Securities & Futures Commission of Hong Kong

Regulatory calendar

The calendar provides the key dates regarding regulatory changes and decisions, including the implementation of new rules and revised rules, the decisions and statements of the Takeovers Panel, and our public consultations and conclusions. It is updated from time to time.

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August 2019    
September 2019    
October 2019    
November 2019    
December 2019    
January 2020    
February 2020    
April 2020    
May 2020    
June 2020    
August 2020    
September 2020    
October 2020    
  • Rule changes
  • Regulatory decisions
  • Consultations
  • Publications
  • Speeches
  • Statements
  • Others
  • Rule changes
  • Regulatory decisions
  • Consultations
  • Publications
  • Speeches
  • Statements
  • Others
Date Type Events/Rules
2 Jul 2020

Publications Report on the Securities and Futures Commission’s review of the Exchange’s performance in its regulation of listing matters
30 Jun 2020

Publications Takeovers Bulletin (Jun 2020)
24 Jun 2020

Publications Annual Report 2019-20
24 Jun 2020

Consultations Annual update to the list of Financial Services Providers under the clearing obligation for OTC derivative transactions
18 Jun 2020

Regulatory decisions SFC publicly criticises CICC Financial Trading Limited and China International Capital Corporation Limited for breaches of Takeovers Code
11 Jun 2020

Regulatory decisions SFC publicly censures Fu Kwan for breach of the Takeovers Code
10 Jun 2020

Consultations OTC derivatives licensing regime: SFC concludes consultation on regulatory scope and competence requirements
9 Jun 2020

Consultations SFC proposes changes to the Code on Real Estate Investment Trusts
18 May 2020

Others Concurrent SFC-HKMA thematic review of spread charges and other practices
15 May 2020

Statements Statement in relation to HSBC Holdings plc
9 Apr 2020

Publications Report on Leveraged Foreign Exchange Trading Activities Carried Out by Licensed Corporations
8 Apr 2020

Consultations Joint consultation conclusions on the model for an uncertificated securities market
31 Mar 2020

Publications Takeovers Bulletin (Mar 2020)
27 Mar 2020

Consultations Consultation on annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
16 Mar 2020

Others Publication: Financial Review of the Securities Industry for the year ended 31 December 2019
16 Mar 2020

Statements Further Guidance on the Joint Statement in relation to Results Announcements in light of the COVID-19 Pandemic
21 Feb 2020

Publications Quarterly Report (Oct – Dec 2019)
14 Feb 2020

Publications A Review of the Global and Local Securities Markets in 2019 (Featuring Stock Connect and Short Selling) - Research Paper No. 66
10 Feb 2020

Speeches Speech by Tim Lui at Hong Kong Institute of Chartered Secretaries Annual Dinner 2020
7 Feb 2020

Publications SFC Regulatory Bulletin (Feb 2020)
4 Feb 2020

Statements Joint Statement in relation to Results Announcements in light of Travel Restrictions related to the Severe Respiratory Disease associated with a Novel Infectious Agent
20 Jan 2020

Publications SFC Compliance Bulletin: Intermediaries (Jan 2020)
13 Jan 2020

Others Implementation of investor identification for southbound trading under Stock Connect
7 Jan 2020

Others SFC provides licensing guidance for private equity firms and family offices
1 Jan 2020

Rule changes The enhanced investor compensation regime took effect
30 Dec 2019

Publications Publication: Takeovers Bulletin (Dec 2019)
30 Dec 2019

Regulatory decisions SFC publicly censures CLSA Limited, CITIC Securities Brokerage (HK) Limited, Beijing Enterprises Holdings Limited and their representatives for breaching the Code on Share Buy-backs
20 Dec 2019

Consultations SFC proposes changes to the open-ended fund companies regime
18 Dec 2019

Consultations SFC concludes consultation on margin requirements for non-centrally cleared OTC derivatives
16 Dec 2019

Publications Survey on Integrating Environmental, Social and
Governance Factors and Climate Risks in Asset
Management
5 Dec 2019

Publications Publication: Quarterly Report (Jul – Sep 2019)
4 Dec 2019

Others SFC announces waiving the annual licensing fees for the financial year of 2020/21
29 Nov 2019

Speeches Keynote speech by Tim Lui at Annual PwC Asset and Wealth Management Conference 2019
6 Nov 2019

Others Keynote speech by Ashley Alder at Hong Kong FinTech Week 2019
6 Nov 2019

Others SFC issues warnings on virtual asset futures contracts
6 Nov 2019

Others Position paper: Regulation of virtual asset trading platforms
6 Nov 2019

Others New speech by Ashley Alder: Opening remarks at SFC 30th Anniversary Cocktail 2019
21 Oct 2019

Others Speech by Julia Leung at Hong Kong Conference 2019: IPO Sponsors and Regulations
8 Oct 2019

Consultations SFC concludes consultation on the enhanced Investor Compensation Regime
2 Oct 2019

Regulatory decisions Takeovers Panel: Broadford Global Limited not permitted to deduct dividend from offer price
30 Sep 2019

Others Publication: Takeovers Bulletin (Sep 2019)
27 Sep 2019

Consultations Consultation Paper on the Proposed Regulatory Regime for Depositaries of SFC-authorized Collective Investment Schemes
20 Sep 2019

Others Publication: Financial Review of the Securities Industry for the half year ended 30 June 2019
12 Aug 2019

Others Publication: Quarterly Report (Apr – Jun 2019)
26 Jul 2019

Others Statement on the SFC’s approach to backdoor listings and shell activities
26 Jul 2019

Others Publication: Asset and Wealth Management Activities Survey 2018
22 Jul 2019

Regulatory decisions Takeovers Panel rules against waiver of general offer obligation in proposed Maanshan Iron acquisition
4 Jul 2019

Others Statement on the Conduct and Duties of Directors when Considering Corporate Acquisitions or Disposals
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