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Regulatory updates Circulars Consultations

12 May 2025

SFC reprimands and fines Sino-Rich Securities & Futures Limited $2 million and suspends its responsible officer for failures in relation to margin lending practices

8 May 2025

Pre-trial review fixed for prosecution of unlicensed advising on securities by finfluencer

6 May 2025

Joint announcement on launch of Technology Enterprises Channel

6 May 2025

SFC’s senior executives visit Abu Dhabi and Dubai to promote collaboration on virtual assets

Regulatory calendar

2 May 2025

Circular to Licensed Corporations Revised financial return form

28 Apr 2025

Circular to applicants seeking SFC authorisation of unit trusts and mutual funds - Formal adoption of Fund Authorisation Simple Track (FASTrack)

25 Apr 2025

Circular to Licensed Corporations - Updates to the technical specifications and gazette notice for Hong Kong’s Over-the-Counter (OTC) derivatives reporting requirements

7 Apr 2025

Circular on SFC-authorised funds with exposure to virtual assets

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.

30 Apr 2025

SFC proceeds with position limit increases for key stock index derivatives

17 Apr 2025

SFC and HKMA consult on annual update to Financial Services Providers list under OTC derivatives regulatory regime

28 Mar 2025

SFC proposes enhancements to targeted tools to address corporate misconduct

24 Feb 2025

SFC proposes registrar fee limits under uncertificated securities market regime

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Account Opening

Anti-Money Laundering & Counter-Financing of Terrorism

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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")

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Fraud alert :	SFC warns of CLEXP, Linkbex
Unlicensed VATP alert :	SFC warns of iSCAT