image info × Source. The Securities and Futures Appeals Tribunal comprises a judge and 2 lay members. In the absence of a formal class action regime in Hong Kong, the commission has made … The SFO is administered by the … Yau was not licensed with the SFC in any capacity or in relation to any regulated activity. INTRODUCTION. The new regulatory regime under the SFO is expected to be launched early next year. Under the Securities and Futures Ordinance (SFO), Asset management is a regulated activity. In the light of this, the BAO 2002 has introduced various corresponding amendments to the Banking Ordinance (BO). L.N.94 of 2012: Amendment to SFO, Schedule 1, Parts 2 & 3-----Companies Ordinance. means the Securities and Futures Ordinance (Cap. 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 background. 250) or,,and &KDQJHVWREHQRWL¿HGE\LQWHUPHGLDULHV licensed representatives and substantial shareholders 12 5. SFO and related ordinances; SFO subsidiary legislation The Securities and Futures Ordinance, Cap. 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. Section/Rule No. 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 … Home » Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019. FINANCIAL LAW AND. 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. Annex No. Download pdf | Download word. 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." 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 … Independence of the SFAT. The regime thus formulated under Part XV also enables investors to identify: To facilitate a better understanding of the SFO, an article entitled "The … The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. We use cookies to offer you a better browsing experience. 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 (Amendment of Schedule 8) Order 2002-----* The Order supplements the operation of the Securities and Futures Appeals Tribunal (SFAT). Accredited by the Law Society of Hong Kong. 2. We would like to show you a description here but the site won’t allow us. 2. INTRODUCTION. New-10% *Pre-order* Butterworths … The 2019 Edition is fully updated: reviewing and analyzing all the amendments to the law over the la.. HK$3,335.00 . 'Market misconduct' includes 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing … leg. 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. Ordinance; 1. 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. REGULATIONS WEEK 6. 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 … Add to Cart. Securities and Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history. PRELIMINARY: Citation: 1. Introduction. These help us improve our services by providing analytical data on how users use this site. The Licensing Regime under The Securities and Futures Ordinance. Add to Wish List. 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. 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 … The Securities and Futures Ordinance (Cap. In the rules' Legislative … The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. 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. 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. 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. Email enquiry@sfc.hk, Securities and Futures Ordinance (with subsidiary legislation), We use cookies to improve the website performance and user experience. Now you can attend your CPT / CPD training online anytime anywhere and even on your smartphone or tablet! to “professional investors” as defined in the Securities and Futures Ordinance (Cap. Enable word stemming. 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. Securities and Futures Ordinance. 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. Sitemap | Home; Entries tagged with "Section 103 of the Securities of the Futures Ordinance" Information to be provided with applications to Commission 6 4. 571) (“SFO”). These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. For those who operate in the financial services market, the new legislation brings some significant changes. 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 Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. … The SFO is administered by the Securities and Futures Commission (the ‘SFC’). History. "The Amendment Notice seeks to amend the definitions of some … Other Information [Switch to complete mode] Timeline * Match case. The Ordinance was amended subsequently to deal with these technical issues. Exemptions Certain interests are exempted from disclosure under Part XV of the SFO. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. Special Offers. The SF Ordinance seeks to eliminate many uncertainties existing in the current securities legislation and to contribute to modernising the Hong Kong market. 1.2. links. 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 … 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 Securities and Futures Ordinance, Cap. In these Regulations, unless the context otherwise … "Subsidiary legislation under the Securities and Futures Ordinance (SFO)" issued on 18 November 2002. Contact Us | 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; 1. Business; Alternative Meanings 162 alternative SFO meanings. The Securities and Futures Ordinance . 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. 571) of Hong Kong. Important Notices. SFO - San Francisco International Airport; SFO - Serious Fraud Office; SFO - Sampling Frequency Offset; SFO - Senior First Officer; SFO - Subfornical Organ; images. Legal and regulatory requirements; Circulars; Other publications and information sources; Suitability … 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. All rights reserved. Part No. 3. The Amendment Notice is made by the Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance (Cap. Section 35(1) of the Securities and Futures Ordinance (Cap. The rules prescribe a 'safe harbour' for permitted stabilization from the market misconduct provisions of the ordinance, including stock market manipulation. Interpretation 2 3. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. 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. 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. Market Misconduct under the Securities and Futures 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. It is anticipated that the SFO will not come into force until early 2003, possibly the first or … 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. '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. However, many aspects of the Ordinance have been, and are likely to remain, controversial. Securities and Futures (Licensing and Conduct of Business) Regulations: Rg 10: G.N. Commission; 1. Securities and Futures (Licensing and Registration) (Information) Rules (Cap. … 571) of Hong Kong (the “Securities and Futures Ordinance”) and any rules made under that Ordinance; or (iii) Ord. 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. Privacy | 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. Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012. 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 | 250) or,,and under any other Recurides; 'the Commission' ( ) means the Securities and Futures Commission established by section … 2. 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. 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 history of the Ordinance, which has … Home View Legislation . 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 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. These are used to track user interaction and detect potential problems. 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. 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. S) Contents Section Page 1. 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. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. 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. Security; 1. Most relevant lists of abbreviations for SFO (Securities and Futures Ordinance) 1. SECURITIES AND FUTURES ORDINANCE CONTENTS Section Page PART I PRELIMINARY 1. 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 SFO (along with its subsidiary legislation) is the principal legislation to regulate the securities and futures industry in Hong Kong. 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 … 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. The SFO requires disclosure of substantial shareholdings in corporations listed on The Stock Exchange of Hong Kong Limited (the "Stock … SFC: 1 CPT . It should be noted that some of the SFC … 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. Guiding principles in drafting … Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 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. 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 … Search:: Point in Time: Monolingual Mode: … A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the … 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. 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