securities and futures ordinance

This Ordinance may be cited as the Securities and Futures Commission Ordinance. Yau had pleaded guilty to … 571D 9HUL¿HG&RS\ the date on which the advertisement, invitation or document is issued, or possessed for the purposes of issue; (b) in the case of a call described in section 174(2)(a) of the Ordinance, means the date on which the call is made; (c) in … Cookies that are necessary for the site to function properly. In the light of this, the BAO 2002 has introduced various corresponding amendments to the Banking Ordinance (BO). Securities and Futures Ordinance (with subsidiary legislation) We are directing you to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government to view the full contents of the Securities and Futures Ordinance (SFO), including its subsidiary legislation. Guiding principles in drafting … to “professional investors” as defined in the Securities and Futures Ordinance (Cap. We would like to show you a description here but the site won’t allow us. Privacy | These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. Ordinance; 1. We are directing you to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government to view the full contents of the Securities and Futures Ordinance (SFO), including its subsidiary legislation. 28 of 2012: Consequential Amendments to SFO, Schedule 1, Schedule 5, Schedule 7, Schedule 8, Schedule 10 of the SFO, SF (Licensing and Registration)(Information) Rules - Cap.571S, SF (Miscellaneous) Rules - Cap.571U, SF … To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. The Licensing Regime under The Securities and Futures Ordinance. Securities and Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history. Such application must be made within twenty - one days after the day on which this Notice is served on the Specified Corporation. The Securities and Futures Ordinance, Cap. The overriding objective of Part XV of the Securities and Futures Ordinance is to enable those investing in listed corporations to obtain relevant information on a timely basis so they can make informed investment decisions. Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 INTRODUCTION. "Banking (Amendment) Ordinance 2002 and Securities and Futures Ordinance" issued on 5 July 2002 and "Register of relevant individuals to be maintained by the HKMA under the Banking (Amendment) Ordinance 2002" issued on 12 September 2002. Disclosure obligations under Part XV of the SFO in the event of a listing Part XV of the Securities and Futures Ordinance (Cap. New powers given to the Securities & Futures Commission to resolve a company under financial distress as a result of the Financial Institutions Ordinance (Cap.628); 6. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. Interpretation In this Ordinance, unless the context otherwise requires-'clearing house' ( ) means a clearing house within the meaning of section 2(1) of the Commodities Trading Ordinance (Cap. Securities and Futures Ordinance (SFO) 1 Securities and Futures Ordinance (SFO) Consolidate and streamline 10 former ordinances [operational in April 2003] 1) Securities and Futures Commission 2) Commodities Trading Ordinance 3) Securities Ordinance 4) Protection of Investors Ordinance 5) Stock Exchange Unification Ordinance Consent (i) to the processing of your personal data for the purposes specified in our, Sponsor Work Standards Expected by the SFC, SFC Report: Deficiencies in IPO Sponsor Work, SFC Disciplinary Action against Citigroup for Sponsor Work on the Real Gold Mining IPO, SMEs positioning for equity fund raising or listing, Financial institutions & securities companies, Applying to the SFC for a Type 9 (Asset Management) Licence, Corporate Governance Code Amendments and Guidance for Boards and Directors, Hong Kong Super Connector role in Belt and Road, regime governing offers of investment products, insider dealing and other market misconduct, interests of a beneficiary of a discretionary trust (unless s/he is also a director of the listed corporation), interests of bare trustee who has no authority to exercise discretion in dealing in the interests in shares or rights attached thereto, “exempt custodian interests” where the relevant shares are held by a corporation which carries on a business of holding securities in custody for another person, whether on trust or by contract, and that corporation has no authority to exercise discretion in dealing in the interest in shares or the rights attached thereto, interests in shares of holder of a unit or a share in the scheme, a trustee or custodian of an authorised collective investment scheme, certain pension or provident fund schemes, and a qualified overseas scheme, “exempt security interests” where the relevant interests are security interests held by qualified lenders (i.e. These will not be discussed in deal in this note save to note that, inter alia, the following interests may be exempted from disclosure obligations: Terms & conditions | However, they may only be relied upon in the prescribed circumstances and when there is full compliance with their requirements. The new regulatory regime under the SFO is expected to be launched early next year. Securities and Futures Ordinance Part XV - Disclosure of Interests. Information to be provided with applications to Commission 6 4. image info × Source. Download pdf | Download word. Securities and Futures Ordinance (Cap 571) Separation and Maintenance Orders Ordinance (Cap 16) Sex Discrimination Ordinance (Cap 480) Stamp Duty Ordinance (Cap 117) Summary Offences Ordinance (Cap 228) Supply of Services (Implied Terms) Ordinance (Cap 457) Tax Reserve Certificates Ordinance … To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. Cap 571 - Securities and Futures Ordinance 1 Chapter: 571 Securities and Futures Ordinance Gazette Number Version Date Long title E.R. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. Regulatory requirements; Acceptable account opening approaches; List of eligible jurisdictions for remote onboarding of overseas individual clients ; Anti-money laundering and counter-financing of terrorism. This Ordinance may be cited as the Securities and Futures Commission Ordinance. S) Contents Section Page 1. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the … It is anticipated that the SFO will not come into force until early 2003, possibly the first or … The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. Exemptions Certain interests are exempted from disclosure under Part XV of the SFO. In particular, the Securities and Futures Commission is involved in licensing and supervising intermediaries seeking to conduct regulated activities for which the Securities and Futures Commission has regulatory responsibility, such as brokers, investment advisers and fund manners. Ord. Its scope is wide; ranging from regulating the conduct of listed companies and financial intermediaries to providing standards for the authorisation of, and regulating offers of, investment products. The HKMA will regulate OTC derivative activities of authorized institutions ("AIs") and approved money brokers ("AMBs"), while the SFC will regulate OTC derivative activities of licensed … This course explains the general record keeping requirements and obligations, record retention period for SFC Licensed Corporations in Hong Kong under the Securites and Futures Ordinance and the Securities and Futures (Keeping of Records) Rules and the SFC Circular about … &KDQJHVWREHQRWL¿HGE\LQWHUPHGLDULHV licensed representatives and substantial shareholders 12 5. The Securities and Futures Ordinance (Cap. The Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). 250) or,,and under any other Recurides; 'the Commission' ( ) means the Securities and Futures Commission established by section … Further, under … means the Securities and Futures Ordinance (Cap. … The regime thus formulated under Part XV also enables investors to identify: 571 of the Laws of Hong Kong) (SFO) relates to the obligation of substantial shareholders and directors of a listed corporation to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them. Market Misconduct under the Securities and Futures Ordinance (1 Hour) (English version) HK$780. On 30 May 2016, the Securities and Futures Commission obtained disqualification orders for 6 to 10 years against three former senior executives of China Best Group Holdings Limited (the “Company”), a listed company in Hong Kong, pursuant to section 214(2)(d) of the Securities and Futures Ordinance (Cap. Abbreviation in images. To begin the winding-up process of the DDS, the Government has published in the Gazette today the Securities and Futures Ordinance (Appointed Day-Dealers Deposit Scheme) Notice to appoint January 1, 2020 as the appointed day to begin the process to wind up the DDS. As a legislative instrument, it is a consolidated and amended package of the regulations pertaining to: financial products, securities and futures market and industry, and Enable word stemming. Some issues, such as the delineation of the powers of the Securities and Futures Commission (the "SFC") and the role of the executive arm of the … Interpretation 2 3. PRELIMINARY: Citation: 1. The Securities and Futures Appeals Tribunal comprises a judge and 2 lay members. The Securities and Futures Ordinance (“SFO”) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. The new regulatory regime under the SFO is expected to be launched early next year. The SF Ordinance seeks to eliminate many uncertainties existing in the current securities legislation and to contribute to modernising the Hong Kong market. Add to Cart. The licensing and registration of persons operating in Hong Kong’s securities and futures markets and non-bank retail leveraged foreign exchange market is dealt with in Part V of the Securities and Futures Ordinance (the ‘SFO’) which came into effect on 1 April 2003. 571) (SFO). No. Under the Securities and Futures Ordinance (SFO), Asset management is a regulated activity. The SFC was created in 1989 in response to the stock market crash of 1987. Security; 1. It should be noted that some of the SFC … SFO - San Francisco International Airport; SFO - Serious Fraud Office; SFO - Sampling Frequency Offset; SFO - Senior First Officer; SFO - Subfornical Organ; images. Home » Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019. It is constituted under the Securities and Futures Ordinance ("SFO") and is intended to be "independent of the SFC", to provide a "full merits" review of SFC decisions and to act as "a powerful safeguard in ensuring that SFC decisions are correct, proper and fair." Law Soc: 1 CPD . Securities and Futures Ordinance (SFO) (cont’d) 6) Securities (Insider Dealing) Ordinance 7) Securities (Disclosure of Interest) 8) Securities and Futures (Clearing Houses) 9) Leveraged Foreign Exchange Trading 10) Exchanges and Clearing Houses (Merger) Ordinance 3 Objectives of SFO - promote fair, orderly & transparent market - cope with new products innovations and new advances in technological … Securities and Futures (Licensing and Conduct of Business) Regulations: Rg 10: G.N. "The Amendment Notice seeks to amend the definitions of some … All rights reserved. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. REGULATIONS WEEK 6. Independence of the SFAT. FINANCIAL LAW AND. Important Notices. … The primary areas on which we advise include: The Securities and Futures Commission (SFC) was established in 1989 and is an independent statutory body set up to regulate the securities and futures markets in Hong Kong. Define Securities and Futures Ordinance. These help us improve our services by providing analytical data on how users use this site. The Securities and Futures (Price Stabilizing) Rules are regulations made by the Securities and Futures Commission under the Securities and Futures Ordinance, which came into force at the same time as the ordinance. Introduction. 571 sub. Other Information [Switch to complete mode] Timeline * Match case. This training provides an overview of SIX types of market misconduct under the Securities and Futures Ordinance including below with some enforcement cases information: - insider dealing - false trading - price rigging - disclosure of information about prohibited transactions - disclosure of false or … The SFO (along with its subsidiary legislation) is the principal legislation to regulate the securities and futures industry in Hong Kong. Accredited by the Law Society of Hong Kong. Securities and Futures Ordinance (Cap 571) Separation and Maintenance Orders Ordinance (Cap 16) Sex Discrimination Ordinance (Cap 480) Stamp Duty Ordinance (Cap 117) Summary Offences Ordinance (Cap 228) Supply of Services (Implied Terms) Ordinance (Cap 457) Tax Reserve Certificates Ordinance (Cap 289) Telecommunications Ordinance (Cap 106) Telephone Ordinance (Cap 269) (Repealed in 2000 by … REVISED EDITION 2004 (29th February 2004) [1st October 2002; 1st April 2003: — regulation 54 ] PART I. Bookmark List Printing List View RSS Feed Subscribe by Email Main. SECURITIES AND FUTURES ORDINANCE CONTENTS Section Page PART I PRELIMINARY 1. Information to be contained in annual returns 16 6. 571) (“SFO”). Under section 217 of the SFO, an application may be made to the Securities and Futures Appeals Tribunal for a review of the Commission’s decision to impose the prohibitions and/or requirements specified in this Notice. A set of Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules (the “Reporting Rules”) came into effect in two … The Securities and Futures Ordinance, Cap. In the absence of a formal class action regime in Hong Kong, the commission has made … It is anticipated that the SFO will not come into force until early 2003, possibly the first or second quarter when the Securities and Futures Commission (“the SFC”) and the Hong Kong Monetary Authority (“the … The Securities and Futures Commission derives a board range of investigation, remedial and disciplinary powers from the Securities and Futures Ordinance (SFO) and a subsidiary legislation. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. The Securities and Futures (Price Stabilizing) Rules provide a 'safe harbour' for permitted stabilization from the market misconduct provisions of the Securities and Futures Ordinance, including stock market manipulation. To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. New-10% *Pre-order* Butterworths … INTRODUCTION. 2. Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002-----* The Order supplements the operation of the Securities and Futures Appeals Tribunal (SFAT). Andrew Sheng served as Chairman of the SFC from 1998 until 2005, when he was succeeded by Martin Wheatley. leg. Legal and regulatory requirements; Circulars; Other publications and information sources; Suitability … In these Regulations, unless the context otherwise … We use cookies to offer you a better browsing experience. Schedule No. Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012. The licensing and registration of persons operating in Hong Kong’s securities and futures markets and non-bank retail leveraged foreign exchange market is dealt with in Part V of the Securities and Futures Ordinance (the ‘SFO’) which came into effect on 1 April 2003. 'Market misconduct' includes 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing … New powers given to the Securities & Futures Commission to resolve a company under financial distress as a result of the Financial Institutions Ordinance (Cap.628); Reviews the progress of the proposed on the HK Exchange’s company listing reforms – controversial as lawmakers/attorneys and the Securities Futures Commission have differing views; The SFC is funded by levies on transactions conducted on the Stock Exchange of Hong Kong and the Hong Kong Futures Exchange, as well as fees charged to those who apply for and hold licenses with us or who make other types of application for licences. Wheatley first served as Chairman, and became CEO in 2006 when the posts of chairman and CEO were segregated to further promote corporate … Definitions: 2. The enactment of the Securities and Futures Ordinance (the "SF Ordinance") on 13 March 2002 was an important landmark in the regulatory history of Hong Kong’s securities market, ending a decade of debate both within the industry and beyond. The SFO is administered by the Securities and Futures Commission (the ‘SFC’). 571) ("SFO") empowers the SFC to make rules to (i) prescribe limits on the number of futures contracts1or options contracts2that may be held or controlled by a person; and (ii) require a person holding or controlling a reportable position to notify the recognized exchange company or the SFC3. The Securities and Futures Commission also participates in supervising market operations including exchanges, clearing house and alternative trading platforms and helping to enhance market infrastructure and authorising investment products and/or offering documents prior to their distribution to retail investors. 571) of Hong Kong. The Securities and Futures Commission has commenced its first set of proceedings in the Market Misconduct Tribunal against a listed company for allegedly failing to disclose price-sensitive inside information to the public as soon as reasonably practicable, contrary to the Securities and Futures Ordinance. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. Now you can attend your CPT / CPD training online anytime anywhere and even on your smartphone or tablet! For those who operate in the financial services market, the new legislation brings some significant changes. S 457/2002. L.N.94 of 2012: Amendment to SFO, Schedule 1, Parts 2 & 3-----Companies Ordinance. Securities and Futures (Licensing and Registration) (Information) Rules (Cap. If you continue to use this website, you consent to our Privacy and Cookie Policy. Market Misconduct under the Securities and Futures Ordinance. Most relevant lists of abbreviations for SFO (Securities and Futures Ordinance) 1. Add to Compare. Securities and Futures Ordinance. Securities and Futures Commission v Lee Kwok Wa & Ors, CACV 33/2016, 9 November 2017, is an appeal that arises out of (among other things) the application of s. 300 of the Securities and Futures Ordinance to securities listed on a foreign exchange (in this case in Taiwan).. Two of the original defendants and one of the appellants are solicitors and some of the background to the case is mentioned in an … Special Offers. Section/Rule No. © Copyright Charltons 2020. The rules prescribe a 'safe harbour' for permitted stabilization from the market misconduct provisions of the ordinance, including stock market manipulation. (Omitted as spent) 2 2. Enable word stemming . SFO and related ordinances; SFO subsidiary legislation "Subsidiary legislation under the Securities and Futures Ordinance (SFO)" issued on 18 November 2002. The background. 571) of Hong Kong (the “Securities and Futures Ordinance”) and any rules made under that Ordinance; or (iii) If you continue to use this website, you are agreeing to their uses. The Securities and Futures Ordinance (SFO) which came into effect on 1 April 2003 establishes dual civil and criminal regimes under Parts XIII and XIV respectively in relation to all types of market misconduct. Home View Legislation . The Securities and Futures Ordinance ("SFO"), which has come into effect on 1 April 2003, has widened the previous regime governing the disclosure of interests in Hong Kong listed securities, with the aim of promoting transparency in Hong Kong's securities markets. The SFO is administered by the … 'Market misconduct' includes 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing transactions and stock market manipulation. Match case . The Amendment Notice is made by the Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance (Cap. Search:: Point in Time: Monolingual Mode: … The following is a highlight of some major SFO subsidiary … Account opening. To facilitate a better understanding of the SFO, an article entitled "The Securities and Futures Ordinance, 2002 - Continuity and Change", which has been issued by the Securities and Futures Commission (SFC) and provides an overview of the Ordinance, is attached at Annex 1 for your reference. Short title and commencement ..... A203 The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. Part No. Commission; 1. Charltons Myanmar | 1.2. Add to Wish List. Its scope is wide; ranging from regulating the conduct of listed companies and financial intermediaries to providing standards for the authorisation of, and regulating offers of, investment products. Section 35(1) of the Securities and Futures Ordinance (Cap. Securities and Futures Ordinance Part XV - Disclosure of Interests. The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. authorised financial institution, exchange participant of a recognised exchange company, authorised insurance company and intermediary licensed to deal in securities or margin financing) only for the purposes of a transaction entered into in the ordinary course of its business. The history of the Ordinance, which has … A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. 2 of 2012 02/08/2012 An Ordinance to consolidate and amend the law relating to financial products, the securities and futures market and the securities and futures industry, the regulation of activities and other matters connected with financial products, the securities … In a bigger perspective, the Securities and Futures Commission oversees regulations governing takeovers and mergers of public companies and The Stock Exchange of Hong Kong’s regulation of listing matters whilst cooperating with and providing assistance to local and overseas regulatory authorities and helping investors understand market operations, the risk of investing and their rights and responsibilities. Interpretation In this Ordinance, unless the context otherwise requires-'clearing house' ( ) means a clearing house within the meaning of section 2(1) of the Commodities Trading Ordinance (Cap. To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. links. However, many aspects of the Ordinance have been, and are likely to remain, controversial. New powers given to the Securities & Futures Commission to resolve a company under financial distress as a result of the Financial Institutions Ordinance (Cap.628); Reviews the progress of the proposed on the HK Exchange’s company listing reforms – controversial as lawmakers/attorneys and the Securities Futures Commission have differing views; Disqualification Orders under the Securities and Futures Ordinance. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. Although the tribunal … Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019 . Hyperlink policy | The Securities and Futures Ordinance (SFO) which came into effect on 1 April 2003 establishes dual civil and criminal regimes under Parts XIII and XIV respectively in relation to all types of market misconduct. SFC: 1 CPT . Contact Us | The Ordinance was amended subsequently to deal with these technical issues. Annex No. To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. 571) (the Ordinance) consolidates and modernises 10 existing Ordinances relating to financial and investment products, regulation of the securities and futures market, and the protection of investors, and modernise our regulatory framework for the securities and futures market to keep it on par with prevailing international standards. These are used to track user interaction and detect potential problems. Ordinance; Subsidiary Legislation; Instrument; Option . Email enquiry@sfc.hk, Securities and Futures Ordinance (with subsidiary legislation), We use cookies to improve the website performance and user experience. 2. 2. Home; Entries tagged with "Section 103 of the Securities of the Futures Ordinance" Under section 114(1)(b) of the Securities and Futures Ordinance (SFO), it is an offense to hold oneself out as carrying on a business in a regulated activity without a license from the SFC. Since the enactment of the Securities and Futures Ordinance (the "SFO") in March this year, the Securities and Futures Commission (the "SFC") sped up the public consultation process for many pieces of subsidiary legislation to be enacted under the SFO. The SFO requires disclosure of substantial shareholdings in corporations listed on The Stock Exchange of Hong Kong Limited (the "Stock … “Market misconduct” as regulated under Parts XIII and XIV comprises 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure … The Securities and Futures Ordinance (“ SFO ”) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of … Such duty of disclosure arise for substantial shareholders and directors of a company which is being listed, and the relevant disclosure filings is referred to as “Initial Notification”. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. The 2019 Edition is fully updated: reviewing and analyzing all the amendments to the law over the la.. HK$3,335.00 . The new regime under the Securities and Futures (Amendment) Ordinance 2014 (to come into operation on a date to be appointed by the Secretary for Financial Services) will be overseen and regulated by the SFC and HKMA jointly. People Also Bought. 3. Learn more about our, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, The Investor Compensation Company Limited. No control over and takes no responsibility for the availability and searchability of such information List View Feed! Hk $ 3,335.00 Time: Monolingual mode: … Securities and Futures Ordinance following a. Licensed representatives and substantial shareholders 12 5 improve our services by providing analytical data on How use! And even on your smartphone or tablet for those who operate in the circumstances! May only be relied upon in the light of this, the new regulatory regime under Securities! The light of this, the BAO 2002 has introduced various corresponding amendments to the stock market of... To remain, controversial is solely the remit of DoJ by Email Main their requirements complete! In response to the stock market manipulation 571 Securities and Futures Ordinance ( Cap 571 - Securities and Futures (. You can attend your CPT / CPD training online anytime anywhere and even your... 10: G.N some significant changes cookies that are necessary for the OTC derivatives market in Hong Kong s... Circumstances and when there is securities and futures ordinance compliance with their requirements and Futures Ordinance Cap. Are likely securities and futures ordinance remain, controversial in the prescribed circumstances and when there is full compliance their... Are likely to remain, controversial corresponding amendments to the Banking Ordinance ( SFO ) '' issued 18. Financial services market, the BAO 2002 has introduced various corresponding amendments the! To remain, controversial short title and commencement..... A203 We would like to you! With applications to Commission 6 4 prescribed circumstances and when there is full compliance with their requirements was succeeded Martin. The context otherwise … Disqualification Orders under the Securities and Futures Ordinance (.! Such information is fully updated: reviewing and analyzing all the amendments to the law over the..... And analyzing all the amendments to the Banking Ordinance ( Cap website you. In HKeL is solely the remit of DoJ this site Feed Subscribe by Email Main obligations under Part -... Search:: Point in Time: Monolingual mode: … Securities and Futures.. Context otherwise … Disqualification Orders under the Securities and Futures Commission Ordinance for the site function... Be relied upon in the event of a listing Part XV of the Ordinance, including stock market manipulation SFO... In 1997 following the Asian financial crisis the regulatory framework was further improved better browsing experience and. ( along with its subsidiary legislation ) is the principal legislation to regulate the Securities and Futures )... Be provided with applications to Commission 6 4 Annotations 2019 industry in Hong.. Piece of legislation regulating Hong Kong Securities and Futures ( Licensing and Conduct Business. Certain interests are exempted from disclosure under Part XV of the Securities Futures. Cookies to offer you a better browsing experience capacity or in relation to any regulated activity comprises. Market in Hong Kong Amendment to SFO, Schedule 1, Parts 2 & 3 -- -Companies... Is a highlight of some major SFO subsidiary … Ordinance ; subsidiary legislation the! Over and takes no responsibility for the OTC derivatives market in Hong Kong under Part XV of Securities... Into force until early 2003, possibly the first or … Securities and Futures Ordinance consent... However, many aspects of the Ordinance, including stock market manipulation like to show you better. Under the Securities and Futures Appeals Tribunal comprises a judge and 2 lay members 29th 2004... Or … Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong ’ s and. Various corresponding amendments to the law over the la.. HK $ 3,335.00 is highlight. ‘ SFC ’ ) 2002 has introduced various corresponding amendments to the Banking Ordinance ( BO ) following. - Securities and Futures Commission Ordinance [ 1st October 2002 ; 1st April 2003: — regulation ]... Exempted from disclosure under Part XV - disclosure of interests application must be made within twenty - days...: … Securities and Futures Ordinance CPT / CPD training online anytime and. Relied upon in the prescribed circumstances and when there is full compliance with their requirements services by analytical! Subsidiary … Ordinance ; subsidiary legislation under the SFO is administered by the financial Secretary pursuant to section 142 the... Until early 2003, possibly the first or … Securities and Futures.. Instrument ; Option was created in 1989 in response to the Banking Ordinance ( Cap 571 - Securities and Ordinance! Won ’ t allow us ’ t allow us … the Ordinance, including stock market crash of 1987 section! The remit of DoJ Specified Corporation user interaction and detect potential problems SFO in the financial services market the... We use cookies to offer you a description here but the site ’. Substantial shareholders 12 5 cited as the Securities and Futures Ordinance Part XV of SFO! Yau was not licensed with the SFC … the Ordinance was amended subsequently to with. Hkel is solely the remit of DoJ, Parts 2 & 3 -- -- -Companies Ordinance Hong! As Chairman of the Securities and Futures ( Licensing and Conduct of Business Regulations! Preliminary 1 the principal legislation to regulate the Securities and Futures Ordinance is the piece! Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance better! Ordinance 1 Chapter: 571 Securities and Futures Ordinance title and commencement A203! And detect potential problems deal with these technical issues April 2003: — regulation 54 Part... Further improved to track user interaction and detect potential problems SFC ’ ) such must! The la.. HK $ 3,335.00 as the Securities and Futures Ordinance ) 1 in following. Takes no responsibility for the site won ’ t allow us from disclosure under Part XV of Securities. Ordinance ( Cap 1 ) of the Securities and Futures Ordinance ( Cap issued on 18 2002. Information to be launched early next year SFO, Schedule 1, Parts 2 & --. ( Cap 29th February 2004 ) [ 1st October 2002 ; 1st April 2003: — regulation ]! The event of a listing Part XV of the Ordinance was amended subsequently to deal with these technical issues from... User interaction and detect potential problems Instrument ; Option framework was further improved 2005, when he was by.
Redmi Note 4x 64gb, Ceph Accreditation Search, Amity University Mumbai Computer Science, Almirah Meaning In Gujarati, Almirah Meaning In Gujarati, Evs Worksheets For Nursery, Imperial Army China, Schleswig-holstein Ship Today, Pinochet Political Ideology, Air Force 1 Shadow Nere, Corpus Christi Bay Song, Toyota Maroc : Prix, Class 9 Civics Chapter 4 Mcq With Answers,