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Regulatory updates Circulars Consultations

24 Feb 2021

SFC welcomes government budget measures

23 Feb 2021

SFC issues quarterly report

22 Feb 2021

SFC reprimands and fines Brilliance Asset Management Limited $3.15 million over short position reporting failures

18 Feb 2021

SFC issues restriction notices to 13 brokers to freeze client accounts linked to suspected social media ramp-and-dump scam

Regulatory calendar

19 Feb 2021

Circular to Licensed Corporations Engaged in Asset and Wealth Management Activities - Asset and Wealth Management Activities Survey 2020

20 Jan 2021

Mutual Recognition of Funds (MRF) between Thailand and Hong Kong

29 Dec 2020

Circular to Licensed Corporations Launch of iAM Smart

23 Dec 2020

Circular to Intermediaries - Frequently Asked Questions on Compliance with Suitability Obligations and Requirements for Complex Products

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.

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

11 Dec 2020

SFC proposes to upgrade the industry’s competency standards

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