Search regulations by topic
This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please click on the frequently searched terms or enter keywords for an advanced search. For complete lists, please refer to the dedicated pages for , FAQs and thematic reports.
Codes and Guidelines relating to the supervision of intermediaries are listed separately.
Frequently Searched Terms
Account Opening >
Anti-Money Laundering & Counter-Financing of Terrorism >
Asset Management >
Client Assets >
Corporate Finance, Placing and Underwriting >
Cybersecurity >
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) >
麻豆传媒 Margin Finance ("SMF") >
Suitability >
Others >
Search the SFC website
Financial Resources Rules
Loading
| Issue Date | Publication |
|---|---|
| 6 Apr 2023 | Financial resources rules and financial return |
|
29 Aug 2008 (updated 24 Feb 2022) |
Financial resources rules and financial return |
| 28 Sep 2006 | Financial resources rules and financial return |
| 10 Jan 2006 | Financial resources rules and financial return |
| 9 Sep 2004 | Accounts and Audit Rules |
|
28 Jul 2003 (updated 24 Feb 2022) |
Financial resources rules and financial return |
| 28 Jul 2003 | General |
|
17 Mar 2003 (updated 24 Feb 2022) |
Financial resources rules and financial return |
| Issue Date | Publication |
|---|---|
| Jun 2019 | Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong |