22 Oct 2020
SFC reprimands and fines Goldman Sachs (Asia) L.L.C. US$350 million for serious regulatory failures over 1Malaysia Development Berhad’s bond offerings
16 Oct 2020
Market Misconduct Tribunal sanctions CMBC Capital Holdings Limited and its former directors for late disclosure of inside information
15 Oct 2020
SFC publicly censures So Yuk Kwan and imposes a cold-shoulder order for breach of the Takeovers Code
6 Oct 2020
SFC welcomes re-appointment of Non-Executive Directors
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)
29 Sep 2020
Circular to intermediaries - Provision of trade documents to clients by access through intermediaries’ websites
Circular on the electronic dissemination of investment product documents
18 Sep 2020
SFC launches consultation on anti-money laundering guidelines
2 Sep 2020
SFC concludes consultation on changes to the open-ended fund companies regime and further consults on customer due diligence requirements
24 Jun 2020
Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
10 Jun 2020
OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements
Search regulations by topics | Details >
Account Opening
Anti-Money Laundering & Counter-Financing of Terrorism
Asset Management
Client Assets
Corporate Finance, Placing and Underwriting
Cybersecurity
Financial Resources Rules
Know Your Client / Client Agreement
Order Handling and Execution
OTC Derivatives
Professional Investors
Risk Management (other than SMF)
Securities Margin Finance ("SMF")
Suitability
Others
A common platform for SFC electronic forms and submission services.
apply for a licence
report short positions
make a complaint
verify if a fund is authorised
see if a firm or a person is licensed
find out about disclosure of interests
comment on a consultation
learn about filing financial returns
understand the different SFC licences
Regulatory calendar