Pursuant to the Securities and Futures (Stock Market Listing) Rules which is a piece of subsidiary legislation under the SFO, listing applications (including IPO prospectuses) and circulars, announcements, accounts and other documents issued by listed companies will also be required to be filed with the Securities and Futures Commission ("SFC 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 SFC was created in 1989 in response to the stock market crash of 1987. In 1997 following the Asian financial crisis the regulatory framework was further improved. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. "recognized exchange company" (認可交易所) means a company recognized under section 19(2) of the Securities and Futures Ordinance (Cap 571) as an exchange company for operating a stock market; (Added 5 of 2002 s.
16 Dec 2019 Part III of the Securities and Futures Ordinance (SFO) The Listing Rules state that only an approved share registrar may be employed to maintain a Section 12 of the Securities and Futures (Stock Market Listing) Rules 1 Jan 2020 to minimize crime and misconduct in the securities and futures industry;. (e) the activities carried on by recognized exchange companies, Structure and regulation of Hong Kong's securities and futures markets the Securities and Futures Ordinance (SFO), which came into operation on 1 April 2003. The Stock Exchange, a wholly-owned subsidiary of HKEX, is a recognised
Securities and Futures Ordinance (Cap. 571);. (b) if any relevant transfer order made under section 25 of that Ordinance is in force, the recognized exchange.
1 Jan 2020 to minimize crime and misconduct in the securities and futures industry;. (e) the activities carried on by recognized exchange companies, Structure and regulation of Hong Kong's securities and futures markets the Securities and Futures Ordinance (SFO), which came into operation on 1 April 2003. The Stock Exchange, a wholly-owned subsidiary of HKEX, is a recognised 30 Jul 2018 All; Ordinance; Subsidiary Legislation; Instrument. Option. Section/Rule No. Part No. Schedule No. Appendix No. Annex No. Important Notices. Securities and Futures (Stock Market Listing) Rules. Part I Preliminary · Part II Stock Market Listing · Part III Suspension of Dealings · Part IV Approved Share recognized exchange company;. (b) operate a futures market unless the person is a recognized exchange company;. (c) assist in the operation of a stock market The Securities and Futures Ordinance establishes dual civil and criminal regimes listed securities or derivatives outside Hong Kong on an overseas stock market ; or the dealing in question was subject to the rules of a recognised clearing
Login to submit prescribed DI forms pursuant to Part XV of the Securities and Futures Ordinance (Cap. 571). STOCK CONNECT SHAREHOLDING. regulate the securities and futures markets in Hong Kong. The functions of the and investors; supervising and monitoring the activities of the Stock Exchange of section 59A of the Securities and Futures Commission Ordinance and section 63A whether the request involves an assertion of jurisdiction not recognised by . Amendments to Securities and Futures Ordinance for Regulation of OTC Derivative stock market or a recognized futures market or which is subject to the rules 19 Jan 2015 571) (“SFO”) regulates the securities and futures market in Hong of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. and Futures Commission (“SFC”) or the Hong Kong Stock Exchange of HKSAR unanimously held that partial waiver of LPP is recognised in Hong Kong.