Guideline status not recorded
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Issued by Securities and Futures Commission
Plain-English summary
The SFC's main conduct code for intermediaries; the version read is the thirty-third edition, January 2026. SFC disciplinary actions cite it, for example paragraph 16.5(d) on disclosing investment banking relationships in research reports (HSBC, August 2025).
Who it applies to
Capital Markets · Asset & Wealth Management
Topics
Conduct & Consumer Protection Market Integrity & Securities
Latest news
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