| 2008
DECEMBER |
|
Circular to All SEHK Exchange Participants Reminder to ensure compliance with key requirements |
|
Circular to Licensed Corporations - Calendar card outlining critical questions investors should ask before making investment decisions
|
|
Second Quarterly Report for the Financial Year 2008-09 |
| 2008
NOVEMBER |
|
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 |
|
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 |
|
Circular to Licensed Corporations - Mandatory Electronic Submission of Financial Returns
|
| 2008
OCTOBER |
|
SFC Enforcement Reporter - October 2008 |
|
Circular to All Licensed Corporations and Registered Institutions Regarding Supervision and Risk Management
|
|
Circular to All Licensed Corporations - Engaged in Hedge Funds Management Business |
|
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 |
|
Takeovers Bulletin - September 2008 |
|
Circular to Licensed Corporations ¡V Application for SFC e-Certificate ¡V Persons who are required to sign and submit half-yearly return
Annex 1
|
|
Circular to All Licensed Corporations and Registered Institutions - Short Selling Requirements and Obligations under the Securities and Futures Ordinance |
|
Invitation to Securities Dealers and Securities Margin Financiers - Seminar on Credit Controls of Securities Margin Financing Providers and Related Key Regulatory Requirements
Application Form
|
|
Circular to All Licensed Corporations and Registered Institutions |
|
Circular to All Licensed Corporations and Registered Institutions: Guidance on disclosure of relevant material information by licensed or registered persons to their clients
|
|
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 |
|
Circular to Licensed Corporations - Gazette Notices of New e-Submission Regime and Test Run of New e-FRR System
Annex 1
Annex 2
|
|
First Quarterly Report for the Financial Year 2008-09 |
|
SFC Enforcement Reporter - August 2008
|
| 2008
JULY |
|
Circular to Licensed Corporations - Application for SFC e-Certificate and Training of Electronic Submission of Financial Returns
Annex 1
Annex 2
Annex 3 |
|
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
|
|
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 |
|
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
|
|
Takeovers Bulletin - June 2008
|
|
Circular to Licensed Corporations and Associated Entities - Electronic Submission of Financial Returns
Annex 1
Annex 2
|
|
SFC Annual Report 2007 - 2008
|
| 2008
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
|
|
SFC Bulletin - May 2008
|
|
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 |
|
Information from HKSI to Licensed Corporations - "HKSI Mission to Kuala Lumpur 2008"
|
|
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
|
|
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
|
|
Takeovers Bulletin - March 2008
|
| 2008
MARCH |
|
Circular to Licensed Corporations - Announcement "CEPA Arrangements for Hong Kong Professionals - Mainland Examination & Training" by Hong Kong Securities Institute
|
|
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
|
|
Circular to Licensed Corporations - Investor Leaflet ¡§Equity-linked Instruments¡¨
|
|
Consultation Conclusions on Electronic Submission of Financial Returns
Press Release
|
|
SFC Bulletin - March 2008
|
|
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 |
|
Third Quarterly Report for the Financial Year 2007-08
|
|
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
|
|
Circular to All Licensed Corporations - Implementation of prudent risk management policies and procedure
|
|
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
|
|
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 |
|
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
|
|
SFC
Enforcement Reporter - January 2008
|
|
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 |
|
Takeovers
Bulletin - December 2007
|
|
Second Quarterly Report for the Financial Year 2007-08
|
| 2007
NOVEMBER |
|
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
|
|
Consultation
Paper on Electronic Submission of Financial Returns
Press Releases
Personal Information Collection Statement
|
|
SFC
Bulletin - November 2007
|
|
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 |
|
Circular
to All Licensed Corporations - Reminder of Importance
of Prudent Risk Management
|
|
Circular
to Licensed Corporations - Investor Leaflet ¡§Index
Tracking Exchange Traded Funds¡¨
|
|
SFC
Enforcement Reporter - October 2007
|
|
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering / Combating Terrorist Financing FATF Statement
on Iran
|
|
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering / Combating Terrorist Financing Good Market
Practices Identified from Self-Assessment Program
Attachment
|
|
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering / Combating Terrorist Financing United
Nations Sanctions (Iran) Regulation (¡§the Iran Regulation¡¨)
Attachment
|
|
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 |
|
Takeovers
Bulletin - September 2007
|
|
Consultation
Paper on proposed amendments to the Codes on Takeovers
and Mergers and Share Repurchases |
|
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 |
|
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
|
|
Circular to Licensed Corporations and Registered Institutions
- Investor Leaflet "Hedge Funds"
|
| 2007
AUGUST |
|
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering / Combating Terrorist Financing Enhancement
of Website and Obligation to Report Suspicious Transactions |
|
SFC
Bulletin - August 2007
|
|
First
Quarterly Report for the Financial Year 2007-08
|
|
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 |
|
Circular
to Licensed Corporations - Investor Leaflet "Fund
Investing" |
|
SFC
Enforcement Reporter - July 2007
|
|
Circular
to Intermediaries Acting as Sponsors - Increase in
the minimum paid-up share capital requirement for
sponsors |
|
Circular
to Licensed Corporations - Investor Leaflet ¡§IPO Investing¡¨
|
| 2007
JUNE |
|
Circular
to Licensed Corporations - Investor Leaflet ¡§Know
Your Broker¡¨ |
|
Circular
to Licensed Corporations and Associated Entities Apply
for a New Password to Access Joint Financial Intelligence
Unit¡¦s New Website
Attachment |
|
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 |
|
SFC
Annual Report 2006-07 |
| 2007
MAY |
|
SFC
Alert - March/April 2007 |
|
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 |
|
Takeovers
Bulletin - May 2007 |
|
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering Training Seminar
Attachment - Invitation letter, Programme and Enrolment
Form |
|
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 |
|
Circular
to Licensed Corporations - Investor Leaflet ¡§How to
Make a Complaint¡¨ |
|
SFC
Enforcement Reporter - April 2007 |
|
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 |
|
SFC
Alert - January/February 2007
|
|
SFC
Enforcement Reporter - March 2007
|
|
HKSI's
letter to Securities and Futures Professionals on
CEPA Arrangements for Hong Kong Professionals - Mainland
Examination and Training |
| 2007
FEBRUARY |
|
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
|
|
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 |
|
Third
Quarterly Report for the Financial Year 2006 - 2007
|
|
SFC
Enforcement Reporter - February 2007 |
| 2007
JANUARY |
|
SFC
Enforcement Reporter - January 2007
|
|
SFC Alert - November/December 2006
|
|
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 |
|
The
new sponsor regime
|
|
Circular
to All Licensed Corporations
|
|
SFC
Enforcement Reporter - December 2006
|
|
Implementation
of the new sponsor regime
|
|
Circular
to Licensed Corporations Providing Online Trading
Services Reminder of Adequate Information Security
Measures to Combat Possible Denial-of-Service Attacks
|
| 2006
NOVEMBER |
|
|
Circular to Licensed Corporations and Associated
Entities Anti-Money Laundering / Combating Terrorist
Financing Identification and Reporting of Suspicious
Transactions
|
|
|
SFC Enforcement Reporter - November 2006
|
|
|
Second Quarterly Report for the Financial Year 2006-2007
|
|
|
Wiser
Financial News Center - New Promotional Package for
Single User at HK$400 per month
(Information provided by WISER INFORMATION
LTD)
|
|
|
SFC Alert - September/October 2006 |
| 2006
OCTOBER |
|
|
SFC Enforcement Reporter - October 2006
|
|
|
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
|
|
|
Press Release - New Regime for Sponsors
|
| 2006
SEPTEMBER |
|
|
Circular to All Licensed Corporations - Requirements
under certain amendment rules and amended Code of
Conduct will come into effect on 1 October 2006
|
|
|
SFC Enforcement Reporter - Sepember 2006
|
|
|
Circular to Licensed Corporations and Registered
Institutions - Emergency Contact Person
|
|
|
SFC Quarterly Bulletin - Summer 2006
|
|
|
Circular to intermediaries licensed or registered
for Type 6 regulated activity - Sponsor regime
|
|
|
Securities and Futures (Financial Resources) (Amendment)
Rules 2006 for Sponsors
|
|
|
Circular to All Licensed Corporations - Be alert
to individuals pretending to be SFC staff
|
| 2006
AUGUST |
|
|
SFC Alert - July/August 2006
|
|
|
SFC Enforcement Reporter - August 2006
|
|
|
SFC Quarterly Report for the Financial Period 1 April
to 30 June 2006
|
|
|
Circular to All Licensed Corporations Licensed for
Dealing in Securities
|
| 2006
JULY |
|
|
SFC Enforcement Reporter - July 2006
|
|
|
Circular to All Licensed Corporations - Prepare for
Implementation of the New Requirements to Address
Risks Arising from Securities Margin Financing
|
|
|
Invitation-To- Securities Dealers and Securities
Margin Financiers-Invitation to Seminars on the New
Requirements to Address Risks Arising from Securities
Margin Financing
|
|
|
Circular to Licensed Corporations and Associated
Entities Anti-Money Laundering Training Seminar
Attachment 1 - Invitation Letter and Programme
Attachment 2 - Registration Form
|
|
|
Update on HKSI's Breakfast Briefing on Business Continuity
Planning - The New Paradigm
|
|
|
HKSI's Breakfast Briefing on Business Continuity
Planning - The New Paradigm (Link to the document
is sent separately to the target recipients only)
|
|
|
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)
|
|
|
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
JUNE |
|
|
HKSI's Seminars on Update (1) Proposed Measure to
Address Risks Arising from Securities Margin Financing
(2) Preventing Misappropriation of Client Assets
|
|
|
SFC Enforcement Reporter - June 2006
|
|
|
SFC Alert - May/June 2006
|
|
|
Circular to All Licensed Corporations
|
|
|
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
|
|
|
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)
|
|
|
SFC Quarterly Bulletin - Spring 2006
|
| 2006
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
|
|
|
SFC Enforcement Reporter - May 2006
|
|
|
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 |
|
|
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
|
|
|
SFC
Enforcement Reporter - April 2006 |
|
|
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 |
| 2006
MAR |
|
|
Circular
to All Licensed Corporations - Importance of Prudent
Risk Management |
|
31 MAR |
Hong Kong's Derivative Warrants Market ¡V the Way
Forward
Results of the Consultation on the SFC's Six-Point
Plan
Press Release |
|
|
Guidance
Note on Cooperation with the SFC - March 2006 |
|
14 MAR |
SFC Enforcement Reporter - March 2006 |
|
|
Eminent
Speakers for Panels/Reminder: Early Bird Registration
by 15 March
|
|
9 MAR |
SFC
Alert - January/February 2006
|
|
|
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
|
|
|
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 |
|
|
SFC
Quarterly Bulletin - Winter 2005 |
|
20 Feb |
Invitation
to the 31st IOSCO Annual Conference |
|
|
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 |
|
|
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 |
|
|
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 ¡V Aggregate net value of assets under
management |
|
|
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 |
| 2005
DEC |
|
21 Dec |
SFC
Alert - November/December 2005 |
|
|
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 |
|
|
SFC
Enforcement Reporter - December 2005 |
|
19 Dec |
Circular
to Licensed Corporations and Associated Entities Anti-Money
Laundering / Combating Terrorist Financing |
| 2005
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 ¡V 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
|
|
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
|
|
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¡¨) |
|
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 |
|
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 |
|
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
“l"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
|
|
|
"All about Stock Investing" VCD and Investor
Leaflet "Know What You Pay For" |
| 2005
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
|
|
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
|
|
|
Circular to all Licensed Corporations Implementation
of prudent risk management policies and procedures |
|
|
SFC Enforcement Reporter - December 2004 |
|
|
Circular to deemed licensed corporations which have
not submitted migration applications - Client assets
arrangement in anticipation of business cessation |
|
|
SFC Alert - November/December 2004 |
|
|
Circular to Licensed Corporations and Registered Institutions
- Courses to Facilitate Former Practitioners to Re-enter
the Industry and New Recognised Continuous Professional
Training Providers |
|
|
"Foundations in Wealth Management" VCD and
Investor Education Publications |
|
|
Circular to Licensed Corporations which are licensed
for Type 6 regulated activity - Theme Inspection of
Sponsors |
| 2004
NOV |
|
|
A Consultation Paper on a review of the Codes on Takeovers
and Mergers and Share Repurchases |
|
|
Circular to Licensed Corporations which are licensed
for Type 1 or 8 regulated activity SFC¡¦s Advice to Securities
Firms Offering IPO Financing |
|
|
Consultation Conclusions on the Draft Guidelines on
Good Disclosure of Securities Services Related Fees
and Charges
Press Release |
|
|
Circular to SFC¡¦s Licensed Intermediaries Telephone
Recording Requirements |
|
|
SFC Quarterly Bulletin - Autumn 2004
Statistics |
|
|
SFC Enforcement Reporter - November 2004 |
|
|
SFC Quarterly Report for the Financial Period 1 July
to 30 September 2004 |
|
|
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 |
|
|
Circular to Licensed Corporations and Registered Institutions
- Consultation Conclusions on the Regulatory Framework
for Addressing Analyst Conflicts of Interest
|
| 2004
OCT |
|
|
Circular to Licensed Corporations - Facilitation of
Lodgment of Annual Returns by Representatives
|
|
|
Circular to deemed licensed corporations which have
not submitted migration applications
|
|
|
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
|
|
|
Circular to Licensed Corporations and Associated Entities
United Nations Security Council Resolution 1532
|
|
|
SFC Enforcement Reporter - October 2004
|
|
|
SFC Alert - September/October 2004
|
| 2004
SEP |
|
|
Circular to Licensed Corporations and Associated Entities
Anti-Money Laundering / Combating Terrorist Financing
US President¡¦s Executive Order 13224
|
|
|
Consultation Paper on Proposed Measures to Address Risks
Arising from Securities Margin Financing
Press Release
|
|
|
SFC Enforcement Reporter - September 2004
|
|
|
Circular to Licensed Corporations and Registered Institutions
- Intermediaries Activities Survey 2003/04
|
| 2004
AUG |
|
|
Circular to Certain Deemed Licensed Corporations (Sole
Proprietors) - Migration into the New Regime under the
Securities and Futures Ordinance
|
|
|
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
|
|
|
SFC Quarterly Bulletin - Summer 2004
Statistics
|
|
19 Aug |
SFC Alert - July/August 2004
|
|
|
SFC Quarterly Report for the Financial Period 1 April
to 30 June 2004 |
| 2004
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)
|
|
|
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")
|
|
|
SFC Enforcement Reporter - July 2004
|
|
06 Jul |
Leaflet on the Investor Compensation Fund
|
| 2004
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 |
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
|
|
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
|
|
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 ¡V 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
|
| 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 ¡V 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
¡V 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 ¡V 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 ¡V "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
¡V "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
|
|
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 |
|
15 Oct |
SFC
Alert - October 2002
|
| 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)
|
|
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
|
Vision
