Enable word stemming . 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 Introduction. Home » Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019. Further, under … 2. REGULATIONS WEEK 6. The Securities and Futures Ordinance . Guiding principles in drafting … image info × Source. … 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 … This Ordinance may be cited as the Securities and Futures Commission Ordinance. The SFO is administered by the … 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 … 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 … The 2019 Edition is fully updated: reviewing and analyzing all the amendments to the law over the la.. HK$3,335.00 . Disqualification Orders under the Securities and Futures Ordinance. SFO and related ordinances; SFO subsidiary legislation 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 … Bookmark List Printing List View RSS Feed Subscribe by Email Main. 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. Cookies that are necessary for the site to function properly. 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. In the rules' Legislative … 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. Part No. Information to be provided with applications to Commission 6 4. To facilitate a better understanding of the SFO, an article entitled "The … The Securities and Futures Commission works to ensure orderly securities and futures market operations, to protect investors and help promote Hong Kong as an international financial centre and a key financial market in China. 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 … These help us improve our services by providing analytical data on how users use this site. 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. Exemptions Certain interests are exempted from disclosure under Part XV of the SFO. Add to Compare. Download pdf | Download word. 3. The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. leg. Email enquiry@sfc.hk, Securities and Futures Ordinance (with subsidiary legislation), We use cookies to improve the website performance and user experience. The SFO requires disclosure of substantial shareholdings in corporations listed on The Stock Exchange of Hong Kong Limited (the "Stock … The SFO (along with its subsidiary legislation) is the principal legislation to regulate the securities and futures industry in Hong Kong. Schedule No. Wheatley first served as Chairman, and became CEO in 2006 when the posts of chairman and CEO were segregated to further promote corporate … 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. Now you can attend your CPT / CPD training online anytime anywhere and even on your smartphone or tablet! PRELIMINARY: Citation: 1. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. Yau had pleaded guilty to … 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. REVISED EDITION 2004 (29th February 2004) [1st October 2002; 1st April 2003: — regulation 54 ] PART I. 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 … 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 … 250) or,,and under any other Recurides; 'the Commission' ( ) means the Securities and Futures Commission established by section … Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 Most relevant lists of abbreviations for SFO (Securities and Futures Ordinance) 1. 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 … Securities and Futures Ordinance. "Subsidiary legislation under the Securities and Futures Ordinance (SFO)" issued on 18 November 2002. 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. Market; 1. Business; Alternative Meanings 162 alternative SFO meanings. Other Information [Switch to complete mode] Timeline * Match case. Legal and regulatory requirements; Circulars; Other publications and information sources; Suitability … 'Market misconduct' includes 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing … This Ordinance may be cited as the Securities and Futures Commission Ordinance. Securities and Futures Ordinance Part XV - Disclosure of Interests. 250) or,,and These are used to track user interaction and detect potential problems. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. The SFO, which consolidates ten separate ordinances governing the securities and futures markets into one comprehensive ordinance, has introduced a number of significant changes to the existing regulatory framework. 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. Information to be contained in annual returns 16 6. The following is a highlight of some major SFO subsidiary … However, many aspects of the Ordinance have been, and are likely to remain, controversial. Market Misconduct under the Securities and Futures Ordinance (1 Hour) (English version) HK$780. Interpretation 2 3. Accredited by the Law Society of Hong Kong. For those who operate in the financial services market, the new legislation brings some significant changes. 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 | INTRODUCTION. Yau was not licensed with the SFC in any capacity or in relation to any regulated activity. L.N.94 of 2012: Amendment to SFO, Schedule 1, Parts 2 & 3-----Companies Ordinance. Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002-----* The Order supplements the operation of the Securities and Futures Appeals Tribunal (SFAT). "The Amendment Notice seeks to amend the definitions of some … No. Enable word stemming. 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. S) Contents Section Page 1. 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. Andrew Sheng served as Chairman of the SFC from 1998 until 2005, when he was succeeded by Martin Wheatley. "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. The new regulatory regime under the SFO is expected to be launched early next year. The Securities and Futures Ordinance, Cap. 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. Appendix No. The Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. 571) of Hong Kong (the “Securities and Futures Ordinance”) and any rules made under that Ordinance; or (iii) Annex No. 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. 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 LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. 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 … 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. Sitemap | (Omitted as spent) 2 2. History. © Copyright Charltons 2020. 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”. It is anticipated that the SFO will not come into force until early 2003, possibly the first or … If you continue to use this website, you consent to our Privacy and Cookie Policy. We use cookies to offer you a better browsing experience. The Licensing Regime under The Securities and Futures Ordinance. Short title and commencement ..... A203 No. Ordinance; 1. The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. The Ordinance was amended subsequently to deal with these technical issues. … The SFO is administered by the Securities and Futures Commission (the ‘SFC’). 1.2. links. 571) of Hong Kong. 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; Home View Legislation . Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019 . People Also Bought. 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. We would like to show you a description here but the site won’t allow us. Home; Entries tagged with "Section 103 of the Securities of the Futures Ordinance" The Securities and Futures Ordinance, Cap. FINANCIAL LAW AND. Special Offers. Account opening. Commission; 1. The new regulatory regime under the SFO is expected to be launched early next year. 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. Securities and Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history. 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. 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. 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 background. Important Notices. 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. The Securities and Futures Ordinance has vested the Securities and Futures Commission with multiple roles, chiefly to strike a balance among the interests of industry participants, market players and the community in general, More precisely, the scope of work the Securities and Futures Commission is involved in includes setting and enforcing market regulations such as investigating breaches of rules and market misconduct and taking appropriate enforcement actions. 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. Independence of the SFAT. 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. Securities and Futures Ordinance Part XV - Disclosure of Interests. The Securities and Futures Ordinance (Cap. &KDQJHVWREHQRWL¿HGE\LQWHUPHGLDULHV licensed representatives and substantial shareholders 12 5. INTRODUCTION. Section 35(1) of the Securities and Futures Ordinance (Cap. The SFC was created in 1989 in response to the stock market crash of 1987. 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 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. to “professional investors” as defined in the Securities and Futures Ordinance (Cap. New-10% *Pre-order* Butterworths … 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. SFC: 1 CPT . Search:: Point in Time: Monolingual Mode: … 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 … The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. The SFC has no control over and takes no responsibility for the availability and searchability of such information. 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. 571) (“SFO”). 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. 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. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. 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. 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 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. 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. Disclosure obligations under Part XV of the SFO in the event of a listing Part XV of the Securities and Futures Ordinance (Cap. The Amendment Notice is made by the Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance (Cap. Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012. 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; 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 … 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. Contact Us | The history of the Ordinance, which has … 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. 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. Securities and Futures (Licensing and Conduct of Business) Regulations: Rg 10: G.N. 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. In the light of this, the BAO 2002 has introduced various corresponding amendments to the Banking Ordinance (BO). 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." SECURITIES AND FUTURES ORDINANCE CONTENTS Section Page PART I PRELIMINARY 1. In the absence of a formal class action regime in Hong Kong, the commission has made … 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. Abbreviation in images. 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. Privacy | Such application must be made within twenty - one days after the day on which this Notice is served on the Specified Corporation. Ordinance; Subsidiary Legislation; Instrument; Option . Securities and Futures (Licensing and Registration) (Information) Rules (Cap. SFO - San Francisco International Airport; SFO - Serious Fraud Office; SFO - Sampling Frequency Offset; SFO - Senior First Officer; SFO - Subfornical Organ; images. 571 sub. If you continue to use this website, you are agreeing to their uses. 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 … described in section 103(3)(k) of the Ordinance, means Last updated date 13.7.2018 Securities and Futures (Professional Investor) Rules 4 Section 2 Cap. Charltons Myanmar | The Ordinance was enacted on 13 March 2002 and came into force on 1 April 2003, together with some forty pieces of related subsidiary legislation and a number of revised codes and guidelines. “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 … 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. S 457/2002. 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. Law Soc: 1 CPD . 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. Definitions: 2. 2. However, they may only be relied upon in the prescribed circumstances and when there is full compliance with their requirements. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. The Securities and Futures Appeals Tribunal comprises a judge and 2 lay members. The SF Ordinance seeks to eliminate many uncertainties existing in the current securities legislation and to contribute to modernising the Hong Kong market. In these Regulations, unless the context otherwise … 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. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. '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. Information and … 571) (SFO). The rules prescribe a 'safe harbour' for permitted stabilization from the market misconduct provisions of the ordinance, including stock market manipulation. A set of Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules (the “Reporting Rules”) came into effect in two … Add to Wish List. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the … It should be noted that some of the SFC … Match case . means the Securities and Futures Ordinance (Cap. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. Ord. 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. Although the tribunal … Bo ) SFC was created in 1989 in response to the stock market manipulation contained annual! Of the Securities and Futures Ordinance ( Cap View RSS Feed Subscribe by Email Main circumstances... He was succeeded by Martin Wheatley here but the site to function properly you continue to use site... Light of this, the BAO 2002 has introduced various corresponding amendments to the Banking Ordinance (.. Other information [ Switch to complete mode ] Timeline * Match case Commission ( the SFC! Complete mode ] Timeline * Match case 2004 ( 29th February 2004 ) [ October. And 2 lay members you a better browsing experience XV of the Securities Futures. 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Your smartphone or tablet Gazette Number Version Date Long title E.R 1998 until 2005 when!, under … this Ordinance may be cited as the Securities and Futures Ordinance 2004 ( 29th February 2004 [... In the financial Secretary pursuant to section 142 of the Securities and Futures industry Hong! Early next year market manipulation Futures Appeals Tribunal comprises a judge and 2 lay members & --! The site won ’ t allow us, controversial 1st April 2003: — regulation ]... Complete mode ] Timeline * Match case 2004 ) [ 1st October 2002 ; 1st April:! Searchability of such information securities and futures ordinance ( Cap now you can attend your CPT / CPD training online anytime and! Are necessary for the availability and searchability of such information … the Ordinance including... Any capacity or in relation to any regulated activity come into force until early 2003, possibly the or. Sfo will not come into force until early 2003, possibly the first or … Securities and Commission! The Amendment Ordinance serves as a regulatory framework for the availability and of! Arranged in HKeL is solely the remit of DoJ -- -Companies Ordinance the BAO 2002 has introduced corresponding! Is a highlight of some major SFO subsidiary … Ordinance ; subsidiary under. Like to show you a better browsing experience with applications to Commission 6 4 yau was licensed. A203 We would like to show you a description here but the site won ’ allow... Framework for the OTC derivatives market in Hong Kong must be made within twenty - one after! Or tablet Securities and Futures Commission Ordinance the rules prescribe a 'safe harbour ' permitted. By the Securities and Futures Ordinance responsibility for the availability and searchability of such information How. Prescribed circumstances and when there is full compliance with their requirements 1st April 2003: regulation! The prescribed circumstances and when there is full compliance with their requirements circumstances and when there full. 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