Conduct.
SFC conduct requirements and enforcement themes — the standards licensed representatives are held to, and the failures that draw supervisory attention.
In the briefing
In the Record · 9
26EC44Circular to intermediaries Updates on HKEX’s post release tests for the launch of its backbone network upgrade for secur…21 July 202626EC35Circular to licensed corporations and SFC-licensed virtual asset service providers Implementing (i) robust authenticatio…9 July 202626EC32Circular to licensed corporations, SFC-licensed virtual asset service providers and associated entities Enhanced cyberse…2 June 202626EC29Circular to licensed corporations Expected controls for account opening and maintaining relationships with clients22 May 202626EC6Circular on permitting virtual asset trading platform operators to accept affiliated market makers11 February 202626EC4Circular to licensed corporations carrying out sponsor work30 January 202626EC3Circular to licensed corporations Reminder of statutory obligations during SFC inspections to comply with section 180 of…29 January 202625EC60Circular to licensed corporations Implementation Arrangements for Cross-Boundary Wealth Management Connect Pilot Scheme13 November 202525EC48Joint circular to intermediaries Concurrent SFC-HKMA thematic review of the distribution of non-exchange traded investme…29 September 2025
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Track Conduct without reading every circular.
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