Section 378 of the hong kong securities and futures ordinance
She has worked and advised on areas including tax, the Securities and Futures Ordinance (Cap 571), judicial review, insurance and matrimonial. Prisca is a contributing editor to the Hong Kong Civil Procedure (Part H: Companies and Winding-up), and is a committee member of the Greater China Affairs Committee of the Hong Kong Bar Association. Controls to ensure compliance with Section 114(3) of the Securities and Futures Ordinance (SFO) and Section 20(4) of the Banking Ordinance (BO) I am writing to remind registered institutions (RIs) of the importance of having adequate controls to ensure compliance with the prohibition of unregistered dealing under section 114(3) of the SFO. MARKET MISCONDUCT UNDER THE SECURITIES AND FUTURES ORDINANCE INTRODUCTION 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 takes place in Hong Kong but affects securities or futures traded on an overseas market. The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market.
23 Jan 2019 Section 378 of the Securities and Futures Ordinance (SFO) imposes an relevant provisions of the SFO and certain parts of the Hong Kong's
1 Jan 2020 24) under section 406, the body established by section 3 of that Ordinance as the Securities and Futures Commission shall continue in existence Futures Ordinance (Chapter 571 of the Laws of Hong Kong) (the “SFO”). Section 378 of the SFO governs the secrecy and confidentiality of information in 378 of the SFO, this article will first analyse whether a listing applicant can disclose According to Li CJ in HKSAR v Cheung Kwun Yin (2009) 12 HKCFAR 568 at Section 378(7) then allows the sponsor to subsequently disclose any such 1 May 2015 The secrecy obligations in the SFO are contained in section 378. In summary, this section provides that, except in the performance of a function, SECURITIES AND FUTURES ORDINANCE. CONTENTS. Section. Page. PART I and the desirability of maintaining the status of Hong Kong as a competitive limiting the generality of section 380(3) but subject to section 378, a person. 23 Jan 2019 Section 378 of the Securities and Futures Ordinance (SFO) imposes an relevant provisions of the SFO and certain parts of the Hong Kong's UNDER SECTION 179 OF THE SECURITIES AND FUTURES ORDINANCE and makes various amendments to securities law in Hong Kong generally. 2. the auditor, the SFC is permitted under section 378 to disclose such alleged
The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market.
7 Jul 2015 Hong Kong's Securities and Futures Commission (SFC) proposes to amend the Securities and Futures Ordinance to boost the level of the same to an overseas regulator through the gateway under Section 378(3)(g)(i), and. Hong Kong Securities Clearing Company Limited. IA. Insurance Section 378(1) of the SFO requires SFC to protect the confidentiality of information coming to. 19 Jan 2017 The Securities and Futures Commission (SFC) issued a circular[1] to section 194 of the Securities and Futures Ordinance (SFO) against a the licensed corporation and may be located in or outside Hong Kong. During an investigation, will the secrecy obligation (under section 378 of the SFO) prevent 19 Dec 2003 The Stock Exchange of Hong Kong Limited takes no responsibility for the secrecy obligations imposed upon it by section 378 of the SFO. They refer to the unintentional and trivial breach of the rule under the SFO. penalty（罰款） on UBS Securities Hong Kong Limited for falling short of the liquid
Hong Kong securities law. Hong Kong’s securities and futures markets are governed by the Securities and Futures Ordinance (SFO), which was implemented in April 2003 to consolidate and modernise the previous legislation.Other transactions, such as initial public offerings, are also regulated by the Companies (Winding Up and Miscellaneous Provisions) Ordinance (C(WUMP)O).
The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. 2. The Tribunal received its mandate from the Securities and Futures Commission (‘the SFC’) a Notice dated 11 September 2014, that under Notice being issued pursuant to section 252(2) and Schedule 9 of the Securities and Futures Ordinance (‘the Ordinance’). The Notice and 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. The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body charged with regulating the securities and futures markets in Hong Kong. The SFC is responsible for fostering an orderly securities and futures markets, to protect investors and to help promote Hong Kong as an international financial centre and a key financial market in China.
1 May 2015 The secrecy obligations in the SFO are contained in section 378. In summary, this section provides that, except in the performance of a function,
Hong Kong Securities Clearing Company Limited. IA. Insurance Section 378(1) of the SFO requires SFC to protect the confidentiality of information coming to.
19 Dec 2003 The Stock Exchange of Hong Kong Limited takes no responsibility for the secrecy obligations imposed upon it by section 378 of the SFO.