To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO), its subsidiary legislation and related ordinances, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government.. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. securities and futures ordinance Consolidating and modernising The Securities and Futures Ordinance (“SFO”), which came into force on 1 April, 2003, consolidates into one piece of legislation the ten ordinances that previously regulated the securities and futures industry in Hong Kong. More importantly, the SFO has modernised much

securities and futures ordinance Consolidating and modernising The Securities and Futures Ordinance (“SFO”), which came into force on 1 April, 2003, consolidates into one piece of legislation the ten ordinances that previously regulated the securities and futures industry in Hong Kong. More importantly, the SFO has modernised much Codes and guidelines. The SFC issues codes and guidelines to help industry participants comply with the laws. Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. 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. Drafting and Making Legislation in Hong Kong Drafting Legislation in Hong Kong— A Guide to Styles and Practices How Legislation is Made in Hong Kong— A Drafter’s View of the Process

services and regulated under the law of any place outside Hong Kong; c) any authorized financial institution, or any bank which is not an authorized financial institution but is regulated under the law of any place outside Hong Kong; d) any insurer authorized under the Insurance Companies Ordinance (Cap. 41), or any other per-

ii. “Listed securities” Securities listed on the Hong Kong Stock Exchange at the time of the dealing in question. The definition of ‘listed securities’ include: issued unlisted securities provided that, at the time of the insider dealing, it is reasonably foreseeable that they will be listed and they are subsequently in fact THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE 1. INTRODUCTION 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 MARKET MISCONDUCT UNDER THE SECURITIES AND FUTURES ORDINANCE INTRODUCTION 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 SFO’s market misconduct provisions represent a The Historical Laws of Hong Kong Online is a full-text image database providing access to past revised editions of Hong Kong Laws. The database comprises a total of seven consolidations of the laws of Hong Kong: 1890, 1901, 1912, 1923, 1937, 1950, and 1964 (last updated to 1989). With the current Laws of Hong Kong available on the web, the Historical Laws of Hong Kong Online database rightly The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. 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 SFC’s powers to seek compensation for investors. Market misconduct under the Securities and Futures Ordinance. Insider dealing under the Securities and Futures Ordinance. Download pdf | Download word. Introduction. One of the first cases in which Hong Kong’s Securities and Futures Commission (the SFC) obtained compensation for public investors was the Lehman Brothers Minibond case, in Drafting and Making Legislation in Hong Kong Drafting Legislation in Hong Kong— A Guide to Styles and Practices How Legislation is Made in Hong Kong— A Drafter’s View of the Process

SFC’s powers to seek compensation for investors. Market misconduct under the Securities and Futures Ordinance. Insider dealing under the Securities and Futures Ordinance. Download pdf | Download word. Introduction. One of the first cases in which Hong Kong’s Securities and Futures Commission (the SFC) obtained compensation for public investors was the Lehman Brothers Minibond case, in

5 of 2002. SECURITIES AND FUTURES ORDINANCE—. PART I. A203. HONG KONG SPECIAL ADMINISTRATIVE REGION. ORDINANCE NO. 5 OF 2002. 14 Dec 2018 Hong Kong to participate or invest in unauthorized MPF schemes or pooled investment funds may amount to an offence under section. 103(1) of  27 Nov 2019 Securities and Futures Ordinance (with subsidiary legislation). We are directing you to the Hong Kong e-Legislation (HKeL) operated by the  26 Aug 2002 1. New Hong Kong Licensing and Registration Regime. 1.1 One licensing concept (Part V of the Securities and Futures Ordinance). 1.1.1. HONG KONG - Mayer Brown www.mayerbrown.com/-/media/files/news/2016/07/the-securities-litigation-review---2nd-edition/files/thesecuritieslitigationreview_edition2_hongkong/fileattachment/thesecuritieslitigationreview_edition2_hongkong.pdf Securities and Futures Commission (SFC) published final new Hong Kong Monetary Authority (HKMA) published a policy functions/banking-stability/ oversight/guideline.pdf SFC – Securities and Futures Ordinance [see above for link] 

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.

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. 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. To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO), its subsidiary legislation and related ordinances, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government.. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. securities and futures ordinance Consolidating and modernising The Securities and Futures Ordinance (“SFO”), which came into force on 1 April, 2003, consolidates into one piece of legislation the ten ordinances that previously regulated the securities and futures industry in Hong Kong. More importantly, the SFO has modernised much

rules. 6-10. 147. Monitoring compliance with financial resources rules. 6-20. Last updated date. 1.1.2020. Securities and Futures Ordinance. T-34. Cap. 571 

Drafting and Making Legislation in Hong Kong Drafting Legislation in Hong Kong— A Guide to Styles and Practices How Legislation is Made in Hong Kong— A Drafter’s View of the Process Securities and Futures Ordinance (‘the Ordinance’). The Notice and the accompanying synopsis are attached to this report as Annex ures A and B. CITIC and Its Sino Iron Project . 3. The SFC Notice concerned a company listed on the Stock Exchange of Hong Kong in 1986: stock number 267. At all times material to the enquiry before the Tribunal, the company was called CITIC Pacific . 2 ii. “Listed securities” Securities listed on the Hong Kong Stock Exchange at the time of the dealing in question. The definition of ‘listed securities’ include: issued unlisted securities provided that, at the time of the insider dealing, it is reasonably foreseeable that they will be listed and they are subsequently in fact THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE 1. INTRODUCTION 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 MARKET MISCONDUCT UNDER THE SECURITIES AND FUTURES ORDINANCE INTRODUCTION 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 SFO’s market misconduct provisions represent a The Historical Laws of Hong Kong Online is a full-text image database providing access to past revised editions of Hong Kong Laws. The database comprises a total of seven consolidations of the laws of Hong Kong: 1890, 1901, 1912, 1923, 1937, 1950, and 1964 (last updated to 1989). With the current Laws of Hong Kong available on the web, the Historical Laws of Hong Kong Online database rightly

To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO), its subsidiary legislation and related ordinances, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. 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. 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. To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO), its subsidiary legislation and related ordinances, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government.. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. securities and futures ordinance Consolidating and modernising The Securities and Futures Ordinance (“SFO”), which came into force on 1 April, 2003, consolidates into one piece of legislation the ten ordinances that previously regulated the securities and futures industry in Hong Kong. More importantly, the SFO has modernised much Codes and guidelines. The SFC issues codes and guidelines to help industry participants comply with the laws. Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. 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.