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Regulatory Guides

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

Notes:

  1. 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
  2. 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
Circular Issued by the Insurance Authority ("IA") on Cessation of Phase 2 of the Temporary Facilitative Measures ("TFM") to Tackle the Outbreak of COVID-19 (PDF File, 149.8 KB)
04 Apr 2023
CIR
Observations from Review of Selling Processes of Investment Products (PDF File, 145.6 KB)
27 Feb 2023
CIR
Asset and Wealth Management Activities Survey 2022 Conducted by the SFC (PDF File, 143.8 KB)
17 Feb 2023
CIR
Findings of Mystery Shopping Programme on Selling Practices in respect of Qualifying Deferred Annuity Policies and Tax-deductible Voluntary Contributions in Hong Kong (PDF File, 239.5 KB)
23 Dec 2022
CIR
SFC and HKMA joint product survey 2022 (PDF File, 169.4 KB)
09 Dec 2022
CIR
Frequently Asked Questions on Investor Protection Measures in respect of Sale of Investment Products (PDF File, 145.4 KB)
21 Oct 2022
CIR
Sale and Distribution of Debt Instruments with Loss-absorption Features and Related Products (PDF File, 149.3 KB)
21 Oct 2022
CIR
Circular Issued by the Insurance Authority (“IA”) on Extension of Phase 2 of the Temporary Facilitative Measures (“TFM”) to Tackle the Outbreak of COVID-19 (PDF File, 148.7 KB)
09 Sep 2022
CIR
Circular Issued by the Securities and Futures Commission to Licensed Corporations on Review of Online Brokerage, Distribution and Advisory Services (PDF File, 163.8 KB)
01 Sep 2022
CIR
Selling of Protection Linked Plan (PDF File, 322.8 KB)
08 Jul 2022
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Last revision date : 04 April 2023