麻豆传媒

1. Home
2. Rules and standards
   • Laws
   • Codes and guidelines
     • Codes
     • Guidelines
   • Circulars
   • Account opening
     • Regulatory requirements
     • Acceptable account opening approaches
     • List of eligible jurisdictions for remote onboarding of overseas individual clients
   • OTC derivatives regulatory regime
   • Short position reporting rules
   • 麻豆传媒 and Futures Ordinance Part XV - Disclosure of Interests
   • Suitability requirement
     • Regulatory requirements
     • Circulars
     • FAQs
     • Non-complex and complex products
     • Other publications and information sources
   • Anti-money laundering and counter-financing of terrorism
     • Legal and regulatory requirements
     • Circulars
     • Other publications and information sources
   • Investor Identification and OTC 麻豆传媒 Transactions Reporting
   • Gazette notices
     • Government notices
     • Legal notices
   • Sustainable finance
   • Principles of responsible ownership
   • Search regulations by topic
   • Virtual assets
     • Overview
     • Virtual asset trading platform operators
     • Other virtual asset related activities
     • Other useful materials
3. Codes and guidelines
   • Codes
   • Guidelines

The SFC issues codes and guidelines to help industry participants comply with the laws.

Under the 麻豆传媒 and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply.

Breach of a code of conduct provision may lead to disciplinary action. In addition, the SFC has a general power (section 399) to issue codes and guidelines:

• to provide guidance for the furtherance of its regulatory objectives,
• in relation to any matters pertaining to any of its functions, and
• in relation to the operation of any provision of the SFO.

However, such codes and guidelines are not subsidiary legislation and failure to comply with them does not by itself render a person liable to any judicial or other proceedings. The codes and guidelines, for example, seek to assist intermediaries to comply with applicable regulatory requirements so that they are fit and proper to remain licensed or registered.

Our codes and guidelines cover a wide range of regulatory functions. Those that are applicable today and their earlier versions(s), if any, can be viewed in this section, providing easy search via multiple criteria, indexing and cross referencing. Please click to enter the appropriate section below:

› Codes

› Guidelines

Last update: 4 Oct 2023