|
No.
|
Name of Guidelines
|
Issued Date (month/year)
|
|
Part I
|
Guidelines on Licensing |
| I.1 |
Guidelines on Application for Approval as Trustees |
12/98
|
08/08
|
|
|
|
| I.2 |
Guidelines on Application for Registration of Provident Fund Schemes |
12/98 |
|
|
|
|
| I.3 |
Guidelines on Custodians |
12/98
11/07
|
10/00
|
1/01
|
5/03
|
7/05 |
| I.4 |
Guidelines on Eligible Insurers |
12/98
|
|
|
|
|
| I.5 |
Guidelines on Application for Approval of Constituent Funds |
12/98
|
5/03
|
1/08
|
|
|
| 1.6 |
Guidelines on Application for Approval of Pooled Investment Funds |
12/98 |
1/08
|
|
|
|
| I.7 |
Guidelines on Central Securities Depositories |
5/99
|
8/02
|
10/04
|
8/06
|
11/07
|
| Part II |
Guidelines on Reporting Requirements |
| II.1 |
Guidelines on Monthly Returns of Registered Schemes |
2/99
|
7/01
|
8/02
|
|
|
| II.2 |
Guidelines on Monthly Returns of Approved Pooled Investment Funds being Capital Preservation Funds |
2/99
|
7/01
|
|
|
|
| II.3 |
Guidelines on Quarterly Returns of Registered Schemes |
2/99
|
7/01
|
5/04
|
3/05 |
|
| II.4 |
Guidelines on Annual Statements of Registered Schemes |
5/99
3/06
|
1/01
2/07
|
7/01
1/08
|
5/04
|
3/05
|
| II.5 |
Guidelines on Annual Statements of Approved Pooled Investment Funds |
5/99
|
7/01
|
3/06
|
2/07
|
12/07
|
| II.6 |
Guidelines on Internal Control Report for
each Registered Scheme |
5/99
|
|
|
|
|
| II.7 |
Guidelines on Quarterly Returns of Approved Pooled Investment Funds |
4/01
|
12/07
|
8/08 |
|
|
| II.8 |
Guidelines on Monthly Statistical Returns of Registered Schemes |
7/01
|
5/04
|
3/05 |
|
|
| Part III |
Guidelines on Investment |
| III.1 |
Guidelines on Debt Securities |
2/99
3/06
|
1/01
11/07
|
10/01
|
5/04
|
7/05
|
| III.2 |
Guidelines on Equities and Other Securities |
2/99
7/05
|
1/01
12/06
|
10/01
02/07
|
5/03
09/09
|
8/04
09/11
|
| III.3 |
Guidelines on Eligible Overseas Banks and Authorized Financial Institutions |
2/99
|
1/01
|
5/03
|
7/05
|
12/06 |
| III.4 |
Guidelines on Approved Exchanges |
3/99
02/07
|
8/02
09/09
|
5/03
|
6/04
|
3/05
|
| III.5 |
Guidelines on Investment Managers |
2/99
|
6/99
|
6/03
|
5/04
|
11/08 |
| III.6 |
Guidelines on Capital Preservation Funds |
2/99
|
12/99
|
6/01
|
|
|
| III.7 |
Guidelines on Securities Lending |
3/99
|
|
|
|
|
| III.9 |
Guidelines on Reserving Standards for Investment Guarantees |
2/01
|
12/07
|
|
|
|
| III.10 |
Guidelines on Index-Tracking Collective Investment Schemes |
8/02
5/08
|
5/03
7/08
|
12/05
|
12/06
|
2/07 |
| Part IV |
Guidelines on Scheme Operations |
| IV.1 |
Guidelines on Disclosure of Annual Fees |
3/99
|
3/00 |
|
|
|
| IV.2 |
Guidelines on Reports Relating to Payment of Mandatory Contributions |
3/99
|
7/01
|
8/02
|
|
|
| IV.3 |
Guidelines on Election Forms for Transfer of Accrued Benefits |
4/99
|
7/01 |
|
|
|
| IV.4 |
Guidelines on Payment of Accrued Benefits - Documents to be Submitted to Approved Trustees |
4/99
12/05
|
1/01
12/06
|
6/01
|
8/02
|
5/04
|
| IV.6 |
Guidelines on Notice for Unclaimed Benefits |
4/99
|
|
|
|
|
| IV.8 |
Guidelines on Enrolment and Contribution Arrangements for Relevant Employees Other Than Casual Employees |
5/00
12/10
|
10/00
08/11
|
8/02 |
7/08 |
7/09 |
| IV.9 |
Guidelines on Enrolment and Contribution Arrangements for Casual Employees |
5/00
|
10/00
|
5/02 |
7/08 |
|
| IV.10 |
Guidelines on Enrolment and Contribution Arrangements for Self-employed Persons |
5/00
|
10/00
|
5/02 |
|
|
| IV.11 |
Guidelines on Contribution Period in Respect of a Relevant Employee |
7/00
|
5/02
|
8/02
|
5/04 |
|
| IV.12 |
Guidelines on Relevant Income in Respect of a Relevant Employee |
7/00
|
|
|
|
|
| IV.13 |
Guidelines on Compensation Fund
|
7/00
|
|
|
|
|
| IV.14 |
Guidelines on Remittance Statement |
9/00
|
8/02 |
|
|
|
| IV.15 |
Guidelines on Person Exempt under section 4(3) of the Mandatory Provident Fund Schemes Ordinance |
9/00
|
5/02 |
|
|
|
| IV.16 |
Guidelines on MPF Coverage on Employees Working Outside Hong Kong |
9/00
|
|
|
|
|
| IV.17 |
Guidelines on Contribution Arrangement of a Self-employed Person |
10/00
|
5/02
|
8/02 |
08/11 |
|
| IV.18 |
Guidelines on Contribution Arrangement of a Self-employed Person Who Sustains a Loss |
10/00
|
8/02 |
08/11 |
|
|
| IV.19 |
Guidelines on Minimum and Maximum Levels of Relevant Income of a Self-employed Person |
10/00
|
5/02
|
8/02 |
08/11 |
|
| IV.20 |
Guidelines on Prepayment of Contributions |
10/00
|
|
|
|
|
| IV.21 |
Guidelines on Unclaimed Benefits |
8/02
|
|
|
|
|
| Part V |
Guidelines on ORSO Interface |
| V.1 |
Guidelines on MPF Exempted ORSO Schemes – Application for Exemption of ORSO Exempted Schemes |
4/99
|
12/99 |
|
|
|
| V.2 |
Guidelines on MPF Exempted ORSO Schemes – Application for Exemption of ORSO Registered Schemes |
4/99
|
12/99 |
1/08
|
|
|
| V.4 |
Guidelines on MPF Exempted ORSO Schemes - Preservation of Benefits |
4/99
|
01/08 |
|
|
|
| V.5 |
Guidelines on MPF Exempted ORSO Schemes - Illustrative Examples |
05/99 |
|
|
|
|
| V.6 |
Guidelines on MPF Exempted ORSO Schemes - Application for Approval of Appointment of Trustees |
6/99
|
|
|
|
|
| V.7 |
Guidelines on MPF Exempted ORSO Schemes - Application for Approval of Appointment of Directors of Trustees |
6/99
|
|
|
|
|
| V.8 |
Guidelines on MPF Exempted ORSO Schemes - Application for Withdrawal of Exemption Certificate of an ORSO Exempted Scheme |
5/00
|
|
|
|
|
| V.9 |
Guidelines on MPF Exempted ORSO Schemes - Application for Withdrawal of Exemption Certificate of an ORSO Registered Scheme |
5/00
|
|
|
|
|
| V.10 |
Guidelines on MPF Exempted ORSO Schemes – Filing of Annual Report
|
12/00
|
6/04
|
|
|
|
| V.11 |
Guidelines on MPF Exempted ORSO Schemes – Withdrawal of Minimum MPF Benefits |
12/00 |
12/05 |
12/06
|
|
|