Securities, Insurance, Investment Products & Mandatory Provident Fund (MPF)

Notes:

Type of Regulatory Documents:
SPM = Supervisory Policy Manual, CIR = Circular, GLN = Guideline, COP = Code of Practice, EN = Explanatory Note, PN = Practice Note, AG = Additional Guidance
Reference of Regulatory Documents:
X-X-N / X-N = SPM Module Code, N.N / N.N.N = Guideline No.

Type	Title	Issue Date	Ref
CIR	Provision of Staking Services for Virtual Assets from Custodial Services (PDF File, 131.0 KB)	07 Apr 2025
CIR	Investor Identification in IPO Subscription Services (PDF File, 161.5 KB)	28 Mar 2025
CIR	Provision of Southbound Scheme Services under Cross-boundary Wealth Management Connect Pilot Scheme by Authorized Institutions Incorporated outside Hong Kong (PDF File, 183.7 KB)	21 Mar 2025
CIR	Guidance on Selling of Accumulators (PDF File, 145.0 KB) Annex 1 - Regulatory requirements on selling of accumulators (PDF File, 388.7 KB) Annex 2 - Previous guidance superseded (PDF File, 114.6 KB)	14 Mar 2025
CIR	Indexed Universal Life Insurance Products for Professional Investors (PDF File, 216.5 KB) Annex - Application of provisions in the existing guidelines issued by the IA to the design and offering of IUL products by authorized insurers and licensed insurance intermediaries exclusively to Professiona (PDF File, 412.0 KB) Appendix - Important Facts Statement and Applicant’s Declarations (PDF File, 394.4 KB)	13 Mar 2025
CIR	Practice Note issued by the Insurance Authority (“IA”) on Illustration Rate Caps in Benefit Illustration for Participating Policies (PDF File, 143.8 KB) Encl.1 - IA circular of 28 February 2025 (PDF File, 131.3 KB) Encl.2 - IA’s Practice Note (PDF File, 132.3 KB)	28 Feb 2025
CIR	Asset and Wealth Management Activities Survey 2024 Conducted by the Securities and Futures Commission ("SFC") (PDF File, 124.0 KB)	20 Feb 2025
CIR	Circulars Issued by the Securities and Futures Commission on Listed Closed-ended Alternative Asset Funds and Listed Structured Funds (PDF File, 147.0 KB) Annex I - SFC’s circular on listed closed-ended alternative asset funds (PDF File, 227.8 KB) Annex II - SFC’s circular on listed structured funds (PDF File, 210.0 KB)	17 Feb 2025
CIR	Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts (PDF File, 142.8 KB) Encl. 1 SFC's circular on Deficiencies and substandard conduct noted in the management of private funds and discretionary accounts (PDF File, 278.6 KB) Encl. 2 Appendix to the SFC’s circular (PDF File, 355.8 KB)	28 Jan 2025
CIR	Streamlining of Audio-recording Requirements for Sale of Investment and Insurance Products (PDF File, 218.0 KB)	20 Dec 2024

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Last revision date : 07 April 2025