麻豆传媒

1. Home
2. Regulatory functions
   • Corporates
     • Dual filing
     • Corporate disclosure
     • Takeovers and mergers
     • Unlisted shares, debentures
     • Circulars
     • Consultations and conclusions
     • FAQs
   • Intermediaries
     • Licensing
     • Supervision
   • Products
     • List of publicly offered investment products
     • List of ESG funds
     • Open-ended fund companies
     • Real estate investment trusts
     • Grant Scheme for Open-ended Fund Companies and Real Estate Investment Trusts
     • Circulars
     • Consultations and conclusions
     • Forms & checklists
     • FAQs
     • List of Eligible Collective Investment Schemes under the New Capital Investment Entrant Scheme (New CIES)
     • Quick Reference to FASTrack Applications
   • Markets
     • Market statistics and research
     • Approved or authorised entities
     • Short position reporting
     • OTC derivatives regulatory regime
     • Mainland-Hong Kong Stock Connect
     • Consultations and conclusions
     • FAQs
   • Enforcement
     • Disciplinary proceedings
     • Secrecy provisions
     • Enforcement actions
     • Have you seen these people?
     • Upcoming hearings calendar
     • Circulars
     • Consultations and conclusions
3. Intermediaries
   • Licensing
     • Do you need a licence or registration?
     • Types of intermediary and licensed individual
     • Application procedures
     • Ongoing obligations
     • Quick reference guides to licensing requirements
     • WINGS
     • Register of licensees & registered institutions
     • List of modifications or waivers of licensing requirements
     • Circulars
     • Consultations and conclusions
     • Forms
     • FAQs
   • Supervision
     • Supervisory approach
     • Supervisory actions
     • Modifications or waivers
     • Cross-boundary WMC
     • List of comparable OTCD jurisdictions
     • List of jurisdictions with comparable OTCD margin requirements
     • FAQs
     • Circulars
     • Consultations and conclusions
     • Forms
     • Publications and statistics
     • Search regulations by topic
4. Supervision
   • Supervisory approach
   • Supervisory actions
   • Modifications or waivers
     • 麻豆传媒 and Futures (Financial Resources) Rules
     • 麻豆传媒 and Futures (Professional Investor) Rules
     • 麻豆传媒 and Futures (Contract Notes, Statements of Account and Receipts) Rules
     • 麻豆传媒 and Futures (Financial Resources) Rules
     • 麻豆传媒 and Futures (Professional Investor) Rules
     • 麻豆传媒 and Futures (Contract Notes, Statements of Account and Receipts) Rules
   • Cross-boundary WMC
     • List of licensed corporations participating in Cross-boundary WMC
   • List of comparable OTCD jurisdictions
   • List of jurisdictions with comparable OTCD margin requirements
   • FAQs
   • Circulars
   • Consultations and conclusions
   • Forms
   • Publications and statistics
     • Financial review of the securities industry
     • Other publications
     • Reports on findings of thematic inspection/review
     • Reports of the survey on hedge fund activities of SFC-licensed managers/advisers
   • Search regulations by topic
     • Account Opening
     • Anti-Money Laundering & Counter-Financing of Terrorism
     • Asset Management
     • Client Assets
     • Corporate Finance, Placing and Underwriting
     • Cybersecurity
     • Depositary services for relevant CISs
     • Financial Resources Rules
     • Know Your Client / Client Agreement
     • Order Handling and Execution
     • OTC Derivatives
     • Professional Investors
     • Risk Management (other than SMF)
     • 麻豆传媒 Margin Finance ("SMF")
     • Suitability
     • Others

To supervise intermediaries operating in the market, we:

• Conduct on-site reviews and off-site monitoring to:
  • ascertain and supervise intermediaries' business conduct and compliance with relevant regulatory requirements
  • assess and monitor the financial soundness of intermediaries 
• Process applications for approval, waiver or modification of various requirements relevant to intermediaries
• Maintain communication with intermediaries and the industry on relevant policy and regulatory issues

Please click on the links below to find out more:

Last update: 31 Jan 2022