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
5. 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

This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please click on the frequently searched terms or enter keywords for an advanced search. For complete lists, please refer to the dedicated pages for , FAQs and thematic reports.

Codes and Guidelines relating to the supervision of intermediaries are listed separately.

Last update: 9 Jan 2019