Securities and futures ordinance schedule 1 ulaxzoh

Securities and futures ordinance schedule 1

28.03.2021

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Unlicenced Dealings under the Securities and Futures Ordinance However, pursuant to Schedule 1 of the SFO, “securities” means any interest in any Section 2(1)—. Add in alphabetical order. “prescribed securities (訂明證券) has the meaning given by section 397(5) of the Securities and Futures Ordinance. Jyutping, Zing3 hyun3 kap6 kei4 fo3 si6 mou6 gaam1 caat3 wai2 jyun4 wui6. The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. The SFC laid information against Pacific Sun under sections 103(1)(b) and 4(b) of the Securities and Futures Ordinance (CAP. 571) (SFO)

27 Nov 2019 Securities and Futures Ordinance (with subsidiary legislation). We are directing you to the Hong Kong e-Legislation (HKeL) operated by the

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. 1. These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations.

27 Feb 2017 Schedule 1 to the Securities and Futures Ordinance (Cap. 571) of. Hong Kong ( the “SFO”) (including professional investors falling within.

Schedule 1 of the Securities and Futures Ordinance;. •. "regulated function" in relation to a regulated activity has the meaning set out in §20(10) of the Banking. Unlicenced Dealings under the Securities and Futures Ordinance However, pursuant to Schedule 1 of the SFO, “securities” means any interest in any Section 2(1)—. Add in alphabetical order. “prescribed securities (訂明證券) has the meaning given by section 397(5) of the Securities and Futures Ordinance. Jyutping, Zing3 hyun3 kap6 kei4 fo3 si6 mou6 gaam1 caat3 wai2 jyun4 wui6. The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. The SFC laid information against Pacific Sun under sections 103(1)(b) and 4(b) of the Securities and Futures Ordinance (CAP. 571) (SFO)

1.3. Transitional arrangement (Schedule 10 to the Securities and Futures Ordinance) 1.3.1. Existing registered persons would be allowed two years to migrate to the new regime, following enactment of the SFO.

1 Jun 2016 A professional investor is defined in Schedule 1 of the Securities and Futures Ordinance (Cap 571) and Section 3 of the Securities and Futures 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. (1) This Ordinance may be cited as the Securities and Futures Ordinance. (2) This Ordinance shall come into operation on a day to be appointed by the Secretary for Financial Services by notice published in the Gazette. 1.3. Transitional arrangement (Schedule 10 to the Securities and Futures Ordinance) 1.3.1. Existing registered persons would be allowed two years to migrate to the new regime, following enactment of the SFO. Securities and Futures Ordinance (Amendment of Schedule 1) Notice 2016. L.N. 59 of 2016: Amendments in relation to the Schedule 1 of the SFO-----Companies (Winding Up and Miscellaneous Provisions) (Amendment) Ordinance 2016. Ord. No. 14 of 2016: Consequential Amendments to sections 50 and 51 of the SFO-----Securities and Futures (Amendment

SECURITIES AND FUTURES ORDINANCE (CAP. 571) SECURITIES AND FUTURES ORDINANCE (AMENDMENT OF SCHEDULE 1) NOTICE 2012 INTRODUCTION At its meeting on 23 April 2012, pursuant to section 2(3) of the Securities and Futures Ordinance (Cap. 571) (SFO), the Securities and Futures Commission (SFC) made the Securities and Futures

The Securities and Futures (Contracts Limits and Reportable Positions) Rules ("the Rules") were made by the SFC under Section 35(1) of the SFO to prescribe limits and reportable positions applicable to futures contracts and stock options contracts traded on the recognized exchange company. SECURITIES AND FUTURES ORDINANCE (CAP. 571) SECURITIES AND FUTURES ORDINANCE (AMENDMENT OF SCHEDULE 1) NOTICE 2012 INTRODUCTION At its meeting on 23 April 2012, pursuant to section 2(3) of the Securities and Futures Ordinance (Cap. 571) (SFO), the Securities and Futures Commission (SFC) made the Securities and Futures securities and futures ordinance 1 securities and futures commission 2 regulation of offers of investments 5 licensing and registration 7 capital requirements, client assets, records and audit relating to intermediaries 9 business conduct of intermediaries 10 securities and futures appeals tribunal 11 investor compensation 12 offences relating to securities and futures