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description=The Securities and Futures Commission (SFC) is the independent statutory body responsible for the regulation of Hong Kong s securities and futures markets.;

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home securities futures commission of hong kong latest sfc alerts https investmentfuture com https fosunholdings com brandon khor limited ai trading hub go gold ai ace fortune and others more securities and futures commission a a a eng 繁 簡 sitemap contact us faqs forms lodge a complaint investsmart search about the sfc regulatory functions rules and standards published resources news and announcements career alert list eng 繁 簡 search alert list about the sfc our role regulatory objectives who we regulate how we function regulatory approach regulatory tools public consultation our structure corporate governance governance structure chairman s role and responsibilities ceo s role and responsibilities principles independent panels and tribunals performance pledges statement on responsible ownership corporate social responsibility csr committee people and the community environmental protection activities women s network regulatory collaboration chinese mainland mainland hong kong stock connect mainland hong kong mutual recognition of funds cooperative arrangements with the csrc and mainland exchanges cooperative arrangements with other mainland regulators cross boundary wealth management connect local international investigatory assistance and exchange of information exchange of information iosco mmou market or product related arrangements iosco emmou fintech cooperation agreements contact us public enquiries further guidance and sources of information regulatory functions corporates dual filing companies winding up and miscellaneous provisions ordinance exemptions corporate disclosure guidelines on disclosure of inside information consultation service waiver takeovers and mergers dealing disclosures decisions and statements disciplinary proceedings forms documents on display exempt status offer periods practice notes performance pledges post vet list secondary listed companies takeovers panel and related committees transaction announcements and documents takeovers bulletin consultations and conclusions unlisted shares debentures circulars consultations and conclusions faqs intermediaries licensing do you need a licence or registration types of intermediary and licensed individual application procedures ongoing obligations quick reference guides to licensing requirements wings annual licensing fees register of licensees registered institutions list of modifications or waivers of licensing requirements circulars consultations and conclusions forms faqs supervision supervisory approach supervisory actions modifications or waivers list of comparable otcd jurisdictions cross boundary wmc list of jurisdictions with comparable otcd margin requirements faqs circulars consultations and conclusions forms publications and statistics search regulations by topic products list of publicly offered investment products specific information about unlisted structured investment products mutual recognition of funds arrangements list of recognised jurisdiction schemes and inspection regimes products key facts statements kfs format of illustration document for ilas information disclosure templates for investment portfolios pooled retirement funds list of esg funds open ended fund companies ofc structure regulatory requirements post registration matters useful materials real estate investment trusts circular consultations and conclusions grant scheme for open ended fund companies and real estate investment trusts circulars consultations and conclusions forms checklists faqs list of eligible collective investment schemes under the new capital investment entrant scheme new cies quick reference to fastrack applications markets market statistics and research statistics research papers approved or authorised entities register of automated trading services authorized under part iii of the securities and futures ordinance list of designated central counterparties for the purposes of mandatory clearing under part iiia of the securities and futures ordinance short position reporting list of specified shares aggregated reportable short positions of specified shares otc derivatives regulatory regime faqs mainland hong kong stock connect consultations and conclusions enforcement disciplinary proceedings secrecy provisions enforcement actions enforcement news current cold shoulder orders current disqualification orders enforcement statistics have you seen these people people subject to arrest warrants persons of interest upcoming hearings calendar circulars consultations and conclusions rules and standards laws codes and guidelines codes guidelines circulars account opening regulatory requirements acceptable account opening approaches list of eligible jurisdictions for remote onboarding of overseas individual clients otc derivatives regulatory regime short position reporting rules securities and futures ordinance part xv disclosure of interests suitability requirement regulatory requirements circulars faqs non complex and complex products list of specified jurisdictions minimum information to be provided and warning statements other publications and information sources anti money laundering and counter financing of terrorism legal and regulatory requirements circulars other publications and information sources investor identification regime for the securities market and otc securities reporting investor identification regime for the exchange traded derivatives market gazette notices government notices legal notices sustainable finance principles of responsible ownership search regulations by topic virtual assets overview virtual asset trading platform operators virtual asset consultative panel other virtual asset related activities other useful materials uncertificated securities market frequently asked questions about usm approved securities registrars usm legislation code and guidelines usm consultations usm information papers by hkex and the federation of share registrars outreach and publicity on usm published resources corporate publications sfc s strategic priorities for 2024 2026 annual reports quarterly report corporate brochure open ended fund company the corporate investment fund vehicle in hong kong newsletters enforcement reporter sfc compliance bulletin intermediaries sfc regulatory bulletin takeovers bulletin consultations reports and surveys other reports and surveys research papers statistics speeches faqs sfc in action news and announcements news all news corporate news enforcement news other news policy statements and announcements high shareholding concentration announcements decisions statements and disclosures current cold shoulder orders events career why the sfc join us as an experienced professional current openings join us as an executive trainee join us as an intern summer and winter internship programme sustainable finance internship programme working at the sfc core values a socially responsible employer people and the community csr activities environmental protection csr committee what the sfc does regulatory objectives who we regulate how we function regulatory philosophy regulatory tools public consultation contact us faqs faqs forms lodge a complaint investsmart search popup advanced search keywords advanced search all of these words any of these words the exact phrase none of these words popup search form close regulatory balance to drive resilient and future ready markets annual report 2025 26 pause investsmart discover subscribe to suspicious vatps alerts to stay informed discover quarterly report apr jun 2026 discover annual licensing fees discover list of licensed virtual asset trading platforms discover vatp application period has ended under transitional arrangements discover quick reference guides to licensing requirements discover sfc s strategic priorities for 2024 2026 discover warning scammers impersonating sfc senior executives discover warning impersonating sfc staff discover pause subscriptions new releases regulatory updates circulars consultations 16 oct 2026 sfc welcomes re appointment of non executive directors 16 oct 2026 sfc welcomes hkex s proposal to implement t 1 settlement in hong kong s stock market 16 oct 2026 new speech by kelvin wong remarks at the ifapc s 25th anniversary and outstanding listed companies award 2026 13 oct 2026 sfc recognises progress in sponsors work and urges sustained vigilance more regulatory calendar 13 oct 2026 circular to licensed corporations carrying out sponsor work and engaging in bookbuilding and placing activities 13 oct 2026 circular to licensed corporations sfc licensed virtual asset service providers and associated entities anti money laundering counter financing of terrorism anti money laundering and counter financing of terrorism webinar 30 sep 2026 circular to intermediaries roadmap for implementing the hong kong investor identification regime for the exchange traded derivatives market 30 sep 2026 circular to intermediaries obtaining client consent under the hong kong investor identification regime for the exchange traded derivatives market hkidr dm more please note that anti money laundering and counter financing of terrorism aml cft sanctions related circulars are only available on the complete list of aml cft circulars which can be found here 12 oct 2026 sfc proceeds to strengthen targeted tools to tackle ipo related and other corporate misconduct 7 oct 2026 sfc to proceed with enhancements to hong kong s retail fund regime code 23 jun 2026 sfc concludes consultation on the investor identification regime for hong kong s exchange traded derivatives market 5 jun 2026 sfc and hkma conclude joint consultation on amendments to clearing rules for over the counter derivative transactions more search licensee search alerts full list investment product list search regulations by topics individual corporate enter keywords here search details name search type search search for unlicensed entities select a category select a category fake regulators and or market operators others phishes suspicious websites suspicious virtual asset trading platforms unlicensed entities search full list product search issuer company search enter keywords here search details search regulations by topics details account opening anti money laundering counter financing of terrorism asset management client assets corporate finance placing and underwriting cybersecurity depositary services for relevant ciss financial resources rules know your client client agreement order handling and execution otc derivatives professional investors risk management other than smf securities margin finance smf suitability others pause sfc fintech contact point explore now sustainable finance explore now licensing quick reference guides to licensing requirements explore now global engagement explore now wings a common platform for sfc electronic forms and submission services explore now investsmart explore now i want to apply for a licence report short positions 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