纪律研讯

Retail investor convicted of false trading

散户投资者虚假交易罪成

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations (Anti-Terrorism Measures) Ordinance, (2) United Nations Sanctions (ISIL and Al-Qaida) Regulation, (3) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019 (Amendment) Regulation 2020 & (4) United Nations Sanctions (South Sudan) Regulation 2019 (Amendment) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 《联合国（反恐怖主义措施）条例》, (2) 《联合国制裁（伊黎伊斯兰国及基地组织）规例》, (3) 《2020年〈2019年联合国制裁（刚果民主共和国）规例〉（修订）规例》& (4) 《2020年〈2019年联合国制裁（南苏丹）规例〉（修订）规例》

Circular on implementation of changes to the open-ended fund companies regime

有关实施修改开放式基金型公司制度的通函 (只备有英文版)

SFC statement on Police investigation concerning Next Digital shares

证监会就警方调查壹传媒股份的声明

Changes to the open-ended fund companies regime take effect

开放式基金型公司制度的修订生效

Circular to All Intermediaries - Frequently Asked Questions on Corporate Professional Investor Assessment

致所有中介人的通函 - 有关法团专业投资者评估的《常见问题》

SFC commences proceedings against Tianhe Chemicals Group Limited and its executive director for defective prospectus and to seek compensation orders for investors

证监会因天合化工集团有限公司招股章程内容欠妥对该公司及其执行董事展开研讯程序并寻求法庭向投资者作出赔偿命令

Former licensee convicted of providing false or misleading information to SFC

前持牌人向证监会提供虚假或具误导性资料罪成

SFC issues restriction notice to freeze broker’s client accounts linked to suspected market manipulation

证监会向经纪行发出限制通知书以冻结与涉嫌操控市场的活动有关的客户帐户

SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements

证监会发表有关修改开放式基金型公司制度的谘询总结并就客户尽职审查规定展开进一步谘询

SFC obtains arrest warrants for alleged manipulators of shares of Ching Lee Holdings Limited

证监会就正利控股有限公司股份的涉嫌操纵者取得逮捕手令

SFC bans Masy Lo Mee Chi for eight months

证监会禁止罗美子重投业界八个月

Hong Kong-Mainland ETF cross-listing approved

香港与内地ETF互挂获批

SFC bans TS’O Jing for life

证监会终身禁止曹正重投业界

Hong Kong’s asset and wealth management business reports strong growth in 2019

2019年香港资产及财富管理业务录得强劲增长

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2019年联合国制裁（刚果民主共和国）规例》

SFC commences criminal prosecution against Zeng Lingxi for obstruction of search operation

证监会就曾泠樨妨碍搜查行动而对其展开刑事检控

SFC issues quarterly report

证监会发表季度报告

SFC issues restriction notices to two brokerages to freeze accounts of client involved in suspected corporate misconduct

证监会向两家经纪行发出限制通知书以冻结涉及怀疑曾从事企业失当行为的客户的帐户

SFC commences criminal prosecution on market manipulation of shares of Ching Lee Holdings Limited

证监会就正利控股有限公司股份的市场操纵活动展开刑事检控

SFC bans Chan Yiu Ting for 18 months

证监会禁止陈耀庭重投业界18个月

Statement on Next Digital Limited

有关壹传媒有限公司的声明

SFC issues restriction notices to two brokers to freeze client accounts linked to suspected market manipulation

证监会向两间经纪行发出限制通知书以冻结与涉嫌市场操控活动有关的客户帐户

SFC statement on sanctions imposed by the US government

证监会就美国政府施加的制裁发表声明

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Central African Republic) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2020年联合国制裁（中非共和国）规例》

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Central African Republic) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2020年联合国制裁（中非共和国）规例》

Court convicts and fines Brilliance Capital Management Limited and its director for unlicensed activities

法院裁定百年资本有限公司及其董事进行无牌活动罪成并处以罚款

Policy Statement by the Securities and Futures Commission

证券及期货事务监察委员会的政策声明

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action, (2) FATF Statement on Jurisdictions under Increased Monitoring & (3) Outcomes from the FATF Virtual Plenary, 24 June 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明, (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 & (3) 财务行动特别组织2020年6月24日虚拟全体会议所取得的成果

Court convicts and fines former officer of Wonderful Wealth Group Limited for unlicensed activities

法庭裁定兆容创富有限公司前高级人员进行无牌活动罪成并处以罚款

Court of Final Appeal dismisses leave application of Andrew Left

终审法院驳回Andrew Left的上诉许可申请

Circular to Licensed Corporations : Updated Technical Specifications for OTC Derivatives Trade Reporting

致持牌法团的通函 : 关于场外衍生工具交易汇报的技术规格的更新

SFC bans Lai Wing Fat for 20 months

证监会禁止黎永发重投业界20个月

SFC welcomes appointment of Non-Executive Directors

证监会欢迎非执行董事的任命

SFC publishes review of SEHK’s performance in regulating listing matters

证监会发表有关联交所规管上市事宜表现的检讨报告

SFC commences false trading prosecution against retail investor

证监会对散户投资者展开虚假交易检控

SFC office relocation

证监会办事处迁往新址

Circular to licensed corporations : Revised financial return form

致持牌法团的通函 : 经修订的财务申报表

Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions

对场外衍生工具交易结算责任所涉及的金融服务提供者名单进行年度更新

SFC publishes Annual Report 2019-20

证监会发表《2019-20年报》

SFC bans former responsible officer of Guosen Securities (HK) Brokerage Company, Limited for 12 months

证监会禁止国信证券（香港）经纪有限公司前负责人员重投业界12个月

SFC reprimands and fines Guotai Junan Securities (Hong Kong) Limited $25.2 million for breaches relating to anti-money laundering and other regulatory requirements

国泰君安证券（香港）有限公司因违反有关打击洗钱及其他监管规定而遭证监会谴责及罚款2,520万元

SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code

证监会公开批评CICC Financial Trading Limited及中国国际金融股份有限公司违反《收购守则》

SFC publicly censures Fu Kwan for breach of the Takeovers Code

证监会公开谴责傅军违反《收购守则》

OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements

证监会就场外衍生工具发牌制度的规管范围及胜任能力规定发表谘询总结

SFC CEO reappointed Chair of IOSCO Board

证监会行政总裁再度获委任为国际证监会组织理事会主席

SFC proposes changes to the Code on Real Estate Investment Trusts

证监会建议修改《房地产投资信讬基金守则》

SFC reprimands and fines Potomac Capital Limited $800,000 for breaching Financial Resources Rules

波多马克投资有限公司因违反《财政资源规则》遭证监会谴责及罚款800,000元

Court convicts and fines former director and shareholder of Wonderful Wealth Group Limited for unlicensed activities

法庭裁定兆容创富有限公司前董事及股东进行无牌活动罪成并处以罚款

SFC bans Kwok Chau Mo for nine months

证监会禁止郭周武重投业界九个月

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

Supplemental Circular on Leveraged and Inverse Products

有关杠杆及反向产品的补充通函 (只备有英文版)

SFC seeks court order to wind up Combest Holdings Limited

证监会寻求法庭颁令将康佰控股有限公司清盘

SFC reprimands and fines Convoy Asset Management Limited $6.4 million for regulatory breaches over bond recommendation

康宏资产管理有限公司因在推荐债券时违反监管规定遭证监会谴责及罚款640万元

SFC welcomes re-appointment of Chief Executive Officer

证监会欢迎行政总裁获再度委任

SFC reprimands and fines Southwest Securities (HK) Brokerage Limited $5 million for breaches of anti-money laundering regulatory requirements

西证（香港）证券经纪有限公司因违反有关打击洗钱的监管规定遭证监会谴责及罚款500万元

Concurrent SFC-HKMA thematic review of spread charges and other practices

证监会与金管局就利润幅度及其他作业手法进行共同主题检视

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations Sanctions (Central African Republic) Regulation 2020, 
(2) United Nations Sanctions (Libya) Regulation 2019 (Amendment) Regulation 2020 & (3) United Nations Sanctions (Yemen) Regulation 2019 (Amendment) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 《2020年联合国制裁（中非共和国）规例》, (2) 《2020年〈2019年联合国制裁（利比亚）规例〉（修订）规例》& (3) 《2020年〈2019年联合国制裁（也门）规例〉（修订）规例》

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Democratic People’s Republic of Korea) Regulation

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《联合国制裁（朝鲜民主主义人民共和国）规例》

SFC obtains disqualification orders against former directors of EganaGoldpfeil (Holdings) Ltd

证监会取得针对联洲国际集团有限公司前董事的取消资格令

Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited : Licence Holders Insurance Scheme for Exchange Participants

致本身为香港联合交易所有限公司或香港期货交易所有限公司参与者的持牌法团的通函 : 交易所参与者的持牌人保险计划

Circular to licensed corporations : Margin requirements for non-centrally cleared OTC derivative transactions

致持牌法团的通函 : 适用于非中央结算场外衍生工具交易的保证金规定

SFC reprimands and fines Mega International Commercial Bank Co., Ltd. $7 million for regulatory breaches over CIS sale

兆丰国际商业银行股份有限公司就销售集体投资计划违反监管规定遭证监会谴责及罚款700万元

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

SFC obtains court order against Shandong Molong Petroleum Machinery Company Limited

证监会取得针对山东墨龙石油机械股份有限公司的法庭命令

Circular to licensed corporations : Management of cybersecurity risks associated with remote office arrangements

致持牌法团的通函 : 与遥距工作安排相关的网络保安风险管理

Circular to Licensed Corporations : Updated Technical Specifications for OTC Derivatives Reporting

致持牌法团的通函 : 关于场外衍生工具汇报的技术规格的更新

Unlicensed fund manager sentenced to community service

无牌基金经理被判处社会服务令

SFC signs MoU with Competition Commission

证监会与竞争事务委员会签订谅解备忘录

SFC obtains disqualification orders against former directors of Long Success International (Holdings) Limited

证监会取得针对百龄国际（控股）有限公司前董事的取消资格令

Mutual Recognition of Funds (MRF) between Switzerland and Hong Kong

有关瑞士与香港基金互认的通函 (只备有英文版)

SFC cautions on crude oil futures and ETFs

证监会就买卖原油期货及ETF作出劝诫

Circular to commodity futures brokers : Managing financial and operational risks under extreme market conditions

致商品期货经纪行的通函 : 管理在极端市况下的财务及营运风险

Circular to management companies of SFC-authorized exchange traded funds and to intermediaries - Futures-based ETFs

致证监会认可交易所买卖基金的管理公司及中介人的通函 - 期货交易所买卖基金 (只备有英文版)

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

SFC regulatory response to COVID-19

证监会在新冠疫情下的监管对策

SFC reprimands and fines BOCOM International Securities $19.6 million for internal control failures

交银国际证券因内部监控缺失遭证监会谴责及罚款1,960万元

Circular to issuers of SFC-authorized paper gold schemes

致证监会认可纸黄金计划的发行人的通函 (只备有英文版)

Circular to management companies and market makers of SFC-authorized exchange-traded funds – ETF market making

致证监会认可交易所买卖基金的管理公司及庄家的通函 - 交易所买卖基金的庄家活动 (只备有英文版)

Mutual Recognition of Funds (MRF) between the Netherlands and Hong Kong

有关荷兰与香港基金互认的通函 (只备有英文版)

Circular to Licensed Corporations - Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations

致持牌法团的通函 - 持牌法团进行的杠杆式外汇交易活动报告

SFC scrutinises leveraged foreign exchange trading

证监会审视杠杆式外汇交易

Joint consultation conclusions on the model for an uncertificated securities market

有关无纸证券市场模式的联合谘询总结

SFC reprimands and fines HSBC Investment Funds (Hong Kong) Limited and HSBC Global Asset Management (Hong Kong) Limited HK$3.5 million for regulatory breaches over funds’ cash management

汇丰投资基金（香港）有限公司及汇丰环球投资管理（香港）有限公司因违反与基金现金管理有关的监管规定遭证监会谴责及罚款350万港元

SFC issues restriction notice to Agg. Asset Management Limited

证监会向海纳资产管理有限公司发出限制通知书

Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation

有关在《预防及控制疾病（禁止羣组聚集）规例》实施下召开股东大会的联合声明

Appointments to SFC committees

证监会委任各委员会成员

SFC sanctions China Rise Securities Asset Management Company Limited’s former responsible officers

证监会对华晋证券资产管理有限公司前负责人员施加制裁

Circular to intermediaries : Extended deadlines for implementation of regulatory expectations and reminder of order recording requirements under COVID-19 pandemic

致中介机构的通函 : 有关在新冠疫情下顺延监管要求的实施期限及提醒业界注意记录交易指示规定

Circular to intermediaries, responsible officers and licensed representatives : Waiver of annual licensing fees

致中介人、负责人员及持牌代表的通函 : 宽免牌照年费

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

Market Misconduct Tribunal finds Magic Holdings International Limited and its directors culpable of late disclosure of inside information

市场失当行为审裁处裁定美即控股国际有限公司及其董事未有及时披露内幕消息

SFC bans Mo Shau Wah for life

证监会终身禁止巫秀华重投业界

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : United Nations Sanctions (Somalia) Regulation 2019 (Amendment) Regulation 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 《2020年〈2019年联合国制裁（索马里）规例（修订）规例》

SFC bans Chan Tan Lo for 14 months

证监会禁止陈丹璐重投业界14个月

New SFC-SEHK announcement

证监会及联交所的最新联合声明

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action, 
(2) FATF Statement on Jurisdictions under Increased Monitoring & (3) Outcomes from the Meeting of the FATF Plenary, 19-21 February 2020

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 财务行动特别组织有关呼吁各方对高风险司法管辖区采取行动的声明, (2) 财务行动特别组织有关被加强监察的司法管辖区的声明 &
(3) 财务行动特别组织2020年2月19至21日全体会议所取得的成果

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations (Anti-Terrorism Measures) Ordinance & (2) United Nations Sanctions (ISIL and Al-Qaida) Regulation

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1)《联合国（反恐怖主义措施）条例》& (2)《联合国制裁（伊黎伊斯兰国及基地组织）规例》

Mutual Recognition of Funds (MRF) between Luxembourg and Hong Kong

有关卢森堡与香港基金互认的通函 (只备有英文版)

Circular to Licensed Corporations in relation to list of prescribed persons who have reached the clearing threshold under the clearing and record keeping rules for the OTC derivatives regime

致持牌法团的通函 : 关于已达到为场外衍生工具制度而设的结算及备存纪录规则下的结算门槛 的订明人士名单

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : (1) United Nations Sanctions (Libya) Regulation 2019 & (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2019

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : (1) 《2019年联合国制裁（利比亚）规例》& (2) 《2019年联合国制裁（刚果民主共和国）规例》

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集就联合国制裁提早发出通知

SFC issues quarterly report

证监会发表季度报告

Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism : Early Alert on United Nations Sanctions

致持牌法团及有联系实体的通函 - 打击洗钱／恐怖分子资金筹集 : 就联合国制裁提早发出通知

Court dismisses challenge to SFC’s investigative powers

法庭驳回就证监会的调查权力提出的反对

SFC reprimands and fines Capital Global Management Limited $1.5 million

瑞兴全球财富管理有限公司遭证监会谴责及罚款150万元

SFC reprimands and fines BMI Securities Limited $3.7 million and suspends its responsible officer for breaches of anti-money laundering regulatory requirements

证监会因邦盟汇骏证券有限公司违反打击洗钱的监管规定而对其作出谴责和罚款370万元并暂时吊销其负责人员的牌照

New speech by Tim Lui at The Hong Kong Institute of Chartered Secretaries Annual Dinner 2020

雷添良在香港特许秘书公会周年晚宴2020上发表的新演讲辞

SFC bans Christopher Tse for 12 months