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
  • 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
  • Forms
  • 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
  • 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
  • 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

• Circulars

• Open-ended fund companies

  • OFC Structure
  • Regulatory requirements
  • List of Registered OFCs
  • Post-registration matters
  • Useful materials

• Consultations and conclusions

• Real estate investment trusts

  • Circular
  • Consultations and conclusions

• FAQs

• Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts

• Forms & checklists

• List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)

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

• Mainland-Hong Kong Stock Connect

• Consultations and conclusions

• FAQs

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