CIR

Current

Updated Guidance on Registration in Respect of Regulated Activities under the Securities and Futures Ordinance and Controls to Ensure Fitness and Properness of Staff

Issue Date:

27 Oct 2025

20251027-1-EN.pdf (127.2 KB)

Topic:

Banking Conduct & Enforcement - Others

Wealth Management & MPF - Others

Group: All Authorized Institutions

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• Superseded Document

Directly related Document

• Annex

  Current

  27 Oct 2025

  Enclosure - Annexes 1 - 5

• CIR

  Archive

  12 Jan 2021

  Revised Form for Application for Approval to become an Executive Officer of a Registered Institution under Section 71C of the Banking Ordinance
• CIR

  Archive

  31 May 2019

  Frequently Asked Questions issued by the Securities and Futures Commission (“SFC”) on disclosure of investigations commenced by licensed corporations in the notifications of cessation of accreditation (“the FAQ”)
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
  
  Annex 1: Good Practices Adopted by Certain RIs
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
  
  Annex 2: Major Common Issues Identified
• CIR

  Archive

  13 Jun 2007

  Controls to ensure compliance with Section 114(3) of the Securities and Futures Ordinance (SFO) and Section 20(4) of the Banking Ordinance (BO)
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
  
  Annex 1: Good practices concerning controls to ensure the fitness and propriety of relevant individuals
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
  
  Annex 2: Other controls on potential employees
• CIR

  Archive

  21 Feb 2005

  Register of Relevant Individuals under Section 20(1)(ea) of the Banking Ordinance (BO)
• CIR

  Archive

  24 Mar 2003

  Executive officers of registered institutions
• CIR

  Archive

  13 Mar 2003

  Application for Registration by an Authorized Institution to become a Registered Institution under the Securities and Futures Ordinance
• CIR

  Archive

  07 Mar 2003

  Miscellaneous provisions of the Banking (Amendment) Ordinance 2002 (BAO 2002)
• CIR

  Archive

  27 Feb 2003

  New securities supervisory regime Register to be maintained by the HKMA and Specific guidance in relation to relevant individuals
• CIR

  Archive

  20 Dec 2002

  Commencement of the Banking (Amendment) Ordinance 2002 (BAO 2002) and the Securities and Futures Ordinance (SFO)
• CIR

  Archive

  20 Dec 2002

  Commencement of the Banking (Amendment) Ordinance 2002 (BAO 2002) and the Securities and Futures Ordinance (SFO)
  
  Annex: List of SFC codes, guidelines and circulars applicable to RIs in respect of their regulated activities
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
  
  Annex 1: SFC circular
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
  
  Annex 2: Subsidiary legislation under the SFO applicable to registered institutions in relation to the conduct of regulated activities
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 1: Specified particulars of relevant individuals to be submitted to the HKMA and included in the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 2: Notes for Completion of the Spreadsheet for the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 2: Proforma Spreadsheet for the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 3: Personal Data (Privacy) Ordinance
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 4: Controls for ensuring the fitness and propriety of relevant individuals
• CIR

  Archive

  05 Jul 2002

  Banking (Amendment) Ordinance 2002 and Securities and Futures Ordinance
• CIR

  Archive

  05 Jul 2002

  Banking (Amendment) Ordinance 2002 and Securities and Futures Ordinance
  
  Annex 1: SFC article

Directly related Document

• Annex

  Current

  27 Oct 2025

  Enclosure - Annexes 1 - 5

Cross referenced Document

Version History

Superseded Document

• CIR

  Archive

  12 Jan 2021

  Revised Form for Application for Approval to become an Executive Officer of a Registered Institution under Section 71C of the Banking Ordinance
• CIR

  Archive

  31 May 2019

  Frequently Asked Questions issued by the Securities and Futures Commission (“SFC”) on disclosure of investigations commenced by licensed corporations in the notifications of cessation of accreditation (“the FAQ”)
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
  
  Annex 1: Good Practices Adopted by Certain RIs
• CIR

  Archive

  12 Mar 2008

  Thematic Examinations on Controls to Ensure Fitness and Propriety of Relevant Individuals
  
  Annex 2: Major Common Issues Identified
• CIR

  Archive

  13 Jun 2007

  Controls to ensure compliance with Section 114(3) of the Securities and Futures Ordinance (SFO) and Section 20(4) of the Banking Ordinance (BO)
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
  
  Annex 1: Good practices concerning controls to ensure the fitness and propriety of relevant individuals
• CIR

  Archive

  28 Sep 2006

  Controls to ensure the fitness and propriety of staff of authorized institutions
  
  Annex 2: Other controls on potential employees
• CIR

  Archive

  21 Feb 2005

  Register of Relevant Individuals under Section 20(1)(ea) of the Banking Ordinance (BO)
• CIR

  Archive

  24 Mar 2003

  Executive officers of registered institutions
• CIR

  Archive

  13 Mar 2003

  Application for Registration by an Authorized Institution to become a Registered Institution under the Securities and Futures Ordinance
• CIR

  Archive

  07 Mar 2003

  Miscellaneous provisions of the Banking (Amendment) Ordinance 2002 (BAO 2002)
• CIR

  Archive

  27 Feb 2003

  New securities supervisory regime Register to be maintained by the HKMA and Specific guidance in relation to relevant individuals
• CIR

  Archive

  20 Dec 2002

  Commencement of the Banking (Amendment) Ordinance 2002 (BAO 2002) and the Securities and Futures Ordinance (SFO)
• CIR

  Archive

  20 Dec 2002

  Commencement of the Banking (Amendment) Ordinance 2002 (BAO 2002) and the Securities and Futures Ordinance (SFO)
  
  Annex: List of SFC codes, guidelines and circulars applicable to RIs in respect of their regulated activities
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
  
  Annex 1: SFC circular
• CIR

  Archive

  18 Nov 2002

  Subsidiary legislation under the Securities and Futures Ordinance (SFO)
  
  Annex 2: Subsidiary legislation under the SFO applicable to registered institutions in relation to the conduct of regulated activities
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 1: Specified particulars of relevant individuals to be submitted to the HKMA and included in the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 2: Notes for Completion of the Spreadsheet for the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 2: Proforma Spreadsheet for the HKMA Register
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 3: Personal Data (Privacy) Ordinance
• CIR

  Archive

  12 Sep 2002

  Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002
  
  Annex 4: Controls for ensuring the fitness and propriety of relevant individuals
• CIR

  Archive

  05 Jul 2002

  Banking (Amendment) Ordinance 2002 and Securities and Futures Ordinance
• CIR

  Archive

  05 Jul 2002

  Banking (Amendment) Ordinance 2002 and Securities and Futures Ordinance
  
  Annex 1: SFC article

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