SFC Submissions
- Submission to the SFC Consultation Paper on the Proposed Regulatory Requirements for Virtual Asset Trading Platform Operators Licensed by the Securities and Futures Commission (Mar 2023)
- Submission to the SFC Consultation Paper on Proposed Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts (Jan 2023)
- Submission to Consultation Paper on Proposed Changes to the Securities and Futures (Contracts Limits and Reportable Positions) Rules and the Guidance Note on Position Limits and Large Open Position Reporting (Aug 2022)
- Submission to Consultation Paper on Proposed Amendments to Enforcement-related Provisions of the Securities and Futures Ordinance (Aug 2022)
- Submission to the SFC Consultation Paper on Proposed Enhancements to the Competency Framework for Intermediaries and Individual Practitioners (Feb 2021)
- Submission to the SFC Consultation Paper on the Management and Disclosure of Climate-related Risks by Fund Managers (Jan 2021)
- Submission to the SFC Consultation Paper on the Proposed Amendments to (1) the Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations) and; (2) the Prevention of Money Laundering and Terrorist Financing Guideline issued by the SFC for Associated Entities (Dec 2020)
- Submission to the SFC Consultation Paper on the Proposed Amendments to the Code on Real Estate Investment Trusts (REIT) (Aug 2020)
- Submission to the SFC Consultation Paper on the Proposals to the OFC Regime (Feb 2020)
- Submission to the SFC Consultation Paper on the Proposed Guidelines for Securities Margin Financing Activities (Oct 2018)
- Submission to the SFC Consultation Paper on AML & CTF (Aug 2018)
- Submission to the SFC Consultation Paper on Offline Requirements Applicable to Complex Products (May 2018)
- Submission to the SFC Consultation Paper on Proposed Amendments to the Code on Unit Trusts and Mutual Funds (Mar 2018)
- Submission on Consultation Paper on the OTC Derivatives Regime (Feb 2018)
- Submission to Further Consultation on Proposed Disclosure Requirements Applicable to Discretionary Accounts (Jan 2018)
- Submission to the SFC Consultation Paper on the Securities and Futures (Open-ended Fund Companies) Rules and Code on Open-ended Fund Companies (Aug 2017)
- Submission to the SFC Consultation Paper on Changes to FRR Rules (Aug 2017)
- Submission to the SFC Consultation Paper on the Proposed Guidelines on Online Distribution and Advisory Platforms (Aug 2017)
- Submission to the SFC Consultation Paper on Proposals to Reduce and Mitigate Hacking Risks Associated with Internet Trading (Jul 2017)
- Submission to the SFC on the Proposed Amendments to the Securities and Futures (Professional Investor) Rules (Apr 2017)
- Submission to the SFC the Proposals to Enhance Asset Management Regulation and Point-of-sale Transparency (Feb 2017)
- Submission to the SFC on the Regulations on Protected Arrangements under the Financial Institutions (Resolution) Ordinance (Jan 2017)
- Submission to the SFC on Position Limits and Large Open Position Reporting Requirements (Nov 2016)
- Submission to the SFC Consultation Paper on the Proposed Enhancements to the Stock Exchange of Hong Kong Limited’s Decision-Making and Governance Structure for Listing Regulation (Aug 2016)
- Submission to the SFC Consultation Paper on the Proposed Amendments to the Guidelines for the Regulation of Automated Trading Services (Dec 2015)
- Submission to the SFC Consultation Paper on expanding the scope of short position reporting and on the corresponding amendments to the Securities and Futures (Short Position Reporting) Rules (Dec 2015)
- Submission to Consultation Paper Issued by Securities and Futures Commission on Proposed Changes on Securities and Futures (Financial Resources) Rules (Oct 2015)
- Submission to the SFC Consultation on Proposed Amendments to the Securities and Futures Ordinance for Providing Assistance to Overseas Regulators in Certain Situations (Dec 2014)
- Submission to the SFC Consultation on the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping) Rules (Aug 2014)
- Submission to the SFC Consultation on Proposal to amend publication requirements relating to offer and redemption prices or net asset value, and notices of dealing suspension under the Code on Unit Trusts and Mutual Funds (Jul 2014)
- Submission to the SFC Consultation on Proposed Amendments to the Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) (Jul 2014)
- Comments on the Consultation Paper Concerning the Regulation of Alternative Liquidity Pools (May 2014)
- Submission to the SFC Consultation on Amendments to the Code on REITS (Feb 2014)
- Submission to the SFC Consultation on Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements (July 2013)
- Submission to the SFC Consultation on Proposed Amendment to the SFC Code of Conduct (Jan 2012)
- Submission to the SFC Consultation on Proposed Anti-Money Laundering and Counter-Terrorist Financing Guidelines (Nov 2011)
- Submission to the SFC Consultation on Short Position Reporting Rules (Oct 2011)
- Submission to the SFC Consultation on Amendment to the Financial Resources Rules (May 2011)
- Submission to the SFC consultation on Proposed Amendment to Specified Stock and Futures Exchanges (April 2011)
- Submission to the SFC Consultation Concerning Pre-deal Research (November 2010)
- Submission to the SFC Consultation Concerning the Regulatory Oversight of Credit Rating Agencies (Aug 2010)
- Submission to the SFC Consultation on the Draft Guidelines on Disclosure of Inside Information (June 2010)