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Answers to frequently-asked questions (FAQs) are provided to offer a better understanding of various regulatory areas under our jurisdiction and SFC corporate matters. They are divided by topics as follows: 

› Intermediaries

    › Licensing

    › Supervision

› Enforcement

› Market infrastructure & trading

› OTC derivatives regime

› Investor identification and OTC securities reporting

› Listings & takeovers

› Part XV - Disclosure of interests

› Publicly offered investment products

› Mainland-Hong Kong Mutual Recognition of Funds

› Mainland-Hong Kong Stock Connect

› CFTC exemption to deal directly with U.S. customers

› Business continuity/contingency information

› Career

› Investor compensation

› SFC corporate matters

The FAQs in this section are designed to assist you to understand the policy of our staff on implementing certain provisions of the Securities and Futures Ordinance and related subsidiary legislation. The answers tend to be framed as general statements and do not take into account your particular circumstances. Some provisions have important exceptions or qualifications that the answers may refer to but that may apply in your circumstances.

The answers should not be regarded as a substitute for obtaining professional legal advice. You should seek independent legal or other professional advice before taking action on matters to which the answers may be relevant, or if you have any doubt about how the law applies to you. You are encouraged to read "the Disclaimer" in this site before reading the answers.

Last update: 27 May 2020

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