SFC Unveils Consultation on Market Sounding Guidelines

Published: 30 October 2023

Hong Kong’s Securities and Futures Commission (SFC) has initiated a consultation on market sounding guidelines aimed to clarify regulatory expectations.  This consultation is particularly significant as it incorporates feedback from a thematic review started in early 2022 and a recent ruling by the Securities and Futures Appeals Tribunal.

AIMA is looking to set up a working group to discuss the issues and next steps.

If you have any questions, or feedback to offer, or would like to contribute to a possible AIMA response, please contact Odetta Ng and Kher Sheng Lee.