Previous Version
Please note that the MPF guidelines below are previous versions which are no longer in effect.
Part I Guidelines on Licensing
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| I.1 | Guidelines on Application for Approval as Trustees and Application for Approval as Controllers of Approved Trustees | 12/98 | 8/08 | 7/09 | 3/14 | 2/16 |
| I.2 | Guidelines on Application for Registration of Provident Fund Schemes | 12/98 | 8/08 | 3/14 | 2/16 | |
| 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 | 7/05 | 3/14 | ||
| I.5 | Guidelines on Application for Approval of Constituent Funds | 12/98 | 5/03 | 1/08 | 8/08 | 3/14 |
| I.6 | Guidelines on Application for Approval of Pooled Investment Funds | 12/98 | 1/08 | 8/08 | 3/14 | 2/16 |
| I.7 | Guidelines on Central Securities Depositories |
5/99 9/11 |
8/02 9/16 |
10/04 12/17 |
8/06 |
11/07 |
| I.10 | Guidelines on Application for Cancellation of Approval of Constituent Funds | 11/10 | ||||
| I.11 | Guidelines on Application for Cancellation of Approval of Pooled Investment Funds | 11/10 | ||||
Part II Guidelines on Reporting Requirements
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| II.1 | Guidelines on Monthly Returns of Registered Schemes |
2/99 6/15 |
7/01 2/16 |
8/02 |
8/08 |
8/12 |
| II.2 | Guidelines on Monthly Returns of Approved Pooled Investment Funds being Capital Preservation Funds | 2/99 | 7/01 | 8/08 | 2/16 | |
| II.3 | Guidelines on Quarterly Statistical Returns of Registered Schemes |
2/99 8/12 |
7/01 6/13 |
5/04 2/16 |
3/05 2/16 |
8/08 |
| II.4 | Guidelines on Annual Statements of Registered Schemes |
5/99 3/06 2/16 |
1/01 2/07 3/17 |
7/01 1/08 |
5/04 8/08 |
3/05 8/12 |
| II.5 | Guidelines on Annual Statements of Approved Pooled Investment Funds |
5/99 8/08 |
7/01 2/16 |
3/06 |
2/07 |
12/07 |
| II.6 | Guidelines on Internal Control Report for each Registered Scheme | 5/99 | 7/10 | |||
| II.7 | Guidelines on Quarterly Returns of Approved Pooled Investment Funds | 4/01 | 12/07 | 8/08 | 12/11 | |
| II.8 | Guidelines on Monthly Statistical Returns of Registered Schemes |
7/01 12/15 |
5/04 2/16 |
3/05 |
8/08 |
8/12 |
| II.9 | Guidelines on Notification of Events of Significant Nature | 8/02 | 6/15 | |||
| II.10 | Guidelines on Quarterly Statistical Returns of the Default Investment Strategy of Registered Schemes | 3/17 | ||||
Part III Guidelines on Investment
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| III.1 | Guidelines on Debt Securities |
2/99 3/06 |
1/01 11/07 |
10/01 1/08 |
5/04 7/14 |
7/05 |
| III.2 | Guidelines on Equities and Other Securities |
2/99 7/05 11/11 |
1/01 12/06 1/13 |
10/01 2/07 3/15 |
5/03 9/09 12/17 |
8/04 9/11 |
| 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 2/07 6/18 |
8/02 9/09 |
5/03 9/11 |
6/04 3/15 |
3/05 1/18 |
| III.5 | Guidelines on Investment Managers |
2/99 9/09 |
6/99 |
6/03 |
5/04 |
11/08 |
| III.6 | Guidelines on Capital Preservation Funds | 2/99 | 12/99 | 6/01 | 10/01 | |
| 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 1/18 |
5/03 7/08 |
12/05 8/08 |
12/06 3/15 |
2/07 2/16 |
| III.14 | Guidelines on Default Investment Strategy | 12/16 | 6/18 | |||
Part IV Guidelines on Scheme Operations
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| IV.1 | Guidelines on Disclosure of Annual Fees (Repealed with effect from June 2004) | 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 for Transfer of Accrued Benefits |
4/99 3/14 7/16 9/18 |
7/01 6/14 11/16 3/19 |
1/08 6/15 12/16 4/19 |
8/12 9/15 3/17 7/19 |
8/13 3/16 10/17 10/20 |
| IV.4 | Guidelines on Payment of Accrued Benefits - Documents to be Submitted to Approved Trustees |
4/99 12/05 6/15 |
1/01 12/06 2/16 |
6/01 1/08 3/17 |
8/02 11/13 |
5/04 9/14 |
| IV.6 | Guidelines on Notice for Unclaimed Benefits (Repealed with effect from November 2008) | 4/99 | ||||
| IV.7 | Guidelines on Fees for Portability | 5/99 | ||||
| IV.8 | Guidelines on Enrolment and Contribution Arrangements for Relevant Employees Other Than Casual Employees |
5/00 12/10 |
10/00 8/11 |
8/02 3/12 |
7/08 10/13 |
7/09 |
| IV.9 | Guidelines on Enrolment and Contribution Arrangements for Casual Employees | 5/00 | 10/00 | 5/02 | 7/08 | 7/09 |
| IV.10 | Guidelines on Enrolment and Contribution Arrangements for Self-employed Persons | 5/00 | 10/00 | 5/02 | 7/08 | |
| 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 | 1/01 | |||
| 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 | 5/02 | |||
| IV.17 | Guidelines on Contribution Arrangement of a Self-employed Person | 10/00 | 5/02 | 8/02 | 8/11 | 3/12 |
| IV.18 | Guidelines on Contribution Arrangement of a Self-employed Person Who Sustains a Loss | 10/00 | 8/02 | 8/11 | 3/12 | |
| IV.19 | Guidelines on Minimum and Maximum Levels of Relevant Income of a Self-employed Person | 10/00 | 5/02 | 8/02 | 8/11 | 3/12 |
| IV.20 | Guidelines on Prepayment of Contributions | 10/00 | ||||
| IV.21 | Guidelines on Unclaimed Benefits | 8/02 | 7/08 | |||
| IV.22 | Guidelines on Statement Required under Section 7AB of the Mandatory Provident Fund Schemes Ordinance | 7/09 | ||||
| IV.23 | Guidelines on Transfer Statement and Confirmation | 8/12 | ||||
| IV.24 | Guidelines on Transfer Process under Sections 148A and 148B of the Mandatory Provident Fund Schemes (General) Regulation | 8/12 | 3/15 | |||
| IV.26 | Guidelines on Giving of Notices or Documents by Electronic Means | 12/15 | ||||
| IV.27 | Guidelines on Benefit Payment Statement | 2/16 | ||||
Part V Guidelines on ORSO Interface
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| V.1 | Guidelines on MPF Exempted ORSO Schemes - Application for Exemption of ORSO Exempted Schemes | 4/99 | 12/99 | 8/08 | ||
| V.2 | Guidelines on MPF Exempted ORSO Schemes - Application for Exemption of ORSO Registered Schemes | 4/99 | 12/99 | 1/08 | 8/08 | 3/14 |
| V.4 | Guidelines on MPF Exempted ORSO Schemes - Preservation of Benefits | 4/99 | 1/08 | 3/12 | 10/13 | |
| V.5 | Guidelines on MPF Exempted ORSO Schemes - Illustrative Examples | 5/99 | 3/12 | |||
| V.6 | Guidelines on MPF Exempted ORSO Schemes - Application for Approval of Appointment of Trustees | 6/99 | 8/08 | 3/14 | ||
| V.7 | Guidelines on MPF Exempted ORSO Schemes - Application for Approval of Appointment of Directors of Trustees | 6/99 | 8/08 | |||
| V.8 | Guidelines on MPF Exempted ORSO Schemes - Application for Withdrawal of Exemption Certificate of an ORSO Exempted Scheme | 5/00 | 8/08 | |||
| V.9 | Guidelines on MPF Exempted ORSO Schemes - Application for Withdrawal of Exemption Certificate of an ORSO Registered Scheme | 5/00 | 8/08 | |||
| V.10 | Guidelines on MPF Exempted ORSO Schemes - Filing of Annual Report | 12/00 | 6/04 | 8/08 | ||
| V.11 | Guidelines on MPF Exempted ORSO Schemes - Withdrawal of Minimum MPF Benefits |
12/00 9/14 |
12/05 6/15 |
12/06 |
8/08 |
11/13 |
Part VI Guidelines on Intermediaries
| No. | Name of Guidelines | Issued Date (month/year) | ||||
|---|---|---|---|---|---|---|
| VI.1 | Guidelines on MPF Intermediary Registration and Notification of Changes |
10/12 11/17 |
3/14 9/19 |
2/16 |
3/16 |
10/17 |
| VI.3 | Guidelines on Annual Returns to be Delivered by Registered Intermediaries |
10/12 2/16 9/19 |
12/13 12/16 |
3/14 10/17 |
11/14 12/17 |
12/15 3/19 |
