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Regulatory updates Circulars Consultations

13 May 2021

New speech by Ashley Alder: Keynote address at ISDA Annual General Meeting 2021

12 May 2021

Market Misconduct Tribunal sanctions China Medical & HealthCare Group Limited and its directors for late disclosure of inside information

10 May 2021

Launch of grant scheme for open-ended fund companies and real estate investment trusts

22 Apr 2021

SFC and Police joint operation against listed company and senior executives

Regulatory calendar

28 Apr 2021

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

28 Apr 2021

Circular to licensed corporations Reminder of Data Standards for Order Life Cycles

23 Mar 2021

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

19 Mar 2021

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

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.

15 Apr 2021

Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime

8 Feb 2021

SFC consults on conduct requirements for bookbuilding and placing activities

23 Dec 2020

SFC concludes consultation on customer due diligence requirements for open-ended fund companies

18 Dec 2020

SFC proposes amendments to the Code on Pooled Retirement Funds

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