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	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Questions on Portfolio-based Approach to Suitability Assessment (“PBA”) (PDF File, 106.4 KB) Annex 3 Previous guidance superseded (PDF File, 100.1 KB)	23 Feb 2024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
CIR	Sale and Distribution of Tokenised Products (PDF File, 180.2 KB)	20 Feb 2024
CIR	Amendments to Implementation Arrangements for the Crossboundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area (PDF File, 128.8 KB) Annex 1 Regulatory Requirements on the Southbound Scheme (PDF File, 590.2 KB) Annex 2 Regulatory Requirements on the Northbound Scheme (PDF File, 463.8 KB) Appendix Frequently Asked Questions on the Cross-boundary Wealth Management Connect in the Guangdong- Hong Kong-Macao Greater Bay Area (PDF File, 600.0 KB)	24 Jan 2024
CIR	Joint circular on intermediaries’ virtual asset-related activities (PDF File, 308.0 KB) Appendices Joint circular on intermediaries’ virtual asset-related activities (PDF File, 1.5 MB)	22 Dec 2023
CIR	SFC and HKMA joint product survey 2023 (PDF File, 102.7 KB)	08 Dec 2023
CIR	IA-HKMA joint inspection exercise on premium financing (PDF File, 239.4 KB)	06 Dec 2023
CIR	Sale and Distribution of Green and Sustainable Investment Products (PDF File, 335.1 KB)	29 Nov 2023

Number of Items

Done

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

No more result.

Last revision date : 18 April 2024