We use cookies to offer you a better browsing experience. 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. Under the Securities and Futures Ordinance (SFO), Asset management is a regulated activity. Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002-----* The Order supplements the operation of the Securities and Futures Appeals Tribunal (SFAT). Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012. The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. 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. Market Misconduct under the Securities and Futures Ordinance. 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A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. Enable word stemming. The rules prescribe a 'safe harbour' for permitted stabilization from the market misconduct provisions of the ordinance, including stock market manipulation. 1.2. Account opening. 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. Market Misconduct under the Securities and Futures Ordinance (1 Hour) (English version) HK$780. 2. 571) (SFO). The Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). Cookies that are necessary for the site to function properly. 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. Section 35(1) of the Securities and Futures Ordinance (Cap. 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. Interpretation 2 3. Email enquiry@sfc.hk, Securities and Futures Ordinance (with subsidiary legislation), We use cookies to improve the website performance and user experience. The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. Wheatley first served as Chairman, and became CEO in 2006 when the posts of chairman and CEO were segregated to further promote corporate … The SFO (along with its subsidiary legislation) is the principal legislation to regulate the securities and futures industry in Hong Kong. … For those who operate in the financial services market, the new legislation brings some significant changes. 571 sub. 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 Ordinance, Cap. FINANCIAL LAW AND. 3. S) Contents Section Page 1. 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 … This Ordinance may be cited as the Securities and Futures Commission Ordinance. Appendix No. The SFO requires disclosure of substantial shareholdings in corporations listed on The Stock Exchange of Hong Kong Limited (the "Stock … Add to Wish List. 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. 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. Disqualification Orders under the Securities and Futures Ordinance. 571) of Hong Kong. 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) (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. The regime thus formulated under Part XV also enables investors to identify: However, they may only be relied upon in the prescribed circumstances and when there is full compliance with their requirements. Special Offers. Accredited by the Law Society of Hong Kong. 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. 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 Ordinance was amended subsequently to deal with these technical issues. 2. The SFC has no control over and takes no responsibility for the availability and searchability of such information. 'Market misconduct' includes 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false or misleading information inducing … Hyperlink policy | 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 | Ordinance; Subsidiary Legislation; Instrument; Option . 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. Yau had pleaded guilty to … Part No. 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. Now you can attend your CPT / CPD training online anytime anywhere and even on your smartphone or tablet! Security; 1. Search:: Point in Time: Monolingual Mode: … It is anticipated that the SFO will not come into force until early 2003, possibly the first or … 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. 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 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 … Charltons Myanmar | means the Securities and Futures Ordinance (Cap. "The Amendment Notice seeks to amend the definitions of some … 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. 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. In these Regulations, unless the context otherwise … 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. The following is a highlight of some major SFO subsidiary … Securities and Futures (Licensing and Registration) (Information) Rules (Cap. Schedule No. 250) or,,and image info × Source. Commission; 1. 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." The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. 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 … We would like to show you a description here but the site won’t allow us. 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. These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. Sitemap | Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019 . The SFO is administered by the … 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. 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. 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”. 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. The history of the Ordinance, which has … The 2019 Edition is fully updated: reviewing and analyzing all the amendments to the law over the la.. HK$3,335.00 . 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 … 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 Securities and Futures Ordinance, Cap. SFO and related ordinances; SFO subsidiary legislation © Copyright Charltons 2020. The new regulatory regime under the SFO is expected to be launched early next year. Further, under … Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 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 … 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. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. The Licensing Regime under The Securities and Futures Ordinance. It should be noted that some of the SFC … 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 … Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. 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; Legal and regulatory requirements; Circulars; Other publications and information sources; Suitability … The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. Law Soc: 1 CPD . L.N.94 of 2012: Amendment to SFO, Schedule 1, Parts 2 & 3-----Companies Ordinance. Cap 571 - Securities and Futures Ordinance 1 Chapter: 571 Securities and Futures Ordinance Gazette Number Version Date Long title E.R. Other Information [Switch to complete mode] Timeline * Match case. 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. Ord. 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. 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. Add to Cart. 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. Securities and Futures Ordinance Part XV - Disclosure of Interests. SFO - San Francisco International Airport; SFO - Serious Fraud Office; SFO - Sampling Frequency Offset; SFO - Senior First Officer; SFO - Subfornical Organ; images. 571) (“SFO”). 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. Yau was not licensed with the SFC in any capacity or in relation to any regulated activity. These help us improve our services by providing analytical data on how users use this site. 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. 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. 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. 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. In the rules' Legislative … The SFC was created in 1989 in response to the stock market crash of 1987. This Ordinance may be cited as the Securities and Futures Commission Ordinance. 250) or,,and under any other Recurides; 'the Commission' ( ) means the Securities and Futures Commission established by section … Guiding principles in drafting … 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. However, many aspects of the Ordinance have been, and are likely to remain, controversial. 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 (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. INTRODUCTION. 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. REGULATIONS WEEK 6. Andrew Sheng served as Chairman of the SFC from 1998 until 2005, when he was succeeded by Martin Wheatley. 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 transactions and stock market manipulation. INTRODUCTION. Securities and Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history. Match case . Define Securities and Futures Ordinance. 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 … 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 LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. 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). SECURITIES AND FUTURES ORDINANCE CONTENTS Section Page PART I PRELIMINARY 1. History. leg. The Securities and Futures Ordinance . Home; Entries tagged with "Section 103 of the Securities of the Futures Ordinance" All rights reserved. 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. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the … To facilitate a better understanding of the SFO, an article entitled "The … 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. These are used to track user interaction and detect potential problems. 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. The SFO is administered by the Securities and Futures Commission (the ‘SFC’). 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. 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 … If you continue to use this website, you are agreeing to their uses. Ordinance; 1. Introduction. Such application must be made within twenty - one days after the day on which this Notice is served on the Specified Corporation. Market; 1. Business; Alternative Meanings 162 alternative SFO meanings. Short title and commencement ..... A203 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 … In 1997 following the Asian financial crisis the regulatory framework was further improved. Contact Us | Download pdf | Download word. People Also Bought. 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 … "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. SFC: 1 CPT . 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. Bookmark List Printing List View RSS Feed Subscribe by Email Main. S 457/2002. Information and … New-10% *Pre-order* Butterworths … Although the tribunal … 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 Home » Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019. 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. In the absence of a formal class action regime in Hong Kong, the commission has made … (Omitted as spent) 2 2. Securities and Futures (Licensing and Conduct of Business) Regulations: Rg 10: G.N. &KDQJHVWREHQRWL¿HGE\LQWHUPHGLDULHV licensed representatives and substantial shareholders 12 5. Important Notices. … Definitions: 2. 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