Order Handling and Execution

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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.

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Order Handling and Execution

Circulars FAQs Thematic Reports

Issue Date	Publication
22 Dec 2022	Data Standards for Order Life Cycles
18 Dec 2020	Client Facilitation
31 Jul 2019 (Updated 22 Dec 2022)	Data Standards for Order Life Cycles
28 Jul 2003	Keeping of Records Rules
17 Mar 2003	Keeping of Records Rules
16 Jul 2001 (updated 15 Oct 2024)	Code of Conduct

Issue Date	Publication
Jan 2022	Report on the SFC review of global financial groups foreign exchange activities in Hong Kong
Jun 2019	Report on the Thematic Review of Prime Services and Related Equity Derivatives Activities in Hong Kong
Dec 2018	Report on the review of internal controls for the protection of client assets and supervision of account executives
Apr 2018	Report on the Thematic Review of Alternative Liquidity Pools in Hong Kong
Jan 2018	Report on the Thematic Review of Best Execution

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