SFC Guidelines

HK.SFC.guidelines

來源路徑: HK / SFC / guidelines

同監管機構其它來源: circulars codes

Upstream

最近一次同步 success dl:1 fail:0 skip:0 disc:50 mp:2 ps:20 n:1

開始: 2026-04-10T07:58:06.767372+00:00 · 結束: 2026-04-10T07:58:09.828550+00:00

文件數: 50 已下載(成功): 12 缺漏: 38

這頁面列出的是「已發現的 documents metadata」；只有跑過 `sync --download` 的文件才會出現 artifact 與下載連結。

Quick actions（常用操作）

會建立 run 並跳轉到 run detail（可即時看進度）。建議先小量驗證，再逐步放大到 1000+。

在前端觸發同步（後台會跑）

Presets（建議流程）

建議先用 10-sample 快速驗證（解析/下載/驗證），再拉到 200/1000+；大批量下載請勾選確認。

CLI（下載更多文件）

cd /srv/reg-download

PYTHONPATH=app ./.venv/bin/python -m reg_download sync --source HK.SFC.guidelines --max-pages 1

PYTHONPATH=app ./.venv/bin/python -m reg_download sync --source HK.SFC.guidelines --max-pages 10 --limit 200 --download --only-missing

提示：先用小的 `--max-pages`/`--limit` 驗證 connector 解析正確，再逐步放大到 1000+（避免一次打爆 upstream / 也更容易定位錯誤）。

Runs history（同步歷史）

Run ID	狀態	開始	結束	參數	統計	錯誤	操作
`238`	success	2026-04-10T07:58:06.767372+00:00	2026-04-10T07:58:09.828550+00:00	`mp:2 ps:20 n:1`	`dl:1 fail:0 skip:0 disc:50`	—	—
`201`	success	2026-03-29T07:22:27.144564+00:00	2026-03-29T07:22:29.308017+00:00	`mp:2 ps:20 n:1`	`dl:1 fail:0 skip:0 disc:50`	—	—
`157`	success	2026-03-18T08:23:58.029096+00:00	2026-03-18T08:23:59.973732+00:00	`mp:1 ps:20 n:1`	`dl:1 fail:0 skip:0 disc:50`	—	—
`149`	success	2026-03-18T07:40:50.448873+00:00	2026-03-18T07:40:52.807097+00:00	`mp:1 ps:20 lim:1 dl:1 miss:0 force:1`	`dl:1 fail:0 skip:0 disc:50`	—	—
`36`	success	2026-03-11T07:00:39.684403+00:00	2026-03-11T07:00:43.695644+00:00	`mp:1 ps:20 lim:12 dl:1 miss:1 force:0`	`dl:11 fail:0 skip:1 disc:50`	—	—
`26`	success	2026-03-11T06:17:37.556713+00:00	2026-03-11T06:17:40.257067+00:00		`dl:1 fail:0 disc:50`	—	—
`21`	success	2026-03-11T06:06:20.714009+00:00	2026-03-11T06:06:22.675570+00:00		`dl:1 fail:0 disc:50`	—	—
`18`	success	2026-03-11T06:06:07.793421+00:00	2026-03-11T06:06:09.564878+00:00		`dl:0 fail:0 disc:50`	—	—
`12`	success	2026-03-11T06:01:55.064420+00:00	2026-03-11T06:01:57.225088+00:00		`dl:1 fail:0 disc:50`	—	—

顯示 1-50 (limit=200, offset=0)

Documents

Title	Classification	Published	Upstream	External ID	Last Artifact
Guidelines on Online Distribution and Advisory Platforms	—		page	`8507EEA3184E497FA19497AA854A5485`	未下載（從未嘗試）
Guidelines on Exempt Principal Trader (EPT) Status Under the Code on Takeovers and Mergers (the Code)	—		page	`3E88F6B11BF447368376E04DDF772490`	未下載（從未嘗試）
Guidelines on Exempt Fund Manager ("EFM") Status Under the Code on Takeovers and Mergers (the "Code")	—		page	`F505287369284A18879FEB1459DE22CC`	未下載（從未嘗試）
Guidelines for Market Soundings	—		page	`626DB937622E4F7DBDE21BF71D0874FC`	未下載（從未嘗試）
Licensing Handbook	—	2025-07-15T00:00:00+00:00	page	`7B5F71C82BA842BEA45396705ED2E9AE`	未下載（從未嘗試）
Licensing Handbook for Virtual Asset Trading Platform Operators	—	2025-07-15T00:00:00+00:00	page	`DE6D575BFA304CC2ACD4B5C9CA04523A`	未下載（從未嘗試）
Guidance Note on Position Limits and Large Open Position Reporting Requirements	—	2025-07-02T00:00:00+00:00	page	`CE97494D7053441EA5022D38372B08D4`	success download retrieved: `2026-03-11T07:00:43.077116+00:00` PDF application/pdf 518.6 KB sha256: `ce402db4153b` download url
Guidelines on Competence	—	2024-10-02T00:00:00+00:00	page	`524066518AF2449596B5D795D1225A9B`	未下載（從未嘗試）
Outline of Part XV of the Securities and Futures Ordinance (Cap.571) - Disclosure of Interests	—	2024-05-24T00:00:00+00:00	page	`78C198E6190B480CB23D81048173E1CD`	未下載（從未嘗試）
Risk Management Guidelines for Licensed Persons Dealing in Futures Contracts	—	2023-08-25T00:00:00+00:00	page	`6A8CB23FC1154A5FBA5A3FC77A1F1E57`	未下載（從未嘗試）
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements	—	2023-06-06T00:00:00+00:00	page	`10B4034309FD4828AC012FC1DFB1A460`	success download retrieved: `2026-03-11T07:00:43.491486+00:00` PDF application/pdf 473.7 KB sha256: `4e30eb3a6a67` download url
Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations and SFC-licensed Virtual Asset Service Providers)	—	2023-06-01T00:00:00+00:00	page	`2960168491444055BD4DCF02F89EFEF7`	未下載（從未嘗試）
Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities of Licensed Corporations and SFC-licensed Virtual Asset Service Providers	—	2023-06-01T00:00:00+00:00	page	`65006463872045A49D093F1A074C7869`	未下載（從未嘗試）
SFC Disciplinary Fining Guidelines (for regulated persons under Part 5B of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance)	—	2023-06-01T00:00:00+00:00	page	`83717AF9C83D40168234A1C67E8AF616`	未下載（從未嘗試）
Guidelines for Virtual Asset Trading Platform Operators	—	2023-06-01T00:00:00+00:00	page	`93432197A69C423FA304FA6D311BDF17`	未下載（從未嘗試）
Guidance Note on Cooperation with the SFC	—	2023-06-01T00:00:00+00:00	page	`B0F61D760AED4C34B3E895CD06C0CB2C`	success download retrieved: `2026-03-11T07:00:42.457714+00:00` PDF application/pdf 575.5 KB sha256: `0207bd21c8de` download url
Guidelines to capital market intermediaries involved in placing activities for GEM stocks	—	2022-08-05T00:00:00+00:00	page	`95A187A4FD44405C9EFC3DEB2FE3E7C0`	未下載（從未嘗試）
Guidelines on Continuous Professional Training	—	2022-01-01T00:00:00+00:00	page	`3FC365E4DB9241FD99314DD039493B4C`	未下載（從未嘗試）
Fit and Proper Guidelines	—	2022-01-01T00:00:00+00:00	page	`56F165F53E8E46BE82DC015EDCF41197`	success download retrieved: `2026-03-11T07:00:41.857524+00:00` PDF application/pdf 357.0 KB sha256: `2524380ce015` download url
Guidelines for Securities Margin Financing Activities	—	2019-04-04T00:00:00+00:00	page	`277272D859504073996608DD0E49A019`	未下載（從未嘗試）
SFC Disciplinary Fining Guidelines (for regulated persons under the Securities and Futures Ordinance)	—	2018-08-10T00:00:00+00:00	page	`A628D6101A6A401DBE904CD8B7B5010B`	未下載（從未嘗試）
Guidelines for Reducing and Mitigating Hacking Risks Associated with Internet Trading	—	2017-10-27T00:00:00+00:00	page	`6584A73EC72942C99555D47B9AE4B91C`	未下載（從未嘗試）
Statement on the liability of valuers for disclosure of false or misleading information	—	2017-05-15T00:00:00+00:00	page	`21DAD508B018498DA6C674795BEFA0DF`	success download retrieved: `2026-03-11T07:00:42.871450+00:00` PDF application/pdf 91.6 KB sha256: `bbc1d2a53e3d` download url
Guidance note on directors’ duties in the context of valuations in corporate transactions	—	2017-05-15T00:00:00+00:00	page	`73AE4C74B388450A9E5CF9C93E825540`	success download retrieved: `2026-03-11T07:00:42.664515+00:00` PDF application/pdf 233.9 KB sha256: `fcd30b0385c9` download url
Guidelines to fund managers on dealing disclosure obligations under Rule 22 of the Code on Takeovers and Mergers (Takeovers Code)	—	2017-01-12T00:00:00+00:00	page	`996DC1BD9BF8462FBA2E428FADA597F8`	未下載（從未嘗試）
Guidelines for the Regulation of Automated Trading Services	—	2016-09-01T00:00:00+00:00	page	`111224BC1E0A47329EEF78D5B8B5C8E2`	未下載（從未嘗試）
Guidelines on the application of the CPMI-IOSCO Principles for Financial Market Infrastructures	—	2016-05-27T00:00:00+00:00	page	`19919DEF3EB1441DAABA504F83FF1ED7`	未下載（從未嘗試）
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)	—	2014-09-05T00:00:00+00:00	page	`673E7A2D31004641984B72820766FC2A`	未下載（從未嘗試）
Guidelines on revised procedures for applications for Exempt Fund Manager (EFM) status under the Code on Takeovers and Mergers (Code) by fund managers that form part of complex international financial groups	—	2013-07-05T00:00:00+00:00	page	`62025BEF7052410DB4A9882A2EF64A40`	未下載（從未嘗試）
Guidelines on revised procedures for applications for Exempt Principal Trader (EPT) status under the Code on Takeovers and Mergers (Code) by principal traders that form part of complex international financial groups	—	2013-07-05T00:00:00+00:00	page	`FB79E6C4382E4700B849F5C9CE5BAC20`	未下載（從未嘗試）
Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet	—	2013-04-01T00:00:00+00:00	page	`ACF8549BC7D34ECFA42055F3F0F90995`	success download retrieved: `2026-03-11T07:00:42.249960+00:00` PDF application/pdf 270.7 KB sha256: `6af5e4dfb3ac` download url
Advertising Guidelines Applicable to Collective Investment Schemes Authorized under the Product Codes	—	2013-04-01T00:00:00+00:00	page	`DD514C18019549CE98C9C7B838BEF455`	success download retrieved: `2026-03-18T07:40:52.317589+00:00` PDF application/pdf 311.1 KB sha256: `9f2be340e9e0` download url
Guidance Note on Short Position Reporting	—	2012-06-18T00:00:00+00:00	page	`C5545651928343889C57936108C56C18`	success download retrieved: `2026-03-11T07:00:43.285818+00:00` PDF application/pdf 57.9 KB sha256: `abfc6eed2f21` download url
Guidelines on Disclosure of Inside Information	—	2012-06-01T00:00:00+00:00	page	`497D7A406AF14326856725723168A550`	未下載（從未嘗試）
- Appendix C	—	2011-06-01T00:00:00+00:00	page	`0961DB0C3A1B4A3592CBA4A65E81F4C9`	未下載（從未嘗試）
Guidelines on Marketing Materials for Listed Structured Products	—	2006-09-01T00:00:00+00:00	page	`79167D86B1E74CCBABA1EC354EF351CD`	未下載（從未嘗試）
Guidelines on Disclosure of Fees and Charges Relating to Securities Services	—	2005-01-01T00:00:00+00:00	page	`2E5F89D6B32544619216EEB318B05B3C`	未下載（從未嘗試）
Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules	—	2003-04-01T00:00:00+00:00	page	`0CAC7AE0C5F943988BCC9712B15E9C07`	未下載（從未嘗試）
Guidelines for Electronic Public Offerings	—	2003-04-01T00:00:00+00:00	page	`180DBFD84DA94B449BDEC4D71D8A09F0`	未下載（從未嘗試）
Guidelines for the Approval of Corporations as Approved Lending Agents	—	2003-04-01T00:00:00+00:00	page	`3B6F9A2907CB4410B096125EC303C3BE`	未下載（從未嘗試）
Client Identity Rule Policy	—	2003-04-01T00:00:00+00:00	page	`3E597E79505A4BCABA642A205D37CE24`	success download retrieved: `2026-03-11T07:00:41.243556+00:00` PDF application/pdf 125.4 KB sha256: `88f9b059b1c0` download url
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission	—	2003-04-01T00:00:00+00:00	page	`61A033449FC349B8A166F05AA8338857`	未下載（從未嘗試）
Debt Collection Guidelines for Licensed Corporations	—	2003-04-01T00:00:00+00:00	page	`6F413A018A484C60A6366EDE8CD97660`	success download retrieved: `2026-03-11T07:00:41.654857+00:00` PDF application/pdf 52.5 KB sha256: `e85358768c43` download url
Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission	—	2003-04-01T00:00:00+00:00	page	`EC8A247EFAD140F5BD9716BC9C36DE72`	success download retrieved: `2026-03-11T07:00:41.450924+00:00` PDF application/pdf 157.7 KB sha256: `9e3d85bebce4` download url
Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance	—	2003-03-01T00:00:00+00:00	page	`72283B730D4C4B7D92BAB483A53F04EC`	未下載（從未嘗試）
Guidelines on Waivers of Certain Licensing Fees	—	2003-03-01T00:00:00+00:00	page	`9CEC818F66B54673A4B3D90F1F623A9C`	未下載（從未嘗試）
Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap.32)	—	2003-02-21T00:00:00+00:00	page	`A975A75E0CE7463ABA9FF9637AABC51E`	未下載（從未嘗試）
Guidelines on using a "dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32)	—	2003-02-21T00:00:00+00:00	page	`C9BF889758A94D35893F5DE54589D75A`	未下載（從未嘗試）
Project on the Use of Plain Language - How to Create a Clear Prospectus [English version only]	—	1998-01-01T00:00:00+00:00	page	`B510988A4D1C4A98B5EEE21D5E13243D`	未下載（從未嘗試）
Project on the Use of Plain Language — How to Create Clear Announcements	—	1997-07-01T00:00:00+00:00	page	`EDD0160377B7443B9B08CC67AF447B86`	未下載（從未嘗試）

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