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Guidelines
Guidelines Latest version Previous versions
Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes Apr 2013 One version
Client Identity Rule Policy Apr 2003 One version
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the 鶹ý Apr 2003 One version
Debt Collection Guidelines for Licensed Corporations Apr 2003 One version
Fit and Proper Guidelines 1 Jan 2022 Four versions
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet Apr 2013 Two versions
Guidance Note on Cooperation with the SFC 1 Jun 2023 Two versions
Guidance note on directors’ duties in the context of valuations in corporate transactions 15 May 2017 -
Statement on the liability of valuers for disclosure of false or misleading information 15 May 2017 -
Guidance Note on Position Limits and Large Open Position Reporting Requirements 22 Dec 2023 Two versions
Guidance Note on Short Position Reporting 18 Jun 2012 -
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements 6 Jun 2023 One version
Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations and SFC-licensed Virtual Asset Service Providers) 1 Jun 2023 Seven versions
Guidelines for Electronic Public Offerings Apr 2003 One version
Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading 27 Oct 2017 -
Guidelines for the Approval of Corporations as Approved Lending Agents 1 Apr 2003 -
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the 鶹ý and Futures Ordinance (Disclosure of Interests) 5 Sep 2014 Two versions
Guidelines for the Regulation of Automated Trading Services 1 Sep 2016 One version
Guidelines for 鶹ý Margin Financing Activities 4 Apr 2019 -
Guidelines for Virtual Asset Trading Platform Operators 1 Jun 2023 -
Guidelines on Competence 1 Jan 2022 Two versions
- Appendix C Jun 2011 -
Guidelines on Continuous Professional Training 1 Jan 2022 Two versions
Guidelines on Disclosure of Fees and Charges Relating to 鶹ý Services 1 Jan 2005 -
Guidelines on Disclosure of Inside Information Jun 2012 -
Guidelines on Exempt Fund Manager ("EFM") Status Under the Code on Takeovers and Mergers (the "Code") 10 Apr 2001(Revised on 30 Sep 2010) -
Guidelines on Exempt Principal Trader (EPT) Status Under the Code on Takeovers and Mergers (the Code) 10 Apr 2001(Revised on 30 Sep 2010) -
Guidelines on Marketing Materials for Listed Structured Products Sep 2006 -
Guidelines on Online Distribution and Advisory Platforms Effective date: 6 Jul 2019 (3-month extension from original effective date i.e. 6 April 2019) -
Guidelines on Waivers of Certain Licensing Fees Mar 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) 21 Feb 2003 -
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 5 Jul 2013 Two versions
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 5 Jul 2013 Two versions
Guidelines on the application of the CPMI-IOSCO Principles for Financial Market Infrastructures 27 May 2016 One version
Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance Mar 2003 One version
Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) 21 Feb 2003 -
Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers (Takeovers Code) 12 Jan 2017 One version
Guidelines to capital market intermediaries involved in placing activities for GEM stocks 5 Aug 2022 One version
Licensing Handbook 1 Jan 2022 Three versions
Licensing Handbook for Virtual Asset Trading Platform Operators 1 Jun 2023 -
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the 鶹ý 1 Apr 2003 One version
Outline of Part XV of the 鶹ý and Futures Ordinance (Cap.571) - Disclosure of Interests 24 May 2024 Four versions
Prevention of Money Laundering and Terrorist Financing Guideline issued by the 鶹ý for Associated Entities of Licensed Corporations and SFC-licensed Virtual Asset Service Providers 1 Jun 2023 Four versions
Project on the Use of Plain Language - How to Create a Clear Prospectus [English version only] Jan 1998 -
Project on the Use of Plain Language — How to Create Clear Announcements Jul 1997 -
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts 25 Aug 2023 -
SFC Disciplinary Fining Guidelines (for regulated persons under Part 5B of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance) 1 Jun 2023 -
SFC Disciplinary Fining Guidelines (for regulated persons under the 鶹ý and Futures Ordinance) 10 Aug 2018 Two versions
Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the 鶹ý and Futures (Client 鶹ý) Rules and the 鶹ý and Futures (Client Money) Rules Apr 2003 -
Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes
Client Identity Rule Policy
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the 鶹ý
Debt Collection Guidelines for Licensed Corporations
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet
Guidance Note on Cooperation with the SFC
Guidance Note on Position Limits and Large Open Position Reporting Requirements
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements
Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations and SFC-licensed Virtual Asset Service Providers)
Guidelines for Electronic Public Offerings
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the 鶹ý and Futures Ordinance (Disclosure of Interests)
Guidelines for the Regulation of Automated Trading Services
Guidelines on Competence
Guidelines on Continuous Professional Training
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 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 the application of the CPMI-IOSCO Principles for Financial Market Infrastructures
Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance
Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers (Takeovers Code)
Guidelines to capital market intermediaries involved in placing activities for GEM stocks
Note: These Guidelines were formerly known as the “Guideline to sponsors, underwriters and placing agents involved in the listing and placing of GEM stocks”.
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the 鶹ý
Outline of Part XV of the 鶹ý and Futures Ordinance (Cap.571) - Disclosure of Interests
Prevention of Money Laundering and Terrorist Financing Guideline issued by the 鶹ý for Associated Entities of Licensed Corporations and SFC-licensed Virtual Asset Service Providers
SFC Disciplinary Fining Guidelines (for regulated persons under the 鶹ý and Futures Ordinance)
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