SPM-SGL

Archive

SB-1 Supervision of Regulated Activities of SFC-Registered Authorized Institutions

Issue Date:

28 Mar 2003

Supersession Date:

27 May 2016

20030328-2-EN.pdf (277.8 KB)

Topic:

Wealth Management & MPF - Securities/investment products

Group: Registered Institutions

• Directly related Document
• Cross referenced Document
• Version History
• Superseded Document

Directly related Document

• CIR

  Archive

  28 Mar 2003

  Supervisory Policy Manual (SPM) Module SB-1: Supervision of Regulated Activities of SFC-Registered Authorized Institutions Module SB-2: Leveraged Foreign Exchange Trading - Conduct of Unsolicited Calls
• SPM-SGL

  Archive

  28 Mar 2003

  SB-2 Leveraged Foreign Exchange Trading - Conduct of Unsolicited Calls

• SPM-SGL

  Archive

  27 May 2016

  SB-1 Supervision of Regulated Activities of SFC-Registered Authorized Institutions V2

• CIR

  Archive

  13 Aug 2001

  Amendments to Guidance Note on Competence and Guidance Note on Continuous Professional Training issued by the Securities and Futures Commission
• CIR

  Archive

  16 Mar 2001

  The Revised Code of Conduct for Persons Registered with the Securities and Futures Commission
• CIR

  Archive

  16 Aug 2000

  Electronic Initial Public Offering ("eIPO")
• CIR

  Archive

  25 Jul 2000

  Amendments to SFC's Client Identity Rule and Policy
• CIR

  Archive

  01 Jun 2000

  Securities (Margin Financing) (Amendment) Ordinance 2000 (the "Ordinance")
• CIR

  Archive

  09 Dec 1999

  Code of Conduct for Persons Registered with the SFC
• CIR

  Archive

  09 Mar 1999

  SFC's Client Identity Rule

Directly related Document

• CIR

  Archive

  28 Mar 2003

  Supervisory Policy Manual (SPM) Module SB-1: Supervision of Regulated Activities of SFC-Registered Authorized Institutions Module SB-2: Leveraged Foreign Exchange Trading - Conduct of Unsolicited Calls
• SPM-SGL

  Archive

  28 Mar 2003

  SB-2 Leveraged Foreign Exchange Trading - Conduct of Unsolicited Calls

Cross referenced Document

Version History

• SPM-SGL

  Archive

  27 May 2016

  SB-1 Supervision of Regulated Activities of SFC-Registered Authorized Institutions V2

Superseded Document

• CIR

  Archive

  13 Aug 2001

  Amendments to Guidance Note on Competence and Guidance Note on Continuous Professional Training issued by the Securities and Futures Commission
• CIR

  Archive

  16 Mar 2001

  The Revised Code of Conduct for Persons Registered with the Securities and Futures Commission
• CIR

  Archive

  16 Aug 2000

  Electronic Initial Public Offering ("eIPO")
• CIR

  Archive

  25 Jul 2000

  Amendments to SFC's Client Identity Rule and Policy
• CIR

  Archive

  01 Jun 2000

  Securities (Margin Financing) (Amendment) Ordinance 2000 (the "Ordinance")
• CIR

  Archive

  09 Dec 1999

  Code of Conduct for Persons Registered with the SFC
• CIR

  Archive

  09 Mar 1999

  SFC's Client Identity Rule

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