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Hong Kong Laws, Regulations & Rules

For your easy reference, Webb-site.com has gathered together a library of links to legal and regulatory documents affecting the financial markets of Hong Kong.

Courts & tribunal
Hong Kong Exchanges & Clearing
Ordinances (laws)
Securities & Futures Commission


A Guide for Effective Audit Committees
Corporate Governance Disclosure in Annual Reports
Corporate Governance for Public Bodies
HKICPA Members' Handbook

Hong Kong Exchanges & Clearing

Clearing rules
Listing rules & guidelines
Trading rules

Courts & Tribunal

Insider Dealing Tribunal

Ordinances (laws)

Basic Law
Sino-British Joint Declaration on the Question of Hong Kong

Chief Executive Election
Commodity Exchanges (Prohibition)
Companies (Winding Up and Miscellaneous Provisions)
Electoral Affairs Commission
Electronic Transactions
Exchanges (Special Levy)
Inland Revenue
Legislative Council
Mandatory Provident Fund Schemes
Money Lenders
Occupational Retirement Schemes
Securities and Futures
Stamp Duty
Trading Funds 

Securities & Futures Commission


Immigration-linked investment schemes
MPF products
Pooled retirement funds
Real estate investment trusts
Takeovers and mergers and share repurchases
Unit trusts and mutual funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products

Codes of conduct

Corporate finance advisers
Fund managers
Persons licensed by or registered with the SFC
Share registrars

Guidance notes, guidelines and circulars

Advertising or offering of collective investment schemes on the internet
Automated Trading Services
Client identity rule policy
Client securities & client money - suggested control techniques and procedures
Continuous professional training
Debt collection
Directors' duties
Disclosure of fees and charges relating to securities services
Disclosure of interests outline
Disclosure of interests - exemption of listed corporations
Dual prospectus structure for programme offers
Electronic public offerings
Fit and proper guidelines
Internet regulation
Investor compensation arrangement
Issue of advertisements by intermediaries
Lending agents
Licensing fee waivers
Licensing information
Management, supervision and internal control
Money laundering and terrorist financing
Offer awareness and summary disclosure materials
Position limits and large open position reporting requirements
Prospectus filing - application for relaxation of procedural requirements
Short selling reporting and stock lending record keeping requirements
OTC derivatives - risk management controls
Use of plain language - announcements
Use of plain language - prospectuses

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