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	Revised Return of Securities Related Activities (Securities Return) (PDF File, 118.5 KB) Annex 1 - Revised Securities Return Template (PDF File, 634.9 KB) Annex 2 - Revised Completion Instructions (PDF File, 150.0 KB) Annex 3 - Previous circulars superseded (PDF File, 172.6 KB)	07 Aug 2024
CIR	Findings from IA-HKMA joint inspection exercise on premium financing (PDF File, 210.7 KB) Annex - Findings from IA-HKMA joint inspection exercise on premium financing (PDF File, 232.1 KB)	27 Jun 2024
CIR	Circular issued by the Insurance Authority (“IA”) on action against (and correction of) non-compliant business models that incentivize unlicensed selling of long term insurance policies to Mainland China Visitors (PDF File, 145.9 KB)	12 Jun 2024
CIR	Provision of Southbound Scheme Services under Cross-boundary Wealth Management Connect Pilot Scheme by Authorized Institutions Incorporated Outside Hong Kong (PDF File, 177.1 KB)	31 May 2024
CIR	Supervisory Policy Manual (SPM) SB-1: “Supervision of regulated activities of SFC-registered authorized institutions” (Revised) (PDF File, 122.9 KB) Encl. Supervisory Policy Manual (SPM) SB-1: “Supervision of regulated activities of SFC-registered authorized institutions” (PDF File, 642.4 KB)	10 May 2024
SPM	Supervision of regulated activities of SFC-registered authorized institutions (PDF File, 642.4 KB)	10 May 2024	SB-1
CIR	Findings of concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products (PDF File, 233.6 KB) Annex 1 - Key observations by the Securities and Futures Commission (PDF File, 248.5 KB) Annex 2 - Key observations by the Hong Kong Monetary Authority (PDF File, 272.9 KB)	18 Apr 2024
CIR	Portfolio-based Approach to Suitability Assessment (PDF File, 185.0 KB) Annex 1 Guidance on Adoption of Portfolio-based Approach to Suitability Assessment (PDF File, 127.8 KB) Annex 2 Frequently Asked Questions on Portfolio-based Approach to Suitability Assessment (“PBA”) (PDF File, 106.4 KB) Annex 3 Previous guidance superseded (PDF File, 100.1 KB)	23 Feb 2024
CIR	Asset and Wealth Management Activities Survey 2023 Conducted by the Securities and Futures Commission (“SFC”) (PDF File, 144.0 KB)	22 Feb 2024
CIR	Provision of Custodial Services for Digital Assets (PDF File, 721.4 KB)	20 Feb 2024

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Last revision date : 07 August 2024