Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2012. Independence of the SFAT. REVISED EDITION 2004 (29th February 2004) [1st October 2002; 1st April 2003: — regulation 54 ] PART I. 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. PRELIMINARY: Citation: 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. People Also Bought. Add to Wish List. The SF Ordinance seeks to eliminate many uncertainties existing in the current securities legislation and to contribute to modernising the Hong Kong market. Home » Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019. Yau had pleaded guilty to … Cookies that are necessary for the site to function properly. image info × Source. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. 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”. Law Soc: 1 CPD . 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. Hyperlink policy | … Account opening. 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. This Ordinance may be cited as the Securities and Futures Commission Ordinance. Information to be contained in annual returns 16 6. To facilitate a better understanding of the SFO, an article entitled "The … S 457/2002. In the absence of a formal class action regime in Hong Kong, the commission has made … 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 … 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. We use cookies to offer you a better browsing experience. The SFC was created in 1989 in response to the stock market crash of 1987. 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." Accredited by the Law Society of Hong Kong. The Securities and Futures Ordinance (Cap. 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 | Legal and regulatory requirements; Circulars; Other publications and information sources; Suitability … 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. 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. These are used to track user interaction and detect potential problems. 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. The background. History. Market; 1. Business; Alternative Meanings 162 alternative SFO meanings. 250) or,,and under any other Recurides; 'the Commission' ( ) means the Securities and Futures Commission established by section … This Ordinance may be cited as the Securities and Futures Commission Ordinance. Introduction. Contact Us | 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 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. 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 … Add to Cart. 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. 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. 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. Important Notices. These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. Disqualification Orders under the Securities and Futures Ordinance. 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. "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 LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. Under the Securities and Futures Ordinance (SFO), Asset management is a regulated activity. 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. “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 … 1.2. However, they may only be relied upon in the prescribed circumstances and when there is full compliance with their requirements. Bookmark List Printing List View RSS Feed Subscribe by Email Main. 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. means the Securities and Futures Ordinance (Cap. 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”). The Ordinance was amended subsequently to deal with these technical issues. Charltons Myanmar | The Securities and Futures Ordinance . REGULATIONS WEEK 6. The rules prescribe a 'safe harbour' for permitted stabilization from the market misconduct provisions of the ordinance, including stock market manipulation. '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. 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. Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. © Copyright Charltons 2020. 3. 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. SFO and related ordinances; SFO subsidiary legislation &KDQJHVWREHQRWL¿HGE\LQWHUPHGLDULHV licensed representatives and substantial shareholders 12 5. The Legislative Council enacted the Securities and Futures (Amendment) Ordinance 2014 (Amendment Ordinance) on 26 March 2014. Commission; 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 all types of market misconduct. 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. Match case . leg. Short title and commencement ..... A203 Section 35(1) of the Securities and Futures Ordinance (Cap. Download pdf | Download word. Part No. 571) of Hong Kong. New-10% *Pre-order* Butterworths … Add to Compare. 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. Exemptions Certain interests are exempted from disclosure under Part XV of the SFO. Enable word stemming . 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. "Subsidiary legislation under the Securities and Futures Ordinance (SFO)" issued on 18 November 2002. Securities and Futures Ordinance (CAP 571): Commentary and Annotations 2019 . 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. 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 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 … Privacy | 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. 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. 250) or,,and Home View Legislation . FINANCIAL LAW AND. The Amendment Ordinance serves as a regulatory framework for the OTC derivatives market in Hong Kong. Define Securities and Futures Ordinance. 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 … No. Annex No. (Omitted as spent) 2 2. The Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). 571 sub. 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. SFC: 1 CPT . links. The new regulatory regime under the SFO is expected to be launched early next year. 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 Securities and Futures (Licensing and Registration) (Information) Rules (Cap. Interpretation 2 3. In the rules' Legislative … The history of the Ordinance, which has … The Securities and Futures Ordinance, Cap. Yau was not licensed with the SFC in any capacity or in relation to any regulated activity. 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. Home; Entries tagged with "Section 103 of the Securities of the Futures Ordinance" 571) of Hong Kong (the “Securities and Futures Ordinance”) and any rules made under that Ordinance; or (iii) 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 … Ordinance; Subsidiary Legislation; Instrument; Option . The SFO is administered by the … 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. 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 … 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. Information and … Andrew Sheng served as Chairman of the SFC from 1998 until 2005, when he was succeeded by Martin Wheatley. S) Contents Section Page 1. 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; INTRODUCTION. Market Misconduct under the Securities and Futures Ordinance (1 Hour) (English version) HK$780. 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. Abbreviation in images. … Cap 571 - Securities and Futures Ordinance 1 Chapter: 571 Securities and Futures Ordinance Gazette Number Version Date Long title E.R. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. Section/Rule No. 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. SECURITIES AND FUTURES ORDINANCE CONTENTS Section Page PART I PRELIMINARY 1. 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 (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 Further, under … No. THE LICENSING REGIME UNDER THE SECURITIES AND FUTURES ORDINANCE. Market Misconduct under the Securities and Futures Ordinance. Email enquiry@sfc.hk, Securities and Futures Ordinance (with subsidiary legislation), We use cookies to improve the website performance and user experience. "The Amendment Notice seeks to amend the definitions of some … The following is a highlight of some major SFO subsidiary … Securities and Futures (Licensing and Conduct of Business) Regulations: Rg 10: G.N. 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 relation to all types of market misconduct. Disclosure obligations under Part XV of the SFO in the event of a listing Part XV of the Securities and Futures Ordinance (Cap. The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. Securities and Futures Ordinance Part XV - Disclosure of Interests. 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. Search:: Point in Time: Monolingual Mode: … 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 … Guiding principles in drafting … If you continue to use this website, you consent to our Privacy and Cookie Policy. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. The Licensing Regime under The Securities and Futures Ordinance. 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. 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 SFC has no control over and takes no responsibility for the availability and searchability of such information. Information to be provided with applications to Commission 6 4. 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; It should be noted that some of the SFC … Appendix No. to “professional investors” as defined in the Securities and Futures Ordinance (Cap. 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. 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 Part XV - Disclosure of Interests. The SFO requires disclosure of substantial shareholdings in corporations listed on The Stock Exchange of Hong Kong Limited (the "Stock … Ordinance; 1. 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 … We would like to show you a description here but the site won’t allow us. 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. However, many aspects of the Ordinance have been, and are likely to remain, controversial. 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. 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. In 1997 following the Asian financial crisis the regulatory framework was further improved. Such application must be made within twenty - one days after the day on which this Notice is served on the Specified Corporation. Other Information [Switch to complete mode] Timeline * Match case. The regime thus formulated under Part XV also enables investors to identify: The new regulatory regime under the SFO is expected to be launched early next year. Will not come into force until early 2003, possibly the first or … Securities and Futures Ordinance no. 18 November 2002 [ Switch to complete mode ] Timeline * Match case short title and commencement..... A203 would! Alternative Meanings 162 Alternative SFO Meanings a description here but the site won ’ allow! Yau was not licensed with the SFC was created in 1989 in response to the Banking Ordinance (.! 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