Section 378 of the hong kong securities and futures ordinance

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.

any rules made under section 28 of the Securities and Futures Commission Ordinance (Cap. 24) which are then in force and which would be applicable to him if his application for registration were granted; or (Replaced 10 of 1989 s. 65) (v) the applicant has not for the purposes of section 27 of the Securities and Futures Commission Ordinance (Cap. 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. 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

Application of section 378 of the SFO to disclosure of supervisory information by licensed corporations. From time to time, licensed corporations (LCs) will provide assistance to the Intermediaries Supervision Department (ISD) when ISD performs the SFC’s supervisory functions under the Securities and Futures Ordinance (SFO).

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.

The Historical Laws of Hong Kong Online is a full-text image database providing access to past revised editions of Hong Kong Laws. The database comprises a total of seven consolidations of the laws of Hong Kong: 1890, 1901, 1912, 1923, 1937, 1950, and 1964 (last updated to 1989). With the current Laws of Hong Kong available on the web, the Historical Laws of Hong Kong Online database rightly

into in Hong Kong by an intermediary with or on behalf of a of Schedule 1 to the Ordinance except that it does not include any tape or other sound recording of any telephone to in section 4 of the Securities and Futures (Client Securities) Rules (Cap. 571 sub. leg. H) or section 8 of any rules made under section 28 of the Securities and Futures Commission Ordinance (Cap. 24) which are then in force and which would be applicable to him if his application for registration were granted; or (Replaced 10 of 1989 s. 65) (v) the applicant has not for the purposes of section 27 of the Securities and Futures Commission Ordinance (Cap. 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.

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 

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. 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.

5 Mar 2019 You should seek independent legal advice if you have any doubt about how section 378 of the SFO applies to you. It should be noted that in 

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   (Made by the Securities and Futures Commission under section 36(1) of the. Securities and Futures Ordinance (Cap.571) after consultation with the. Financial Secretary and The Stock Exchange of Hong Kong Limited). PART I. PRELIMINARY. Secrecy provisions. Introduction. This section aims to clarify the application of the secrecy provisions under the Securities and Futures Ordinance ("SFO") and to provide guidance from the SFC’s perspective on certain practical aspects of the secrecy obligation.Please note, however, that the information is general in nature; it is also not exhaustive and does not take into account your Application of section 378 of the SFO to disclosure of supervisory information by licensed corporations. From time to time, licensed corporations (LCs) will provide assistance to the Intermediaries Supervision Department (ISD) when ISD performs the SFC’s supervisory functions under the Securities and Futures Ordinance (SFO).

any rules made under section 28 of the Securities and Futures Commission Ordinance (Cap. 24) which are then in force and which would be applicable to him if his application for registration were granted; or (Replaced 10 of 1989 s. 65) (v) the applicant has not for the purposes of section 27 of the Securities and Futures Commission Ordinance (Cap. 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.