Circulars

We publish circulars from time to time to remind industry participants of regulatory requirements and help them understand regulatory issues.

Please note that anti-money laundering and counter-financing of terrorism (AML/CFT) sanctions related circulars are only available on the complete list of AML/CFT circulars which can be found here.

Circulars are listed by year in the tables below, which are sortable by date and publication title. Circulars issued after July 2012 are available in HTML format as well as a printer-friendly PDF version. Earlier circulars are available in PDF only.

Issue Date Publication
10 Jul 2020 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action
(2) FATF Statement on Jurisdictions under Increased Monitoring
(3) Outcomes from the FATF Virtual Plenary, 24 June 2020
26 Jun 2020 Circular to licensed corporations
Revised financial return form

Annex
18 May 2020 Concurrent SFC-HKMA thematic review of spread charges and other practices
7 May 2020 Circular to licensed corporations
Margin requirements for non-centrally cleared OTC derivative transactions
29 Apr 2020 Circular to licensed corporations
Management of cybersecurity risks associated with remote office arrangements
24 Apr 2020 Circular to commodity futures brokers
Managing financial and operational risks under extreme market conditions
24 Apr 2020 Circular to management companies of SFC-authorized exchange traded funds and to intermediaries - Futures-based ETFs
17 Apr 2020 Circular to management companies and market makers of SFC-authorized exchange traded funds – ETF market making
9 Apr 2020 Circular to Licensed Corporations - Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations
Report on Leveraged Foreign Exchange Trading (LFET) Activities Carried Out by Licensed Corporations
Annex
31 Mar 2020 Circular to intermediaries
Extended deadlines for implementation of regulatory expectations and reminder of order recording requirements under COVID-19 pandemic
27 Mar 2020 Circular to Intermediaries - Reminder of important obligations to ensure suitability and timely dissemination of information to clients
10 Mar 2020 Circular to Licensed Corporations and Associated Entities - Anti-Money Laundering / Counter-Financing of Terrorism
(1) FATF Statement on High-Risk Jurisdictions subject to a Call for Action
(2) FATF Statement on Jurisdictions under Increased Monitoring
(3) Outcomes from the Meeting of the FATF Plenary, 19-21 February 2020

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