Information for firms and the market on COVID-19
The Securities and Futures Commission (SFC) is closely monitoring the COVID-19 situation and will take the necessary steps to protect investors and ensure the orderly operation of our markets and the continuity of our operations during this challenging time.
Licensed corporations and individuals as well as other market participants are generally expected to make all reasonable efforts to maintain "business as usual" in relation to their regulatory obligations and all regulatory filing, reporting and other deadlines. Please communicate with us promptly if you encounter specific difficulties.
This page provides information published by the SFC in relation to the COVID-19 situation, including statements, press releases and guidance in the form of circulars and FAQs. It will be updated as necessary.
For licensed firms and individuals:
- Circular to licensed corporations - SFC-HKMA joint product survey 2021: extension of submission deadline (11 March 2022)
- Circular to licensed corporations - Importance of business continuity planning amidst latest COVID-19 situation (7 March 2022)
- Circular to licensed corporations and associated entities - Submission of financial statements, other documents and auditor’s report under section 156(1) of the Securities and Futures Ordinance (4 March 2022)
- FAQs on licensing related matters in light of the COVID-19 pandemic (4 March 2022)
- Circular to licensed corporations - Updates to the reminder of business continuity planning in view of COVID-19 Vaccination Programme (18 February 2022)
- Circular to licensed corporations - Cancellation of Quarantine Exemption Arrangements (1 November 2021)
- Circular to licensed corporations - Reminder of business continuity planning in view of COVID-19 Vaccination Programme (28 October 2021)
- Circular to intermediaries - Operational resilience and remote working (4 October 2021)
- Circular to licensed corporations - Further updates to the Exemption Scheme (19 July 2021)
- Circular to licensed corporations - Updates to the Exemption Scheme (21 June 2021)
- Circular to licensed corporations - Business continuity planning in view of COVID-19 Vaccination Programme (1 June 2021)
- Circular to licensed corporations - Exemption for senior executives of licensed corporations - Compulsory Quarantine of Certain Persons Arriving at Hong Kong Regulation (Cap. 599C) /Compulsory Quarantine of Persons Arriving at Hong Kong from Foreign Places Regulation (Cap. 599E) (28 May 2021)
- Circular to licensed corporations - Margin requirements for non-centrally cleared OTC derivative transactions (7 May 2020)
- Circular to intermediaries - Management of cybersecurity risks associated with remote office arrangements (29 April 2020)
- Circular to intermediaries - Extended deadlines for implementation of regulatory expectations and reminder of order recording requirements under COVID-19 pandemic (31 March 2020)
- Circular to intermediaries - Reminder of important obligations to ensure suitability and timely dissemination of information to clients (27 March 2020)
- Email to intermediaries - Compliance with the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules - Suspension of overseas postal service (26 March 2020)
- Submission of audited accounts and other documents under section 156(1) of the SFO (7 February 2020)
- Email to intermediaries - Compliance with the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules - Suspension of postal service in Hong Kong (31 January 2020)
For listed companies:
- Joint Statement in relation to General Meetings in light of the Prevention and Control of Disease (Prohibition on Group Gathering) Regulation (1 April 2020)
- Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic (16 March 2020)
- Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent (4 February 2020)
For SFC-authorized funds:
- Circular to issuers of SFC - authorized investment products (18 February 2022)
- Circular to issuers of SFC - authorized paper gold schemes (20 April 2020)
- Circular to management companies and market makers of SFC - authorized exchange traded funds (17 April 2020)
- FAQs relating to Investment - Linked Assurance Schemes - Novel coronavirus (COVID-19) (3 April 2020)
- FAQs relating to Paper Gold Schemes - Novel coronavirus (COVID-19) (3 April 2020)
- FAQs relating to MPF Products - Novel coronavirus (COVID-19) (2 April 2020)
- FAQs relating to Pooled Retirement Funds - Novel coronavirus (COVID-19) (2 April 2020)
- FAQs on Application Procedures for Authorization of Unit Trusts and Mutual Funds under the Revamped Process - Novel coronavirus (COVID-19) (1 April 2020)
- FAQs on Post Authorization Compliance Issues of SFC - authorized Unit Trusts and Mutual Funds - Novel coronavirus (COVID-19) (1 April 2020)
- Circular to management companies and trustees and custodians of SFC - authorized funds (27 March 2020)
For the general public:
- SFC identifies vaccination as key element of operational risk management (1 June 2021)
- SFC supports early vaccination drive (31 May 2021)
- Arrangements relating to SFC’s public services (1 December 2020)
- Statement in relation to HSBC Holdings plc (15 May 2020)
- SFC regulatory response to COVID-19 (21 April 2020)
- SFC issues guidance to fund industry amidst COVID-19 outbreak (27 March 2020)
- Arrangements relating to SFC's public services (5 February 2020)
Last update: 11 Mar 2022