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SFC Guidance for Authorised Funds amid the COVID-19 pandemic

Hong Kong Law

April 2020

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Charltons - Hong Kong Law - 495 - 29 April 2020


SFC Publishes Guidance to Licensed Intermediaries amid COVID-19

SFC regulatory response to COVID-19

Circular to Intermediaries - Reminder of important obligations to ensure suitability and timely dissemination of information to clients

Circular to intermediaries - Extended deadlines for implementation of regulatory expectations and reminder of order recording requirements under COVID-19 pandemic

Extension of deadlines for implementing regulatory expectations SFC

Adherence to client order recording requirements SFC

Compliance with contract notes, statements of account and receipts rules

Submission of audited accounts and other documents under section 156(1) of the Securities and Futures Ordinance

Licensing related matters in light of the COVID-19 pandemic

SFC suitability obligation

Paragraph 5.2 Code of Conduct

FAQs on Triggering Suitability Obligations
FAQs on Compliance with Suitability obligations
Client order recording requirements SFC
Section 156(1) Securities and Futures Ordinance
Hong Kong licensing examinations
Hong Kong SFC temporary licence