Codes and Guidelines: Contents

Codes and Guidelines
Codes
Guidelines
Codes by topic
Guidelines by topic
Previous versions

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Codes and Guidelines
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Contents:
Codes
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Code of Conduct for Persons Providing Credit Rating Services
The Code of Conduct for Share Registrars
Code on Immigration-Linked Investment Schemes
Code on Investment-Linked Assurance Schemes
Code on Pooled Retirement Funds
Code on Real Estate Investment Trusts
The Codes on Takeovers and Mergers and Share Buy-backs
Code on Unit Trusts and Mutual Funds
Corporate Finance Adviser Code of Conduct
Fund Manager Code of Conduct
SFC Code on MPF Products
SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products
Guidelines
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 Securities and Futures Commission
Debt Collection Guidelines for Licensed Corporations
Fit and Proper Guidelines
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 Position Reporting
The Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements
Guideline on Anti-Money Laundering and Counter-Terrorist Financing
Guidelines for the Approval of Corporations as Approved Lending Agents
Guidelines for Electronic Public Offerings
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Guidelines for the Regulation of Automated Trading Services
Guidelines on the application of the CPSS-IOSCO Principles for Financial Market Infrastructures
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 Competence
Guidelines on Continuous Professional Training
Guidelines on Disclosure of Fees and Charges Relating to Securities Services (The "Guidelines")
Guidelines on Disclosure of Inside Information
Guidelines on Exempt Fund Manager ("EFM") Status Under the Code on Takeovers and Mergers (the "Code")
Guidelines on Exempt Principal Trader ("EPT") Status Under the Code on Takeovers and Mergers (the "Code")
Guidelines on Marketing Materials for Listed Structured Products
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
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)
Guidelines on Waivers of Certain Licensing Fees
Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers (Takeovers Code)
Licensing Information Booklet
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission
Outline of Part XV of the Securities and Futures Ordinance (CAP. 571) ("SFO") — Disclosure of Interests
Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities
Project on the Use of Plain Language — How to Create a Clear Prospectus
Project on the Use of Plain Language — How to Create Clear Announcements
SFC Disciplinary Fining Guidelines
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
Codes by topic
Intermediaries supervision
Market infrastructure & trading
Listings & takeovers
Takeovers (only)
Publicly offered investment products
Guidelines by topic
Licensing
Intermediaries supervision
Market infrastructure & trading
Listings & takeovers
Takeovers (only)
Disclosure of Interests
Publicly offered investment products
Unlisted shares, debentures
Enforcement
Previous versions
Client Identity Rule Policy
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Code on Immigration-Linked Investment Schemes
Code on Investment-Linked Assurance Schemes
SFC Code on MPF Products
Code on Pooled Retirement Funds
The Codes on Takeovers and Mergers and Share Repurchases
Code on Unit Trusts and Mutual Funds
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Registered Persons
Corporate Finance Adviser Code of Conduct
Debt Collection Practice
SFC Disciplinary Fining Guidelines
Fit and Proper Guidelines
Fund Manager Code of Conduct
Guidance Note on Competence
Guidance Note on Continuous Professional Training
CIS Internet Guidance Note [Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet]
Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering
Securities (Disclosure of Interests) Ordinance (CAP.396)
Guidelines on Use of Offer Awareness and Summary Disclosure Materials in Offerings of Shares and Debentures Under the Companies Ordinance
Licensing Information Booklet
Management, Supervision and Internal Control Guidelines for Persons Registered with or Licensed by the Securities and Futures Commission
Prevention of Money Laundering and Terrorist Financing Guidance Note
Guidance Note on Internet Regulation

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