Guidelines

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Date Title
25 Jun 2002 Internet GuidelinesGuidelines
15 Oct 2004 Business Continuity Management GuidelinesGuidelines
01 Jul 2005 Guidelines on the Regulation of Markets [Guideline No. SFA 02-G01]Guidelines
15 Oct 2005 Guidelines on the Register of Participants and Sending Accounts and Reports to ParticipantsGuidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
15 Oct 2005 Guidelines on Personal Offers made pursuant to the Exemption for Small OffersGuidelines
15 Sep 2006 Guidelines on the Permissible Use of Customers' Money and Assets by Designated Clearing Houses under Section 63 of the Securities and Futures Act (Cap.289) [Guideline No. SFA 03-G02] [Cancelled with effect from 26 Oct 16]Guidelines
19 Mar 2007 Guidelines on Duty of Substantial Shareholders to Notify Securities Exchange [Cancelled with effect from 19 Nov 2012]Guidelines
07 Dec 2007 Guidelines on the Specification of Entities under Sub-paragraph (b)(vi) of the Definition of "Qualifying Deposit" in Paragraph 1(4) of the Second Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N01]Guidelines
28 Mar 2008 Guidelines on the Calculation of Counterparty Risk Requirement for Specified Structured Warrants under Paragraph 3(2) of the Third Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N02] Guidelines
21 Oct 2010 Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures [Guideline No. SFA 13-G11]Guidelines
21 Oct 2010 Guidelines on the Product Highlights Sheet [Guideline No. SFA 13-G10]Guidelines

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Last Modified on 26/11/2016