Regulatory AlertsSecurities & Capital Markets regulation in Hong Kong
Securities issuance, funds, brokers and capital-markets regulation across jurisdictions. 99 publications, summarized in English and updated same-day.
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2026-05-22
Expected controls for account opening and maintaining relationships with clients with investment accounts
Hong Kong
HKMA
2026-05-22
Expected controls for account opening and maintaining relationships with clients with investment accounts
Hong Kong
HKMA
2026-05-22
Expected controls for account opening and maintaining relationships with clients with investment accounts
Hong Kong
HKMA
2026-05-22
Expected controls for account opening and maintaining relationships with clients with investment accounts - Annex 2: Frequently asked questions
Hong Kong
HKMA
2026-02-11
Asset and Wealth Management Activities Survey 2025 Conducted by the Securities and Futures Commission
Hong Kong
HKMA
2025-12-05
SFC and HKMA joint product survey 2025
Hong Kong
HKMA
2025-09-29
Concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investment products
Hong Kong
HKMA
2025-03-28
Investor Identification in IPO Subscription Services
Hong Kong
HKMA
2025-03-21
Provision of Southbound Scheme Services under Cross-boundary Wealth Management Connect Pilot Scheme by Authorized Institutions Incorporated Outside Hong Kong
Hong Kong
HKMA
2025-03-14
Guidance on Selling of Accumulators
Hong Kong
HKMA
2025-03-14
Guidance on Selling of Accumulators
Hong Kong
HKMA
2025-03-14
Guidance on Selling of Accumulators
Hong Kong
HKMA
2025-02-17
SFC Circular on Listed Structured Funds
Hong Kong
HKMA
2025-02-17
SFC Circular on Listed Closed-ended Alternative Asset Funds
Hong Kong
HKMA
2025-02-17
Circulars Issued by the Securities and Futures Commission on Listed Closed-ended Alternative Asset Funds and Listed Structured Funds
Hong Kong
HKMA
2025-01-28
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
Hong Kong
HKMA
2025-01-28
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
Hong Kong
HKMA
2025-01-28
Circular Issued by the Securities and Futures Commission on Deficiencies and Substandard Conduct Noted in the Management of Private Funds and Discretionary Accounts
Hong Kong
HKMA
2024-01-24
Amendments to Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area
Hong Kong
HKMA
2024-01-24
Amendments to Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area
Hong Kong
HKMA
2024-01-24
Amendments to Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area
Hong Kong
HKMA
2024-01-24
Amendments to Implementation Arrangements for the Cross-boundary Wealth Management Connect Pilot Scheme in the Guangdong-Hong Kong-Macao Greater Bay Area
Hong Kong
HKMA
2023-08-25
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts Issued by the Securities and Futures Commission
Hong Kong
HKMA
2023-08-25
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts
Hong Kong
HKMA
Showing the 24 most recent of 99. Browse the full catalogue