5 Nov 2023 (Sun)

8:00 AM – 6:00 PM

• Circulars
• Complaint form
• Consultations and conclusions
• Fintech enquiry form
• List of publicly offered investment products
• News and announcements
• Public register of licensed persons and registered institutions
• WINGS, including:
  - Applications for exemption from Part XV of the SFO
  - Business and risk management questionnaire
  - Financial Returns
  - Investment product information
  - Joint product survey by the SFC and the HKMA
  - Key risk indicator survey
  - Licensing applications, notifications and returns
  - OTC Securities Transactions Reporting
  - Paragraph 12.5 notifications/ VA Trading Platform Operator Notifications
  - Rule 22 dealing disclosures
  - S181 return by brokers on trading information
  - Short position reporting