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2008 DECEMBER
17 DEC	Circular to All SEHK Exchange Participants Reminder to ensure compliance with key requirements
05 DEC	Circular to Licensed Corporations - Calendar card outlining critical questions investors should ask before making investment decisions
04 DEC	Second Quarterly Report for the Financial Year 2008-09
2008 NOVEMBER
25 NOV	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
10 NOV	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
05 NOV	Circular to Licensed Corporations - Mandatory Electronic Submission of Financial Returns
2008 OCTOBER
30 OCT	SFC Enforcement Reporter - October 2008
29 OCT	Circular to All Licensed Corporations and Registered Institutions Regarding Supervision and Risk Management
27 OCT	Circular to All Licensed Corporations - Engaged in Hedge Funds Management Business
03 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Liberia) Regulation 2008 (2) US President’s Executive Order 13224 Attachment 1 Attachment 2
2008 SEPTEMBER
29 SEP	Takeovers Bulletin - September 2008
29 SEP	Circular to Licensed Corporations – Application for SFC e-Certificate – Persons who are required to sign and submit half-yearly return Annex 1
26 SEP	Circular to All Licensed Corporations and Registered Institutions - Short Selling Requirements and Obligations under the Securities and Futures Ordinance
22 SEP	Invitation to Securities Dealers and Securities Margin Financiers - Seminar on Credit Controls of Securities Margin Financing Providers and Related Key Regulatory Requirements Application Form
19 SEP	Circular to All Licensed Corporations and Registered Institutions
12 SEP	Circular to All Licensed Corporations and Registered Institutions: Guidance on disclosure of relevant material information by licensed or registered persons to their clients
11 SEP	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3 Attachment 4 Attachment 5
2008 AUGUST
29 AUG	Circular to Licensed Corporations - Gazette Notices of New e-Submission Regime and Test Run of New e-FRR System Annex 1 Annex 2
29 AUG	First Quarterly Report for the Financial Year 2008-09
15 AUG	SFC Enforcement Reporter - August 2008
2008 JULY
30 JUL	Circular to Licensed Corporations - Application for SFC e-Certificate and Training of Electronic Submission of Financial Returns Annex 1 Annex 2 Annex 3
30 JUL	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
07 JUL	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Liberia) Regulation 2008 (2) US President’s Executive Order 13224 Attachment 1 Attachment 2
2008 JUNE
27 JUN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) (No. 2) Regulation 2008 (2) US President’s Executive Order 13224 attachment
26 JUN	Takeovers Bulletin - June 2008
19 JUN	Circular to Licensed Corporations and Associated Entities - Electronic Submission of Financial Returns Annex 1 Annex 2
11 JUN	SFC Annual Report 2007 - 2008
06 JUN	Dear FinNet users, A scheduled maintenance of FinNet data centre will be carried out between 1:00pm, 7th June (Saturday) and 2:00pm, 9th June 08 (Monday). FinNet Webmail will not be available during that period. All other services on FinNet will not be affected. Should you have any further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Customer Service FinNet – The Financial Network for Hong Kong
2008 MAY
30 MAY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Appendix 1 Appendix 2 Appendix 3
22 MAY	SFC Bulletin - May 2008
16 MAY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Iran) (Amendment) Regulation 2008 (the “Iran Regulation”) Attachment 1 Attachment 2
2008 APRIL
10 APR	Information from HKSI to Licensed Corporations - "HKSI Mission to Kuala Lumpur 2008"
07 APR	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Licence Holders Insurance for Exchange Participants
03 APR	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing - Questions and Answers on Identification and Handling of High Risk Customers and Politically Exposed Persons (“FAQs”) Appendix
02 APR	Takeovers Bulletin - March 2008
2008 MARCH
28 MAR	Circular to Licensed Corporations - Announcement "CEPA Arrangements for Hong Kong Professionals - Mainland Examination & Training" by Hong Kong Securities Institute
28 MAR	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Liberia) Regulation 2008 (3) US President’s Executive Order 13224 Appendix 1 Appendix 2 Appendix 3 Appendix 4
18 MAR	Circular to Licensed Corporations - Investor Leaflet “Equity-linked Instruments”
13 MAR	Consultation Conclusions on Electronic Submission of Financial Returns Press Release
13 MAR	SFC Bulletin - March 2008
07 MAR	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing FATF Statement on Uzbekistan, Iran, Pakistan, Turkmenistan, Sao Tome and Principe and the northern part of Cyprus
2008 FEBRUARY
29 FEB	Third Quarterly Report for the Financial Year 2007-08
27 FEB	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
25 FEB	Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure
25 FEB	Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2007" Fund Management Activities Survey 2007
05 FEB	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2008 (2) United Nations Sanctions (Cote d’Ivoire) Regulation 2008 Attachment 1 Attachment 2
2008 JANUARY
28 JAN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
28 JAN	SFC Enforcement Reporter - January 2008
08 JAN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Liberia) Regulation 2005 (2) US President’s Executive Order 13224 Attachment 1 Attachment 2
2007 DECEMBER
20 DEC	Takeovers Bulletin - December 2007
13 DEC	Second Quarterly Report for the Financial Year 2007-08
2007 NOVEMBER
16 NOV	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3
09 NOV	Consultation Paper on Electronic Submission of Financial Returns Press Releases Personal Information Collection Statement
05 NOV	SFC Bulletin - November 2007
02 NOV	Consultation Paper on proposed amendments to the Codes on Takeovers and Mergers and Share Repurchases (“Codes”) and proposed procedures for hearings under the Codes
2007 OCTOBER
26 OCT	Circular to All Licensed Corporations - Reminder of Importance of Prudent Risk Management
26 OCT	Circular to Licensed Corporations - Investor Leaflet “Index Tracking Exchange Traded Funds”
26 OCT	SFC Enforcement Reporter - October 2007
23 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing FATF Statement on Iran
22 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Good Market Practices Identified from Self-Assessment Program Attachment
11 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Iran) Regulation (“the Iran Regulation”) Attachment
05 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Sudan) Regulation Attachment 1 Attachment 2 Attachment 3 Attachment 4 Attachment 5
2007 SEPTEMBER
27 SEP	Takeovers Bulletin - September 2007
19 SEP	Consultation Paper on proposed amendments to the Codes on Takeovers and Mergers and Share Repurchases
18 SEP	Circular to Licensed Corporations licensed for Type 1 or Type 8 regulated activity and Associated Entity - Implementation of 140% repledging limit with effect from 1 October 2007
14 SEP	Consultation Conclusions on proposed amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and proposed corresponding amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements Press Release
05 SEP	Circular to Licensed Corporations and Registered Institutions - Investor Leaflet "Hedge Funds"
2007 AUGUST
28 AUG	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Enhancement of Website and Obligation to Report Suspicious Transactions
27 AUG	SFC Bulletin - August 2007
23 AUG	First Quarterly Report for the Financial Year 2007-08
17 AUG	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) United Nations Sanctions (Democratic People’s Republic of Korea) Regulation (3) United Nations Sanctions (Liberia) Regulation 2005 (Amendment) (No. 2) Regulation 2007 (4) United Nations (Anti-Terrorism Measures) Ordinance (5) US President’s Executive Order 13224 Attachment 1 Attachment 2 Attachment 3 Attachment 4
2007 JULY
25 JUL	Circular to Licensed Corporations - Investor Leaflet "Fund Investing"
18 JUL	SFC Enforcement Reporter - July 2007
06 JUL	Circular to Intermediaries Acting as Sponsors - Increase in the minimum paid-up share capital requirement for sponsors
03 JUL	Circular to Licensed Corporations - Investor Leaflet “IPO Investing”
2007 JUNE
25 JUN	Circular to Licensed Corporations - Investor Leaflet “Know Your Broker”
22 JUN	Circular to Licensed Corporations and Associated Entities Apply for a New Password to Access Joint Financial Intelligence Unit’s New Website Attachment
21 Jun	Dear FinNet users, Please note that a scheduled power maintenance of FinNet data centre will be carried out between 8:00pm, 23rd June 07 (Saturday) and 6:00pm, 24th June 07 (Sunday). FinNet Webmail will not be available during that period. All other services on FinNet will not be affected. Should you have any further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Customer Service FinNet – The Financial Network for Hong Kong
12 JUN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d’Ivoire) Regulation 2007 (2) US President’s Executive Order 13224 Attachment
06 JUN	SFC Annual Report 2006-07
2007 MAY
31 MAY	SFC Alert - March/April 2007
18 MAY	A Consultation Paper on proposed amendments to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and proposed corresponding amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements Press Release
17 MAY	Takeovers Bulletin - May 2007
11 MAY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar Attachment - Invitation letter, Programme and Enrolment Form
08 MAY	Circular to All Licensed Corporations Questions and Answers on Suitability Obligations Questions and answers on suitability obligations of licensed and registered persons who are engaged in financial planning and wealth management business activities
2007 APRIL
26 APR	Dear FinNet users, Please note that a scheduled maintenance of FinNet Webmail will be carried out between 3:00pm and 8:00pm on 28th Apr 2007 (Saturday). FinNet Webmail will not be available during that period. All other services on FinNet will not be affected. Should you have any further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Customer Service FinNet – The Financial Network for Hong Kong
24 APR	Circular to Licensed Corporations - Investor Leaflet “How to Make a Complaint”
23 APR	SFC Enforcement Reporter - April 2007
04 APR	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
2007 MARCH
26 MAR	SFC Alert - January/February 2007
22 MAR	Dear FinNet users, Please note that a scheduled maintenance of FinNet Webmail will be carried out between 2:00pm and 12:00am on 24th Mar 2007 (Saturday). FinNet Webmail will not be available during that period. All other services on FinNet will not be affected. Should you have any further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Customer Service FinNet – The Financial Network for Hong Kong
22 MAR	SFC Enforcement Reporter - March 2007
05 MAR	HKSI's letter to Securities and Futures Professionals on CEPA Arrangements for Hong Kong Professionals - Mainland Examination and Training
2007 FEBRUARY
28 FEB	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224
28 FEB	Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2006" Fund Management Activities Survey 2006
22 FEB	Third Quarterly Report for the Financial Year 2006 - 2007
13 FEB	SFC Enforcement Reporter - February 2007
2007 JANUARY
23 JAN	Dear FinNet users, Please note that a scheduled maintenance of FinNet Webmail will be carried out between 2:00pm and 12:00am on 27th Jan 2007 (Saturday). FinNet Webmail will not be available during that period. Should you have further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Customer Service FinNet – The Financial Network for Hong Kong
23 JAN	Dear FinNet users, For better security protection, the policy of FinNet email password change every 60 days will be mandatory starting from 1 February 2007. You will be prompted to change password during FinNet logon whenever the FinNet email password is older than 60 days. Should you have any problem or need further information, please contact our hotline at 2283 6883. Customer Service FinNet – The Financial Network for Hong Kong
19 JAN	SFC Enforcement Reporter - January 2007
17 JAN	SFC Alert - November/December 2006
02 JAN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2006 (2) US President’s Executive Order 13224 (3) Non-cooperative Countries and Territories (4) Anti-Money Laundering Training Seminar Materials Attachment
2006 DECEMBER
30 DEC	The new sponsor regime
27 DEC	Circular to All Licensed Corporations
22 DEC	SFC Enforcement Reporter - December 2006
15 DEC	Implementation of the new sponsor regime
07 DEC	Circular to Licensed Corporations Providing Online Trading Services Reminder of Adequate Information Security Measures to Combat Possible Denial-of-Service Attacks
2006 NOVEMBER
18 NOV	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Identification and Reporting of Suspicious Transactions
17 NOV	SFC Enforcement Reporter - November 2006
14 NOV	Second Quarterly Report for the Financial Year 2006-2007
13 NOV	Wiser Financial News Center - New Promotional Package for Single User at HK$400 per month (Information provided by WISER INFORMATION LTD)
03 NOV	SFC Alert - September/October 2006
2006 OCTOBER
24 OCT	SFC Enforcement Reporter - October 2006
18 OCT	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) US President’s Executive Order 13224 (3) Combating Financing of Weapons of Mass Destruction Activities Attachment1 Attachment2 Attachment3
05 OCT	Press Release - New Regime for Sponsors
2006 SEPTEMBER
28 SEP	Circular to All Licensed Corporations - Requirements under certain amendment rules and amended Code of Conduct will come into effect on 1 October 2006
21 SEP	SFC Enforcement Reporter - Sepember 2006
08 SEP	Circular to Licensed Corporations and Registered Institutions - Emergency Contact Person
07 SEP	SFC Quarterly Bulletin - Summer 2006
05 SEP	Circular to intermediaries licensed or registered for Type 6 regulated activity - Sponsor regime
05 SEP	Securities and Futures (Financial Resources) (Amendment) Rules 2006 for Sponsors
04 SEP	Circular to All Licensed Corporations - Be alert to individuals pretending to be SFC staff
2006 AUGUST
25 AUG	SFC Alert - July/August 2006
22 AUG	SFC Enforcement Reporter - August 2006
21 AUG	Invitation to FinNet Seminar – Service Updates & Financial News Service Trial for the FinNet Participating Companies - Extra Session on 30 Aug 2006
14 AUG	SFC Quarterly Report for the Financial Period 1 April to 30 June 2006
08 AUG	Circular to All Licensed Corporations Licensed for Dealing in Securities
08 AUG	Invitation to FinNet Seminar – Service Updates & Financial News Service Trial for the FinNet Participating Companies - Aug 2006
2006 JULY
27 JULY	SFC Enforcement Reporter - July 2006
25 JULY	Circular to All Licensed Corporations - Prepare for Implementation of the New Requirements to Address Risks Arising from Securities Margin Financing
25 JULY	Invitation-To- Securities Dealers and Securities Margin Financiers-Invitation to Seminars on the New Requirements to Address Risks Arising from Securities Margin Financing
22 JULY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Training Seminar Attachment 1 - Invitation Letter and Programme Attachment 2 - Registration Form
22 JULY	Update on HKSI's Breakfast Briefing on Business Continuity Planning - The New Paradigm
20 JULY	HKSI's Breakfast Briefing on Business Continuity Planning - The New Paradigm (Link to the document is sent separately to the target recipients only)
19 JULY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Quarterly Suspicious Transaction Report Analysis issued by the Joint Financial Intelligence Unit (“JFIU”) (Link to the document is sent separately to the target recipients only) Attachment (Link to the document is sent separately to the target recipients only)
19 JULY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories (2) United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005 (3) United Nations Sanctions (Cote d’Ivoire) Regulation 2006 Attachment 1 Attachment 2
2006 JUN
30 JUN	HKSI's Seminars on Update (1) Proposed Measure to Address Risks Arising from Securities Margin Financing (2) Preventing Misappropriation of Client Assets
26 JUN	Effective from 1 July 2006, the working hours of our service hotlines will be revised as follow: (1) Network Fault Reporting - 121 389 (24 hours) (2) Business Inquiry - 2883 6883 (9:00 a.m. – 6:00 p.m.) (Mon - Fri excluding holidays) (3) e-FRR - 2283 6888 (9:00 a.m. – 6:00 p.m.) (Mon - Fri excluding holidays)
23 JUN	SFC Enforcement Reporter - June 2006
23 JUN	SFC Alert - May/June 2006
16 JUN	Circular to All Licensed Corporations
12 JUN	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Sudan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance
02 JUN	SFC Survey on Hedge Fund Industry (Link to the document is sent separately to the target recipients only) Questionnaire (Link to the document is sent separately to the target recipients only) Enclosure (Link to the document is sent separately to the target recipients only)
01 JUN	SFC Quarterly Bulletin - Spring 2006
01 JUN	To: FinNet Wharf T&T (WTT) Fastlink participants, Please note that a scheduled maintenance of FinNet FastLink will be carried out from 19:00 to 22:00 on 3 Jun 2006 (Saturday), access to FinNet via WTT Fastlink circuits will be unavailable during that period. FinNet Participants using PCCW or WTT Ethernetlink will not be affected. If participants are unable to access FinNet services after the maintenance, please take the following action:- (1) Single Terminal users need to logout FinNet and re-login again; (2) Multi Terminal users need to reset the FinNet router & modem. Should you have further queries, please contact our Hotline at 2283 6883. Thank you for your attention! Operation Support FinNet – The Financial Network for Hong Kong
2006 MAY
19 MAY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Frequently Asked Questions on the Guidance Note on Prevention of Money Laundering and Terrorist Financing
18 MAY	SFC Enforcement Reporter - May 2006
10 MAY	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Cote d’Ivoire) Regulation 2006 (2) United Nations Sanctions (Liberia) Regulation 2005
2006 APR
26 APR	Entities Anti-Money Laundering / Combating Terrorist Financing Prevention of Money Laundering and Terrorist Financing Guidance Note and Quarterly Suspicious Transaction Report Analysis (Link to the document is sent separately to the target recipients only)
26 APR	SFC Alert - March/April 2006
21 APR	SFC Enforcement Reporter - April 2006
19 Apr	To: FinNet participants using (1) dialup access; (2) Fastlink connection Please note that a scheduled maintenance of FinNet system will be carried out from 20:00 to 00:00 on 23 Apr 2006 (Saturday), access to FinNet via dialup modem and Fastlink circuit will not be available during that period. Should you have further queries, please contact our Hotline at 2283 6883. Thank you for your attention. Operation Support FinNet – The Financial Network for Hong Kong
12 APR	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
06 APR	To: All FinNet Users, Please note that a scheduled maintenance of FinNet email system will be carried out from 7:00pm to 9:00pm on 8 Apr 2006 (Saturday), access to FinNet email will not be available during that period. Should you have further queries, please contact our Hotline at 2283 6883. Thank you for your attention. Operation Support FinNet – The Financial Network for Hong Kong
2006 MAR
31 MAR	Circular to All Licensed Corporations - Importance of Prudent Risk Management
31 MAR	Hong Kong's Derivative Warrants Market – the Way Forward Results of the Consultation on the SFC's Six-Point Plan Press Release
17 MAR	Guidance Note on Cooperation with the SFC - March 2006
14 MAR	SFC Enforcement Reporter - March 2006
13 MAR	Eminent Speakers for Panels/Reminder: Early Bird Registration by 15 March
9 MAR	SFC Alert - January/February 2006
8 MAR	Circular to All Licensed Corporations Licensed for Dealing in Securities Continuous and Close Supervision of Firm’s Operations
6 MAR	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance Attachment 1 Attachment 2
3 MAR	HKSI's letter to Securities and Futures Professionals on CEPA Arrangements for Hong Kong Professionals - Mainland Examination and Training
2006 FEB
28 FEB	Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - "Fund Management Activities Survey 2005" Fund Management Activities Survey 2005
28 FEB	SFC Quarterly Bulletin - Winter 2005
20 Feb	Invitation to the 31st IOSCO Annual Conference
17 Feb	SFC Enforcement Reporter - February 2006
16 Feb	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Democratic Republic of the Congo) Regulation 2005
14 Feb	SFC Quarterly Report for the Financial Period 1 October to 31 December 2005
2006 JAN
25 Jan	HKSI's Executive Briefing on the High-Level Principles for Business Continuity
20 Jan	SFC Enforcement Reporter - January 2006
10 Jan	Circular to Licensed Corporations which are licensed for Type 9 regulated activity Frequently Asked Questions on Financial Return Form 12 – Aggregate net value of assets under management
10 Jan	HKSI’s Seminars on Update of Anti-Money Laundering Policies and Procedures
06 Jan	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Liberia) Regulation
05 Jan	Dear FinNet participants, To prepare for the launch of our new FinNet system on 9 January 06, there will be a scheduled stoppage of the FinNet email system during the following period :- Date: 07 January 2006 (Saturday) Time: 06:00pm - 12:00pm Should you have any queries, please feel free to contact our hotline at 2283 6883. Thank you for your attention. Yours faithfully, Operation Support FinNet - The Financial Network for Hong Kong
2005 DEC
21 Dec	SFC Alert - November/December 2005
21 Dec	Circular to Licensed Corporations and Associated Entities Business Continuity Plan in light of the Possible Outbreak of Avian Influenza and Influenza Pandemic in Hong Kong
19 Dec	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations Sanctions (Democratic Republic of Congo) Regulation 2005 (3) United Nations (Anti-Terrorism Measures) Ordinance (4) Blocking Property of Proliferators and Supporters of Weapons of Mass
19 Dec	SFC Enforcement Reporter - December 2005
19 Dec	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing
2005 NOV
30 Nov	SFC Quarterly Bulletin - Autumn 2005 Statistics
25 Nov	Circular to Licensed Corporations and Associated Entities Further Reminder of Business Continuity Arrangement during the 6th Ministerial Conference of the World Trade Organization
25 Nov	A Healthy Market for Informed Investors – A Report on the Derivative Warrants Market in Hong Kong
21 Nov	SFC Enforcement Reporter - November 2005
14 Nov	SFC Quarterly Report for the Financial Period 1 July to 30 September 2005
11 Nov	Circular to All Licensed Corporations Reminder to comply with certain Code and Internal Control Guidelines requirements
08 Nov	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance")
04 Nov	Circular to Licensed Corporations and Associated Entities Business Continuity Plan during the 6th Ministerial Conference of the World Trade Organization
2005 OCT
27 Oct	Consultation Conclusions on the Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note
25 Oct	To: Users of HKMA STET application Please note that the old FinNet URL for HKMA STET access "www.hkfin.net" has been changed to "www.stet.FinNet.hk" starting from 15 October 2005. The old URL is no longer valid. Should you have any queries, please contact STET helpdesk at 2878 1800 or FinNet hotline at 2283 6883. Thank you. Operation Support FinNet – The Financial Network for Hong Kong
20 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories (“NCCTs”)
19 Oct	SFC Enforcement Reporter - October 2005
19 Oct	SFC Alert - September/October 2005
14 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance (3) United Nations Sanctions (Afghanistan) Regulation
12 Oct	To: All FinNet Users, Your access to FinNet services (e.g. Webmail and dial-up services) will not be available between 6:00pm and 10:00pm on 15 Oct 2005 (Saturday) due to the new email system migration drill. Other services (e.g. CCRA and FTS) will not be affected. Should you have further queries, please contact our Hotline @ 2283 6883. Thank you for your attention! Operation Support FinNet – The Financial Network for Hong Kong
05 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Suspicious Transactions Reports Classification
2005 SEP
30 Sep	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224 (“Executive Order”)
23 Sep	FAQ - Phase out of POP3 support for FinNet email service (Email Access using Software Client e.g. Outlook Express) Is there any impact to me? The phase out of POP3 will only affect the existing FinNet email users using software client for email access (e.g. Outlook Express). There is no impact to other applications. If you are using Internet Explorer or other browser to check email by logging in the FinNet website (www.finnet.hk), there will be no impact to you. For users using POP3 based email client for FinNet email access (e.g. MS Outlook / Outlook Express / Netscape Mail ), the services will be phased out starting from 3 October 05. By that time, you are not able to use the above email client (e.g. MS Outlook / Outlook Express / Netscape Mail) for email checking. I am using MS Outlook / Outlook Express / Netscape Mail to check FinNet emails, what should I do so that I can use the web-based email service? i. Have your FinNet email Login ID & Password ready. A sample of the Login ID will be "ABC123-eCirculars". ii . Using the PC that is used to check FinNet email (i.e. the PC which is connected to FinNet, NOT Internet). iii . Open Internet Explorer or other browser, go to website "www.finnet.hk". iv . On the top-right hand corner of the FinNet home page, enter your Login ID and Password to the relevant field. v . Click the 'Sign In" icon to login the webmail. vi . You are now logged-in to the FinNet web-based email. I still cannot login the webmail following the procedures. How should I do ? You need to download a digital certificate to your browser. You only need to do this once. Please refer to the following document for a simple procedure. FinNet CA Installation Guide: http://www.finnet.hk/document/userguide.pdf Can I use any PC that is connected to the Internet to login FinNet website for email checking? No. You need to use the dedicated PC that is connected to FinNet (i.e. the PC that is used to check email by Outlook / Outlook Express / Netscape Mail) to login FinNet website for email checking. I forget the password for my email account, how can I reset it? The ID and Password used for both POP3 and web based access are the same. In case you forget the password, you can fill in the following Password Reset form and send to FinNet Customer Service by fax @ 2293 5880. Password Reset form: http://www.finnet.hk/download/publication/password_reset.pdf
21 Sep	Consultation Conclusions on proposed amendments to Schedule 5 to the Securities and Futures Ordinance
20 Sep	Circular to Licensed Corporations and Associated Entities Section 311 of the USA Patriot Act
16 Sep	SFC Enforcement Reporter - September 2005
2005 AUG
31 Aug	SFC Quarterly Bulletin - Summer 2005
24 Aug	To: Users of e-Circulars & e-FRR Applications, Your access to SFC's services (e.g. e-circulars and e-FRR) will not be available between 5:00pm and 6:00pm on 27 Aug 2005 due to the migration of SFC's circuit to FinNet new backbone. Should you have further queries, please contact our Hotline @ 2283 6883. Thank you for your attention. Operation Support FinNet – The Financial Network for Hong Kong
24 Aug	To : FinNet Participants using POP3 based Email Client for FinNet Email Access (e.g. MS Outlook / Outlook Express & Netscape Mail) Thank you for using FinNet email service. For your information, we will upgrade our FinNet mail service on 17 October 05 with key enrichment in user interface and email functionalities. After the upgrade, email access to FinNet will be standardized as "web based". POP3 based email access (e.g. MS Outlook / Outlook Express & Netscape Mail) will no longer be supported starting from 3 October 05. If you are using POP3 based email client for FinNet email access, we recommend you to switch to use our web based email access on or before 3 October 05. Should you have any further questions, please do not hesitate to call our hotline at 2283 6883 during office hours. Your calls are always welcome. Thanks! Sincerely, FinNet Customer Service
18 Aug	SFC Alert - July/August 2005
16 Aug	SFC Enforcement Reporter - August 2005
12 Aug	SFC Quarterly Report for the Financial Period 1 April to 30 June 2005
10 Aug	To: (1) FinNet Participants with PCCW FastLink Connections and (2) Users of e-Circulars & e-FRR Applications To enhance FinNet, a network maintenance is scheduled to 08:00pm to 12:00am, 13 August 2005 (Saturday). The following services will be affected : - FinNet access via PCCW's FastLink - SFC applications on FinNet including e-Circulars and eFRR Should you have any queries, please contact our FinNet Hotline @ 121-389. Thank you for your attention. Operation Support FinNet - The Financial Network for Hong Kong
08 Aug	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) New Regulation under United Sanctions Ordinance (Cap. 537) (2) US President’s Executive Order 13224
05 Aug	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering Seminar for Compliance Officers
2005 JUL
25 Jul	Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05 (REMINDER)
20 Jul	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
19 Jul	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the "Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation")
14 Jul	SFC Enforcement Reporter - July 2005
13 Jul	Circular to Licensed Corporations and Registered Institutions on Settlement of Disciplinary Cases
2005 JUN
30 Jun	Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2004/05
22 Jun	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules
21 Jun	SFC Alert - May/June 2005
14 Jun	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
10 Jun	SFC Enforcement Reporter - June 2005
2005 MAY
31 May	Consultation Conclusions on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance Press Release
30 May	SFC Quarterly Bulletin - Spring 2005 Statistics
20 May	SFC Enforcement Reporter - May 2005
18 May	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
09 May	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
05 May	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance (the 𢡠"Ordinance") & United Nations Sanctions (Afghanistan) Regulation (the "Regulation") attachment
2005 APR
29 Apr	Consultation Paper on the Proposed Revised Prevention of Money Laundering and Terrorist Financing Guidance Note Press Releases
27 Apr	SFC Alert - March/April 2005
26 Apr	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
21 Apr	Circular to SFC Registered Institutions - FAQs for Investors on UCITS III Frequently Asked Questions (FAQs) about UCITS III
19 Apr	SFC Enforcement Reporter - April 2005
2005 MAR
31 Mar	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited and/or Hong Kong Futures Exchange Limited - Fidelity Insurance for Exchange Participants
31 Mar	Guidelines to Address Analyst Conflicts of Interest to Come into Effect
23 Mar	Circular to SFC Licensed Fund Managers and Investment Advisers - FAQs for Investors on UCITS III Frequently Asked Questions (FAQs) about UCITS III
17 Mar	HKSI's letter to Securities and Futures Professionals on Enrolment deadline for the 2nd PRC Securities Regulations Examination falls on 24 March 2005
11 Mar	SFC Enforcement Reporter - March 2005
01 Mar	HKSI's letter to Securities and Futures Professionals on CEPA Arrangements for Hong Kong Professionals - Mainland Examination and Training
01 Mar	Investor Leaflet "Questions to Ask When Seeking Investment Advice" and Other Investor Education Materials
2005 FEB
28 Feb	SFC Quarterly Bulletin - Winter 2004 Statistics
25 Feb	Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2004 Fund Management Activities Survey 2004
23 Feb	Consultation on Proposed Amendments to Schedule 5 to the Securities and Futures Ordinance
22 Feb	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs")
21 Feb	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation attachment
21 Feb	SFC Alert - January/February 2005
15 Feb	SFC Enforcement Reporter - February 2005
14 Feb	SFC Quarterly Report for the Financial Period 1 October to 31 December 2004
01 Feb	"All about Stock Investing" VCD and Investor Leaflet "Know What You Pay For"
2005 JAN
28 Jan	Circular to all Licensed Corporations Securities and Futures (Financial Resources) Rules - Enhanced Excel format of Proforma Financial return
24 Jan	SFC Enforcement Reporter - January 2005
24 Jan	New FinNet Domain Name to be Launched - 'FinNet.hk' To align with the adoption of ".hk" domain names in SFC, we are pleased to announce that a simpler and easier-to-remember domain "FinNet.hk" will replace the existing one, "FinNet-hk.Net", with effective from 30 JAN 2005. With such change, the email addresses and URLs used within FinNet will be changed as follow: FinNet Private Website: http://www.FinNet.hk FinNet Internet Information Website: http://about.FinNet.hk FinNet Email: 'name'@FinNet.hk or 'name'@subdomain.FinNet.hk ('name' : sender or recipient name) Any Impact to me? Both domains, "FinNet-hk.Net" and "FinNet.hk" will be in parallel run until 31 AUG 2005. You can use both domains to browse FinNet websites and send emails to FinNet users. For example, you can send emails to other FinNet participants by using 'recipent_name'@FinNet.hk or 'recipent_name'@FinNet-hk.Net. * The new domain is not available to those FinNet participants who are using CCASS/3 connection to access FinNet until further notice. * What should I do? The support of the old domain 'FinNet-hk.Net' will be continued until 31 AUG 2005 to smooth out the transition. You should start updating your personal address book and bookmark in browser if you have any "FinNet-hk.net" entries added. For further information, please contact FinNet Customer Service by email : "CustService@FinNet.hk" or by calling 2283 6883. FinNet Customer Service
20 Jan	Consultation Paper on the Review of the Disclosure of Interests Regime under Part XV of the Securities and Futures Ordinance Press Release
07 Jan	A Consultation Paper on Proposed Amendments to the Securities and Futures (Stock Market Listing) Rules Appendix 1 Appendix 2 Derivation Table Draft handbook
2004 DEC
30 Dec	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation attachment
29 Dec	Circular to all Licensed Corporations Implementation of prudent risk management policies and procedures
28 Dec	Invitation to Tender - Next Generation Network for FinNet FAQs
22 Dec	SFC Enforcement Reporter - December 2004
21 Dec	Circular to deemed licensed corporations which have not submitted migration applications - Client assets arrangement in anticipation of business cessation
16 Dec	SFC Alert - November/December 2004
17 Dec	Invitation to Tender - Next Generation Network for FinNet Closing Date: 2:00pm, 10 January 2005
09 Dec	Circular to Licensed Corporations and Registered Institutions - Courses to Facilitate Former Practitioners to Re-enter the Industry and New Recognised Continuous Professional Training Providers
06 Dec	"Foundations in Wealth Management" VCD and Investor Education Publications
02 Dec	Circular to Licensed Corporations which are licensed for Type 6 regulated activity - Theme Inspection of Sponsors
2004 NOV
30 Nov	A Consultation Paper on a review of the Codes on Takeovers and Mergers and Share Repurchases
29 Nov	Circular to Licensed Corporations which are licensed for Type 1 or 8 regulated activity SFC’s Advice to Securities Firms Offering IPO Financing
26 Nov	Consultation Conclusions on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges Press Release
25 Nov	Circular to SFC’s Licensed Intermediaries Telephone Recording Requirements
19 Nov	SFC Quarterly Bulletin - Autumn 2004 Statistics
17 Nov	SFC Enforcement Reporter - November 2004
17 Nov	To: FinNet Participants using PCCW FastLink Connection Access to FinNet services via PCCW's FastLink connection may have slight interruptions during the period of 00:00am - 08:00am on 28 Nov and 5 Dec 2004 respectively due to a scheduled maintenance of the PCCW network. During the maintenance periods (on two Sunday's mid-night), participants may encounter 5 - 15 minutes of service interruptions in FinNet access. Should you have any queries, please contact our FinNet Hotline @ 121-389. Thank you for your attention. FinNet Administrator
12 Nov	SFC Quarterly Report for the Financial Period 1 July to 30 September 2004
12 Nov	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) Non-cooperative Countries and Territories (3) United Nations (Anti-Terrorism Measures) Ordinance attachment
08 Nov	Circular to Licensed Corporations and Registered Institutions - Consultation Conclusions on the Regulatory Framework for Addressing Analyst Conflicts of Interest
2004 OCT
28 Oct	Circular to Licensed Corporations - Facilitation of Lodgment of Annual Returns by Representatives
21 Oct	Circular to deemed licensed corporations which have not submitted migration applications
20 Oct	The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Mr Fung Chiu and Mr Lian En Sheng Cold Shoulder Order in regard of Mr Fung Chiu and Mr Lian En Sheng
15 Oct	Circular to Licensed Corporations and Associated Entities United Nations Security Council Resolution 1532
15 Oct	SFC Enforcement Reporter - October 2004
14 Oct	SFC Alert - September/October 2004
2004 SEP
30 Sep	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
28 Sep	Consultation Paper on Proposed Measures to Address Risks Arising from Securities Margin Financing Press Release
13 Sep	SFC Enforcement Reporter - September 2004
10 Sep	Circular to Licensed Corporations and Registered Institutions - Intermediaries Activities Survey 2003/04
2004 AUG
31 Aug	Circular to Certain Deemed Licensed Corporations (Sole Proprietors) - Migration into the New Regime under the Securities and Futures Ordinance
20 Aug	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations (Anti-Terrorism Measures) Ordinance (2) United Nations Sanctions (Afghanistan) Regulation (3) United Nations Sanctions (Libya) (Repeal) Regulation 2004 Attachment
20 Aug	SFC Quarterly Bulletin - Summer 2004 Statistics
19 Aug	SFC Alert - July/August 2004
13 Aug	SFC Quarterly Report for the Financial Period 1 April to 30 June 2004
2004 JUL
28 Jul	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) United Nations Sanctions (Afghanistan) Regulation (2) United Nations (Anti-Terrorism Measures) Ordinance (3) US President’s Executive Order 13224 (4) United Nations Security Council Resolution (UNSCR) 1483(2003)
14 Jul	Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request
12 Jul	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing Non-cooperative Countries and Territories ("NCCTs")
09 Jul	SFC Enforcement Reporter - July 2004
06 Jul	Leaflet on the Investor Compensation Fund
2004 JUN
30 Jun	Circular to Licensed Corporations which are licensed for Types 1, 2, 3 and/or 8 regulated activities Information request Attachment
30 Jun	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
25 Jun	Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition
24 Jun	Circular to Licensed Corporations Ways to combat fake websites
18 Jun	SFC Alert - May / June 2004
16 Jun	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
10 Jun	SFC Enforcement Reporter - June 2004
09 Jun	Circular to Licensed Corporations Implementation of Hong Kong Accounting Standards 39 and 32
08 Jun	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance
03 Jun	Circular to Licensed Corporations which are licensed for Type 1 regulated activity Watch out! Brokerage firms were defrauded again!
2004 MAY
28 May	Circular to Licensed Corporations - Responsible Officers
21 May	SFC Quarterly Bulletin - Spring 2004
19 May	SFC Enforcement Reporter - May 2004
10 May	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
2004 APR
29 Apr	Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Compliance with the Securities and Futures (Insurance) Rules
29 Apr	Circular to Licensed Corporations which are Participants of The Stock Exchange of Hong Kong Limited - Compliance with the Securities and Futures (Insurance) Rules
19 Apr	SFC Alert - March / April 2004
15 Apr	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance ("the Ordinance") and United Nations Sanctions (Afghanistan) Regulation ("the Regulation") attachment
14 Apr	SFC Enforcement Reporter - April 2004
01 Apr	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
2004 MAR
31 Mar	Consultation Paper on the Regulatory Framework for Addressing Analyst Conflicts of Interest
29 Mar	Circular to Licensed Corporations which are Participants of Hong Kong Futures Exchange Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules
29 Mar	Circular to Licensed Corporations which are Participants of the Stock Exchange of Hong Kong Limited - Licence Holders Insurance Scheme for the Year Commencing 1 April 2004 under the Securities and Futures (Insurance) Rules
26 Mar	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
20 Mar	Circular to analysts on handling non-public price sensitive information
09 Mar	SFC Enforcement Reporter - March 2004
03 Mar	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) Non-cooperative Countries and Territories ("NCCTs") (2) United Nations Sanctions (Afghanistan) Regulation
02 Mar	Consultation Conclusions on the Securities and Futures (Contracts Limits and Reportable Positions)(Amendment) Rules 2003 and proposed amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
2004 FEB
27 Feb	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance
26 Feb	Circular to Licensed Corporations which are Engaged in Asset Management and/or Giving Advice on Funds/Portfolios - Fund Management Activities Survey 2003
25 Feb	Investor Leaflet - "Is IPO Investing For You?" and Other Investor Education Publications
19 Feb	SFC Quarterly Bulletin - Winter 2003
18 Feb	SFC Alert - January/February 2004
13 Feb	Invitation to Tender - New FinNet Server Architecture (Closed by 2:00 pm 1 Mar 2004)
13 Feb	SFC Quarterly Report (October to December 2003)
10 Feb	SFC Enforcement Reporter - February 2004
09 Feb	SFC Survey on Fund Trading Practices (Cover Letter & Questionnaire)
06 Feb	"What's Left for Self-Regulation?" - Roundtable luncheon with Sir Howard Davies on 26 March 2004
2004 JAN
28 Jan	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224 (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
27 Jan	Migration to the new regime under the Securities and Futures Ordinance
27 Jan	Request for Assistance to Police Investigation (English Version Only)
19 Jan	HKSI's letter to Securities and Futures Professionals on CEPA Arrangements for Hong Kong Professionals - Mainland China Examinations and Training
14 Jan	SFC Enforcement Reporter - January 2004
14 Jan	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; and (3) United Nations Security Council Resolution (UNSCR) 1483
12 Jan	Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities and subject to the specified licensing condition - Compliance with Section 56(3) of the Securities and Futures (Financial Resources) Rules to Submit Financial Return
2003 DEC
29 Dec	Advice to Investors on Structured Notes
24 Dec	To: CCASS/3 Users, For all members accessing FinNet via CCASS/3 connection, your access to FinNet services (e.g. email and eFRR etc.) will not be available from 06:00 on 25 Dec to 18:00 on 26 Dec due to the electricity outage in CCASS Data Centre. Accessing FinNet through dial-up, FastLink or dedicated leased line will not be affected. Should you have any problems, please contact FinNet helpdesk @ 121-389
23 Dec	Circular to Licensed Corporations - Notification on cessation of accreditation and return of licence
18 Dec	SFC Alert - November/December 2003
18 Dec	Circular to intermediaries conducting Type 1 or Type 8 Regulated Activity - Allocation problem of China Life IPO
17 Dec	Circular to Intermediaries Conducting Type 1 or Type 8 Regulated Activity
17 Dec	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
12 Dec	Circular to Licensed and Registered Persons - Relaxation for Former Practitioners to Re-enter the Industry
12 Dec	Investor Education Leaflet - Questions to Ask Before Investing in a Stock
12 Dec	To: CCASS/3 Users, For all members accessing FinNet via CCASS/3 connection, your access to FinNet services (e.g. email and eFRR etc.) will not be available from 22:00 on 13 Dec to 06:00 on 14 Dec due to the scheduled maintenance of CCASS servers. Accessing FinNet through dial-up, FastLink or dedicated leased line will not be affected. Should you have any problems, please contact FinNet helpdesk @ 121-389.
05 Dec	SFC Enforcement Reporter - December 2003
2003 NOV
25 Nov	Circular to Licensed Corporations and Associated Entities - Proper segregation and safeguarding of client money
25 Nov	Investor Survey on Investment Research Activities Securities Firm Survey on Investment Research Activities Press Release
24 Nov	Circular to Licensed Corporations - Business continuity planning against serious communicable diseases
21 Nov	Investor Education Leaflet - Index Tracking Exchange Traded Funds: Getting Started
18 Nov	Circular to Licensed Corporations who wish to act as Financial Intermediaries for Entrants under the Capital Investment Entrant Scheme
17 Nov	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; and (2) Non-cooperative Countries and Territories
14 Nov	SFC Quarterly Report (July to September 2003)
12 Nov	SFC Enforcement Reporter - November 2003
07 Nov	Circular to Licensed Corporations - A Free CPT Seminar organised by the SFC and HKSI on "Dealing with Clients" on 29 November 2003
2003 OCT
30 Oct	Consultation Paper on the Draft Guidelines on Good Disclosure of Securities Services Related Fees and Charges
29 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224 ("Executive Order")
24 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance and United Nations Sanctions (Afghanistan) Regulation
21 Oct	SFC Alert - September/October 2003
13 Oct	SFC Enforcement Reporter - October 2003
10 Oct	Circular to Licensed Corporations - Observe the Know Your Clients Rules to Avoid Losses
06 Oct	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance
2003 SEP
30 Sep	Consultation Conclusions on Proposals for a Scripless Securities Market
24 Sep	Circular to Licensed Corporations and Associated Entities Anti-Money Laundering / Combating Terrorist Financing United Nations Sanctions (Afghanistan) Regulation ("Regulation")
17 Sep	A Consultation Paper on the Securities and Futures (Contracts Limits and Reportable Positions)(Amendment) Rules 2003 and proposed amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
11 Sep	Circular to Licensed Corporations which are licensed solely for Types 4, 5, 6 and/or 9 regulated activities - Compliance with the Securities and Futures (Financial Resources) Rules
11 Sep	The e-FRR system will be shut down for maintenance for two hours from 9:00pm to 11:00pm on Saturday, 13th September 2003. For any query, please call our hotline at 121-389
11 Sep	SFC Enforcement Reporter - September 2003
09 Sep	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) US President's Executive Order 13224; and (2) United Nations (Anti-Terrorism Measures) Ordinance
2003 AUG
28 Aug	Circular to Licensed Corporations and Registered Institutions - Licensing Information Booklet and Handling of Licensing Related Enquiries
21 Aug	To : CCASS Participants - About using FinNet Email for Receiving Share Allotment Result. Click here for the Procedure.
20 Aug	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224 ("Executive Order")
18 Aug	SFC Newsletter - July/August 2003
15 Aug	SFC Quarterly Report (April to June 2003)
11 Aug	SFC Enforcement Reporter - August 2003
11 Aug	Circular to Licensed Corporations which were Exempt Persons under the former regime - Compliance with the Securities and Futures (Financial Resources) Rules
09 Aug	Investor Leaflet: Real Estate Investment Trusts – What You Have to Know
04 Aug	Advice to Investors on Exotic Warrants
01 Aug	"Know the SFC" Video
2003 JUL
28 Jul	Circular to Licensed Corporations and Associated Entities- Anti-Money Laundering / Combating Terrorist Financing United Nations Security Council Resolution 1483
25 Jul	Circular to Licensed Corporations - Substantial Shareholders
21 Jul	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance & United Nations Sanctions (Afghanistan) Regulation
12 Jul	Circular to Licensed Corporations - Common Anniversary Date Program
11 Jul	SFC Enforcement Reporter - July 2003
09 Jul	New Investor Booklet - Get Ready to Invest
07 Jul	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing (1) US President’s Executive Order 13224; (2) United Nations (Anti-Terrorism Measures) Ordinance; (3) Non-cooperative Countries and Territories; and (4) New Members of FATF
04 Jul	Circular to Licensed Corporations - Officer for Signing Financial Resources Returns (other than Responsible Officer)
03 Jul	Access to e-FRR, e-Circulars and other services provided by Securities and Futures Commission (SFC) will NOT be available from 06:00pm to 08:00pm on 05 July 03 due to SFC Data Centre relocation. Other services on FinNet are not affected. If you have any problems, please contact FinNet helpdesk @ 121-389.
2003 JUN
19 Jun	Hong Kong Securities Institute Survey
17 Jun	SFC Newsletter - May/June 2003
16 Jun	Circular to Licensed Corporations and Registered Institutions - SFC to Move to Chater House
09 Jun	SFC Enforcement Reporter - June 2003
05 Jun	HIGH SPEED !!! INSTANT ACCESS !!! LOW PRICE !!! FinNet is pleased to announce the launch of a brand new FinNet FastLink service for all FinNet members.
2003 MAY
30 May	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing US President's Executive Order 13224
30 May	Consultation Paper on the Regulation of Sponsors and Independent Financial Advisers
23 May	2002 Intermediaries Activities Survey - REMINDER
23 May	2002 Exempt Persons Activities Survey – REMINDER
22 May	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance United Nations Sanctions (Afghanistan) Regulation
21 May	Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Combating Terrorist Financing US President’s Executive Order 13224
19 May	The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Hui Chuen Kin, Daniel and Liu Bing Kin, Micheal
15 May	SFC Quarterly Bulletin - Spring 2003
14 May	SFC Annual Report (2002 - 2003)
14 May	SFC Enforcement Reporter - May 2003
14 May	The Takeovers Executive of the Securities and Futures Commission has imposed Cold Shoulder Orders on Hui Chuen Kin, Daniel and Liu Bing Kin, Micheal
13 May	New Investor Leaflet : "Portfolio Planning - Managing Your Investments to Suit You"
05 May	Circular to Intermediaries - Anti-Money Laundering / Combating Terrorist Financing United Nations (Anti-Terrorism Measures) Ordinance
2003 APR
30 Apr	Circular to Licensed Corporations - Excel template of the financial return under the Securities and Futures (Financial Resources) Rules
30 Apr	Circular to Exempt Persons under the former regime - 2002 Exempt Persons Activities Survey
30 Apr	Circular to Registered Firms under the former regime – 2002 Intermediaries Activities Survey
23 Apr	Circular to Licensed Corporations - Change of Accreditation by Deemed Licensed Representatives
22 Apr	SFC Newsletter - March/April 2003
08 Apr	SFC Enforcement Reporter - April 2003
04 Apr	Circular to Licensed Corporations and Registered Institutions Securities and Futures Ordinance – Consultation Conclusions on the Proposed Revisions to the Guidelines for Registered Persons Using the Internet to Collect Application for Securities in an Initial Public Offering Consultation Conclusions on the draft Guidelines for Persons Using the Internet to Connect Applications for Securities in a Public Offering
01 Apr	Circular to Intermediaries licensed or registered for Dealing in Securities or Securities Margin Financing, Obtaining Clients' Standing Authority under the Securities and Futures (Client Securities) Rules
01 Apr	Circular to Intermediaries, Anti-Money Laundering / Combating Terrorist Financing - Non-cooperative Countries and Territories
01 Apr	Circular to Intermediaries, Anti-Money Laundering / Combating Terrorist Financing - United Nations Sanctions (Afghanistan) Regulation
01 Apr	Circular to Intermediaries, Anti-Money Laundering / Combating Terrorist Financing - United Nations (Anti-Terrorism Measures) Ordinance
01 Apr	Circular to Intermediaries, Anti-Money Laundering / Combating Terrorist Financing - US President's Executive Order
01 Apr	Circular to Intermediaries, Equity-linked Instruments are subject to suitability and fair dealing requirements
01 Apr	Circular to Intermediaries, Marketing of Hedge Funds
01 Apr	Circular to Intermediaries, Re-issue of Circulars
01 Apr	Circular to Licensed Corporations and Associated Entities, Forms specified by SFC
01 Apr	Circular to Licensed Corporations, Window Dressing of Financial Position
01 Apr	Circular to Intermediaries, Re-issue of Circulars
2003 MAR
31 Mar	Circular to Registered Securities Dealers which are Participants of The Stock Exchange of Hong Kong Limited - Securities and Futures (Insurance) Rules
31 Mar	Circular to All Securities Dealers SFC Steps Up Review of Broekrs' Advertisements on Promotional Offers
28 Mar	Circular to All Securities Dealers SFC Steps Up Review of Broekrs' Advertisements on Promotional Offers
27 Mar	Advice on Prevention of Respiratory Tract Infections
27 Mar	Circular to Registered Firms and Exempt Persons – "Fit and Proper Guidelines", Guidelines on Competence", "Guidelines on Continuous Professional Training"
24 Mar	Circular to Intermediaries Consultation Conclusions on the Guidance Note on Position Limits and Large Open Position Reporting Requirements
24 Mar	Consultation Conclusions on the Proposed Revisions to the Guidance Note Issued by the Securities and Futures Commission on Money Laundering Press Release
18 Mar	Consultation Paper on the Draft Guidelines for regulating Index Tracking Exchange Traded Funds under the Code on Unit Trusts and Mutual Funds Press Release
18 Mar	Circular to SFC's Registered Intermediaries and Exempt Persons - Codes, Guidelines and Forms issued under the Securities and Futures Ordinance
15 Mar	Circular to SFC's Registered Firms and Exempt Persons – "Guidelines on Transitional Arrangements" and "Guidelines on Waivers of Certain Licensing Fees" Press Release
14 Mar	SFC Press Release - Publication of New SFC Licensing Application and Notification Forms
12 Mar	Investor Leaflet - Getting into Bonds
11 Mar	Circular to SFC's Registered Commodity Trading Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance
10 Mar	SFC Enforcement Reporter - March 2003
10 Mar	Circular to SFC's Registered Investment Adviser Firms - Submission of Audited Accounts under the Securities and Futures Ordinance
07 Mar	Press Release - Securities and Futures Ordinance - Disclosure of Interests Outline of Part XV of the Securities and Futures Ordinance (Cap. 571) - Disclosure of Interests
07 Mar	Consultation Paper on the Draft Code on Real Estate Investment Trusts Press Release
07 Mar	SFC Video Show on New Intermediaries Practices under the Securities and Futures Ordinance In view of the many applications received for the New Intermediaries Practices workshop held on 24 Feb 03 and the limited seats available, SFC have not been able to allocate seats to everybody. SFC would therefore like to conduct an additional workshop in the form of a video show followed by a Q & A session. The video show will be identical in content to the workshop held previously. Notice has been sent to target parties via FinNet on 7 March 2003. Workshop Date : Monday, 24 March 2003 (Cantonese session)
06 Mar	"Answer to Frequently Asked Questions" Sessions To assist intermediaries, exempt dealers & exempt investment advisers in preparing for the implementation of the Securities and Futures Ordinance, the SFC will organize two "Answer to Frequently Answered Questions (FAQ)" sessions in March. Notice has been sent to target parties via FinNet on 6 March 2003. Session Date : Thursday, 20 March 2003 (English session) Wednesday, 26 March 2003 (Cantonese session)
2003 FEB
28 Feb	Consultation Conclusions on the Proposed Revisions to the Code of Conduct for Persons Registered with the Securities and Futures Commission Press Release
27 Feb	Circular to SFC's Registered Intermediaries and Exempt Persons - Comparison Table on Securities and Futures Ordinance Requirements for Licensing and Supervision of Intermediaries Press Release
19 Feb	Circular to Registered Commodity Dealers which are participants of Hong Kong Futures Exchange Limited - Securities and Futures (Insurance) Rules
18 Feb	SFC Newsletter - January/February 2003
14 Feb	SFC Quarterly Report (October to December 2002)
11 Feb	Access to e-FRR, e-Circulars and e-Consultation etc. provided by Securities and Futures Commission (SFC) will not be available from 7:00pm to 9:00pm on 12 Feb 03 due to scheduled server maintenance. Other services on FinNet are not affected. If you have any problems, please contact FinNet helpdesk @ 121-389.
07 Feb	SFC Enforcement Reporter - February 2003
2003 JAN
28 Jan	A Consultation Paper on the Proposed revisions to the Guidelines for Registered Persons Using the Internet to Collect Applications for Securities in an Initial Public Offering, Press Release.
24 Jan	A Consultation Paper on the Guidance Note on Position Limits and Large Open Position Reporting Requirements
23 Jan	Consultation Document on the Proposed Revisions to the Guidance Notes Issued by the Securities and Futures Commission on Money Laundering
22 Jan	Circular to Exempt Persons who are authorised financial institutions - Registration matters pertaining to the Securities and Futures Ordinance
22 Jan	Circular to Licensed Banks who are not Exempt Persons - Registration matters pertaining to the Securities and Futures Ordinance
22 Jan	Circular to Registered Corporations & Exempt Persons who are not authorised financial institutions - Licensing matters pertaining to the Securities and Futures Ordinance Press Release
10 Jan	Survey on Investment Research Activities Press Release
09 Jan	SFC Enforcement Reporter - January 2003
06 Jan	Access to e-FRR, e-Circulars and other services provided by Securities and Futures Commission (SFC) will NOT be available from 9:00pm 11 Jan 03 to 10:00am 12 Jan 03 due to the scheduled electrical maintenance in the SFC's data centre. Other services on FinNet are not affected. If you have any problems, please contact FinNet helpdesk @ 121-389.
2002 DEC
24 Dec	Invitation to SFO Training Seminar on 16 and 23 Jan 2003 - Please check your FinNet Account Mailbox for details
23 Dec	SFC Alert - December 2002
09 Dec	Report on the Enhancement of the Financial Infrastructure in Hong Kong (Steering Committee on the Enhancement of the Financial Infrastructure II)
05 Dec	SFC Enforcement Reporter - December 2002
2002 NOV
28 Nov	Circular to Registered Persons Regarding the Marketing of Hedge Funds
28 Nov	Circular to SFC's Registered Intermediaries - Revised Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements
28 Nov	Consultation Conclusions on the Hedge Funds Reporting Requirements
27 Nov	From now on up till 31 Dec 2002, PCCW offers FinNet members a great saving in buying Compaq desktop computers. [Expired]
21 Nov	Consultation Document on the Proposed Revisions to the Code of Conduct for Persons Registered with the Securities and Futures Commission
18 Nov	SFC Alert - November 2002
15 Nov	Document for consultation - Suggested control techniques and procedures for enhancing a firm's ability to comply with (i) Securities and Futures (Client Securities) Rules; and (ii) Securities and Futures (Client Money) Rules
14 Nov	SFC Quarterly Report (July to September 2002)
14 Nov	Circular to SFC's Registered Intermediaries - List of names for suspicious account reporting
04 Nov	SFC Enforcement Reporter - November 2002
2002 OCT
18 Oct	Member Directory Enhancement
15 Oct	SFC Alert - October 2002
12 Oct	Email Service Enhancement
2002 SEP
23 Sep	Consultation Conclusions on the Securities and Futures (Fees) Rules
18 Sep	SFC Alert - September 2002
13 Sep	Consultation Conclusions on the Draft Securities and Futures (Intermediary Information) Rules
13 Sep	Consultation Conclusions on the Draft Securities and Futures (Offences and Penalties) Regulations
13 Sep	Consultation Conclusions on the Draft Securities and Futures (Insurance) Rules
12 Sep	Consultation Conclusions on the Draft Securities and Futures (Miscellaneous) Rules
12 Sep	Consultation Conclusions on the draft Securities and Futures Ordinance (Amendment of Schedule 8) Order
05 Sep	Consultation Paper on Hedge Funds Reporting Requirements
2002 AUG
27 Aug	Notification of in-house training sessions by corporate licensees
15 Aug	SFC Alert - August 2002
14 Aug	SFC Quarterly Report (April to June 2002)
2002 JUL
30 Jul	SFC Consultation Document on the Securities and Futures (Fees) Rules
30 Jul	Consultation Conclusions on the Proposed Licensing Fees under the Securities and Futures (Fees) Rules
26 Jul	Consultation Paper on the Draft Securities and Futures (Offences and Penalties) Regulations
19 Jul	Consultation Paper on the Draft Securities and Futures (Intermediary Information) Rules
16 Jul	SFC Alert - July 2002
12 Jul	Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Exclusions) Regulation
12 Jul	Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
11 Jul	Consultation Conclusions on the Draft Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
2002 JUN
26 Jun	Consultation Document on The Securities and Futures (Insurance) Rules Press Release
21 Jun	Invitation for The Hong Kong financial Sector Exhibition (28 June - 2 July 2002)
18 Jun	SFC releases June Monthly Newsletter
14 Jun	SFC published Consultation Paper on the Securities and Futures (Financial Resources) Rules
06 Jun	SFC published Consultation Conclusions on the Draft Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
05 Jun	SFC published Consultation Paper on the Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
05 Jun	SFC published Consultation Conclusions on the Securities and Futures (Registration of Commission Disciplinary Orders) Rules
04 Jun	SFC published Consultation Conclusions on the Draft Securities and Futures (Professional Investor) Rules
03 Jun	SFC published Consultation Conclusions on the Draft Securities and Futures (Gold Purchase) Notice
2002 MAY
30 May	SFC published Consultation Conclusions on the Draft Securities and Futures (Associated Entities) Rules
24 May	SFC published Consultation Paper on the Securities and Futures (Short Selling Exemption and Stock Lending) Rules
17 May	Website Update e-mail Alert Service
16 May	SFC releases May Monthly Newsletter
16 May	The Securities & Futures Disclosure of Interests - Exclusion Regulations released for public consultation
15 May	SFC Annual Report 2001 - 2002
03 May	Roll-out of FinNet e-Circulars Service From 1 May 2002, all circulars issued by the Intermediaries and Investment Products Division of the SFC are disseminated to your designated FinNet email account only, unless you have previously indicated to the SFC in writing that you wish to receive circulars by fax or post
2002 APR
30 Apr	Special Securities and Futures Ordinance Section on SFC Website
29 Apr	Overview of the New Licensing Regime
18 Apr	SFC published Consultation Conclusions on Draft Securities & Futures (Licensed Persons and Registered Institutions) Rules
15 Apr	SFC releases April Monthly Newsletter
11 Apr	SFC published disciplinary fining guidelines and consultation conclusions
2002 MAR
28 Mar	The Draft Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules released for public consultation
28 Mar	The Draft Securities and Futures (Contracts Limits and Reportable Positions) Rules released for public consultation
28 Mar	The Draft Securities and Futures (Information) Rules released for public consultation
28 Mar	The Draft Securities and Futures (Gold Purchase) Notices released for public consultation
22 Mar	The Draft Securities and Futures (Associated Entities) Rules released for public consultation
15 Mar	SFC Publishes the Consultation Conclusion on the Securities and Futures (Unsolicited Calls - Exclusion) Rules
15 Mar	SFC releases March Monthly Newsletter
15 Mar	Reporting of Continuous Professional Training Compliance in the Annual Return
08 Mar	SFC consults the public on the proposed licensing fees under the Securities and Futures (Fees) Rules
04 Mar	SFC consults the public on the Proposed Amendments to the Current Financial Resources Rules
2002 FEB
20 Feb	SFC releases e-FRRR End User Survey Summary
15 Feb	The Draft Securities and Futures (Keeping of Records) Rules released for public consultation
11 Feb	SFC releases February Monthly Newsletter
08 Feb	SFC Quarterly Report (October - December 2001)
07 Feb	Transmission encryption (SSL) for FRRR submission With effect from 7 February 2002, transmission encryption using 128-bit SSL is available for submission to ensure confidentiality of data in transit. For permanent connection, effect on performance is minimal. For dial access users, data transmission will take around 50% longer in transmission time. For example, with 33K connection, the submission of FRR using SSL will take about 3 minutes longer.
01 Feb	SFC consults the public on The Draft Securities and Futures (Professional Investor) Rules
2002 JAN
30 Jan	2001 Intermediaries Activites Survey
18 Jan	SFC releases January Monthly Newsletter
10 Jan	SFC releases IT Deployment Survey Summary Report

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