Jan 15, 2024
Jan 12, 2024
Jan 10, 2024
Jan 10, 2024
Jan 10, 2024
Jan 9, 2024
Jan 9, 2024
Jan 8, 2024
Dec 29, 2023
Dec 27, 2023
Dec 27, 2023
Dec 22, 2023
Dec 22, 2023
Dec 22, 2023
Dec 21, 2023
Dec 19, 2023
Dec 19, 2023
Dec 19, 2023
Dec 19, 2023
Dec 18, 2023
Dec 15, 2023
Dec 13, 2023
Dec 13, 2023
Dec 12, 2023
Aug 8, 2023
Aug 7, 2023
June 23, 2023
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SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited
June 19, 2023
June 12, 2023
May 31, 2023
May 31, 2023
May 15, 2023
December 30, 2022
December 30, 2022
December 29, 2022
December 22, 2022
December 6, 2022
August 31, 2022
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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 - 《聯合国制裁（朝鲜民主主义人民共和国）规例》
June 22, 2022
Apr 26, 2022
Mar 31, 2022
Mar 29, 2022
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Circular to licensed corporations - Managing the risks of business email compromise
Mar 9, 2022
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SFC obtains court order to disqualify former directors of DBA Telecommunication (Asia) Holdings Limited
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证监会取得法庭命令取消DBA电讯（亚洲）控股有限公司前董事担任董事的资格
Mar 1, 2022
Feb 24, 2022
Dec 2, 2021
Dec 1, 2021
Nov 10, 2021
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Court finds trio engaged in insider dealing in TeleEye shares
Nov 9, 2021
Nov 3, 2021
Nov 1, 2021
Oct 29, 2021
Oct 26, 2021
Oct 7, 2021
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SFC issues Restriction Notice to HF Asset Management Limited
Oct 6, 2021
Sep 15, 2021
Aug 30, 2021
Aug 30, 2021
Aug 20, 2021
Aug 16, 2021
July 28, 2021
July 7, 2021
July 5, 2021
June 30, 2021
June 18, 2021
June 17, 2021
June 11, 2021
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Market Misconduct Tribunal sanctions Cheng Chak Ngok for insider dealing in China Gas shares
June 4, 2021
June 3, 2021
May 31, 2021
May 26, 2021
May 24, 2021
April 7, 2021
March 31, 2021
March 23, 2021
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SFC reprimands and fines GEO Securities Limited $6.3 million for regulatory breaches
March 23, 2021
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Circular to Licensed Corporations Updated Technical Specifications for OTC Derivatives Trade Reporting
March 22, 2021
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SFC obtains disqualification orders against former senior executives of Long Success International (Holdings) Limited
March 19, 2021
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Circular to intermediaries, responsible officers and licensed representatives Waiver of annual licensing fees
March 18, 2021
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SFC welcomes appointment and re-appointment of Non-Executive Directors
March 17, 2021
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SFC reprimands and fines Yardley Securities Limited $5 million for breaches of anti-money laundering regulatory requirements
March 15, 2021
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SFC issues restriction notices to 15 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
March 15, 2021
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SFC reprimands and fines Sino-Rich Securities & Futures Limited $7.2 million for breaches of anti-money laundering regulatory requirements
March 11, 2021
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Market Misconduct Tribunal sanctions Magic Holdings International Limited and its directors for late disclosure of inside information
March 9, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Sudan) Regulation 2013
March 5, 2021
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SFC and Police joint operation against suspected ramp-and-dump syndicate
March 5, 2021
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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, 22, 24 and 25 February 2021
March 4, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Yemen) Regulation 2019
March 2, 2021
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SFC obtains disqualification orders against former senior executives and officers of Shandong Molong Petroleum Machinery Company Limited
March 1, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Somalia) Regulation 2019
February 26, 2021
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SFC petitions for the winding up of Adamas Asset Management (HK) Limited and seeks to appoint provisional liquidators
February 25, 2021
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SFC and FRC to enhance collaboration
February 25, 2021
February 24, 2021
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SFC welcomes government budget measures
February 23, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Central African Republic) Regulation 2020
February 23, 2021
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SFC issues quarterly report
February 23, 2021
February 22, 2021
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SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures
February 22, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Early Alert on United Nations Sanctions
February 19, 2021
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Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2020
February 18, 2021
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SFC issues restriction notices to 13 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
February 18, 2021
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New speech by Ashley Alder: Climate change and finance: What’s next for global regulators?
February 16, 2021
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SFC welcomes re-appointment of Executive Director and Deputy CEO
February 16, 2021
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证监会欢迎执行董事兼副行政总裁获再度委任
February 11, 2021
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism United Nations Sanctions (Somalia) Regulation 2019 (Amendment) Regulation 2021
February 10, 2021
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SFC and Police warn investors about social media scams
February 10, 2021
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证监会及警务处提醒投资者注意社交媒体上的骗局
February 9, 2021
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SFC issues restriction notices to two brokers to freeze client accounts linked to suspected social media ramp-and-dump scam
February 9, 2021
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证监会向两家经纪行发出限制通知书以冻结与怀疑社交媒体“唱高散货”骗局有关的客户帐户
February 9, 2021
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SFC obtains disqualification orders against former senior executives of Far East Holdings International Limited
February 8, 2021
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SFC consults on conduct requirements for bookbuilding and placing activities
February 5, 2021
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MoU on Cross-boundary Wealth Management Connect
February 3, 2021
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SFC cautions investors on trading volatility
February 3, 2021
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Market Misconduct Tribunal sanctions Li Yik Shuen for insider dealing in Meadville Holdings Limited shares
February 1, 2021
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Notice inviting claims in respect of Hong Kong Wan Kiu Investment Company Limited
January 26, 2021
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SFC issues restriction notices to five brokers to freeze client accounts linked to suspected market manipulation
January 26, 2021
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证监会向五家经纪行发出限制通知书以冻结与涉嫌市场操纵活动有关的客户帐户
January 20, 2021
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Hong Kong and Thailand regulators sign MoU on Mutual Recognition of Funds
January 20, 2021
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香港证监会与泰国证交会就基金互认安排签署谅解备忘录
January 20, 2021
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Mutual Recognition of Funds (MRF) between Thailand and Hong Kong
January 18, 2021
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New speech by Ashley Alder: Special remarks at the Asian Financial Forum 2021
January 11, 2021
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Court upholds jail sentence against former GEM-listed group finance manager for insider dealing
January 11, 2021
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Company secretary jailed for insider dealing
January 11, 2021
January 4, 2021
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SFC bans Yung Lap Hong for life
January 4, 2021
December 29, 2020
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Circular to Licensed Corporations Launch of iAM Smart
December 23, 2020
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Circular to Intermediaries - Frequently Asked Questions on Compliance with Suitability Obligations and Requirements for Complex Products
December 23, 2020
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Circular to licensed corporations Deferral of margin requirements for non-centrally cleared OTC derivative transactions
December 23, 2020
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SFC issues restriction notice to a broker to freeze client accounts linked to suspected market manipulation
December 23, 2020
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富昌证券有限公司遭证监会谴责及罚款360万元
December 23, 2020
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SFC concludes consultation on customer due diligence requirements for open-ended fund companies
December 21, 2020
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SFC previews new electronic licensing services
December 18, 2020
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Circular to intermediaries Joint product survey by the SFC and the HKMA
December 18, 2020
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Circular to Intermediaries - Anti-bribery Guidance
December 18, 2020
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致中介人的通函 - 防止贿赂指引
December 18, 2020
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SFC proposes amendments to the Code on Pooled Retirement Funds
December 17, 2020
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Company secretary convicted of insider dealing
December 17, 2020
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Cross-agency steering group launches its Strategic Plan to Strengthen Hong Kong’s Financial Ecosystem to Support a Greener and More Sustainable Future
December 16, 2020
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SFC licenses first virtual asset trading platform
December 16, 2020
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证监会向首个虚拟资产交易平台发牌
December 14, 2020
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Circular to all licensed corporations - Reminder of implementation of regulatory standards for leveraged foreign exchange trading activities
December 14, 2020
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致所有持牌法团的通函 - 有关杠杆式外汇交易活动的监管标准即将落实的提示
December 14, 2020
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Market Misconduct Tribunal finds Li Yik Shuen culpable of insider dealing in Meadville Holdings Limited shares
December 14, 2020
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市场失当行为审裁处裁定李奕璇就美维控股有限公司股份进行内幕交易罪成
December 11, 2020
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SFC proposes to upgrade the industry’s competency standards
December 10, 2020
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SFC provides additional guidance on external electronic data storage
December 10, 2020
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Market Misconduct Tribunal finds insider dealing in China Gas shares
December 09, 2020
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Process Review Panel Report 2019-20
December 08, 2020
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Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism Webinar Materials
December 08, 2020
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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 网络研讨会资料
December 08, 2020
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Circular to Licensed Corporations OTC Derivatives Trade Reporting - Reporting Proprietary Rates Under Floating Rate Index Related Data Fields
December 08, 2020
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致持牌法团的通函 场外衍生工具交易汇报 -「专有利率」于浮动利率指数相关的资料栏位的汇报
December 07, 2020
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SFC issues quarterly report
December 07, 2020
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证监会发表季度报告
December 04, 2020
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Circular in relation to the clearing and record keeping rules for the OTC derivatives regime – changes to the list of persons designated as financial services providers
December 04, 2020
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关于为场外衍生工具制度而设的结算及备存纪录规则的通函—对被指定为金融服务提供者的人士的名单的修改
December 04, 2020
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Circular on changes to the Code on Real Estate Investment Trusts
December 04, 2020
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有关修改《房地产投资信托基金守则》的通函 (只备有英文版)
December 04, 2020
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Circular to management companies of SFC-authorised real estate investment trusts - Streamlined approach for vetting and approval of announcements and circulars
December 04, 2020
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致证监会认可的房地产投资信托基金的管理公司的通函 - 简化公告及通函的审批程序 (只备有英文版)
December 04, 2020
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SFC consults on investor identification
December 04, 2020
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证监会就投资者识别制度展开谘询
December 04, 2020
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《房地产投资信托基金守则》的修订生效
Useful Links
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Mandatory Provident Fund Schemes Authority
Hang Seng Indexes Company Limited
Investor Education Centre