Source: http://www.sfc.hk/web/EN/rule-book/laws/legislative-history/sfo-subsidiary-legislation-amendment.html
Timestamp: 2017-03-23 22:07:16
Document Index: 707588741

Matched Legal Cases: ['art 1', 'art 1', 'art 2', 'art 1', 'art 2', 'art 1', 'art 4', 'art 1']

SFO subsidiary legislation amendment history | Securities & Futures Commission of Hong Kong
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SFO subsidiary legislation amendment history
Securities and Futures (Unsolicited Calls-Exclusion) Rules (Cap.571A)
Securities and Futures (Unsolicited Calls-Exclusion) Rules
L.N. 185 of 2002 (Originally)
The area of which sections 174(3)(a), 174(3)(d) and 174 of SFO do not apply to any solicited calls
PDF (11.2001)
PDF (03.2002)
Securities and Futures (Recognized Counterparty) Rules (Cap.571B)
Securities and Futures (Recognized Counterparty) Rules
L.N. 186 of 2002 (Originally)
Stating the definition of 'recognized counterparty' referred to in section 1 of Part 1 of Schedule 1 of SFO
PDF (12.2001)
PDF (04.2002)
Rectification of Errors Order 2004
L.N. 29 of 2004
Amendment to column 3 of item 8 of Schedule 1 of the Rules
Securities and Futures (Registration of Commission Disciplinary Orders) Rules (Cap.571C)
Securities and Futures (Registration of Commission Disciplinary Orders) Rules
L.N. 187 of 2002 (Originally)
For the purpose of making an application of an order pursuant to sections 194(5) and 196(5) of SFO, the Commissioner shall produce the Registrar of High Court a notice
PDF (06.2002)
Securities and Futures (Professional Investor) Rules (Cap.571D)
Securities and Futures (Professional Investor) Rules
L.N. 188 of 2002 (Originally)
Stating the definition of 'professional investor' referred to in section 1 of Part 1 of Schedule 1 of SFO
PDF (02.2002)
Professional Accountants (Amendment) Ordinance 2004
Ord. No.23 of 2004
Consequential amendment by Schedule 2 of Ord. No.23 of 2004, "a professional accountant" in section 3(b)(i) of the Rules be substituted by " a certified public account"
Securities and Futures (Professional Investor) (Amendment) Rules 2011
L.N. 135 of 2011
Amendments to section 3 of the Rules
PDF (10.2010)
PDF (02.2011)
Securities and Futures (Leveraged Foreign Exchange Trading-Exemption) Rules (Cap.571E)
Securities and Futures (Leveraged Foreign Exchange Trading-Exemption) Rules
L.N. 189 of 2002 (Originally)
Stating the definition of "leveraged foreign exchange trading" referred to in Part 2 of the Schedule 5 of SFO
PDF (06.2002)PDF (08.1996)
PDF (07.2002)PDF (04.1997)
Securities and Futures (Leveraged Foreign Exchange) (Arbitration) Rules (Cap.571F)
Securities and Futures (Leveraged Foreign Exchange) (Arbitration) Rules
L.N. 190 of 2002 (Originally)
Establishment of a panel to be known as arbitration panel to resolve any dispute that required to be settled by arbitration pursuant to section 118(1)(b) of SFO
PDF (03.2002)PDF (08.1996)
PDF (04.2002)PDF (04.1997)
Securities and Futures (Exempted Instruments-Information) Rules (Cap.571G)
Securities and Futures (Exempted Instruments-Information) Rules
L.N. 191 of 2002 (Originally)
Referring section 110(1) of SFO, how the information be submitted in respect of advertisement, invitation or documents
Securities and Futures (Client Securities) Rules (Cap.571H)
Securities and Futures (Client Securities) Rules
L.N. 201 of 2002 (Originally)
For the purpose of 6(1)(c), 7(2) or 7(3), 8(2) and 9(2) of SFO, stating the requirements of a client's standing authority
PDF (05.2001)
PDF (07.2002)
Companies (Amendment) Ordinance 2004
Ord. No.30 of 2004
Consequential amendments to the Rules, the definition of "approved custodian", by repealing "overseas" be substituted by "non-Hong Kong"
PDF (08.2004)
PDF (11.2004)
Securities and Futures (Client Securities) (Amendment) Rules 2006
L.N. 118 of 2006
Section 7(2)(b) of the Rules is amended by adding "Subject to Section 8A"
PDF (09.2004)
PDF (04.2006)
Securities and Futures (Client Money) Rules (Cap.571I)
Securities and Futures (Client Money) Rules
L.N. 202 of 2002 (Originally)
The definition of client's money and should be maintained in Hong Kong one or more segregated account(s)
Securities and Futures (Associated Entities-Notice) Rules (Cap.571J)
Securities and Futures (Associated Entities-Notice) Rules
L.N. 203 of 2002 (Originally)
Particulars to be notified on becoming associated entity was listed out in the Rules
PDF (05.2002)
Securities and Futures (Registration of Appeals Tribunal Orders) Rules (Cap.571K)
Securities and Futures (Registration of Appeals Tribunal Orders) Rules
L.N. 205 of 2002 (Originally)
Stating notice to be given to the Registrar of the High Court for the registration of the order pursuant to section 226 of SFO
Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules (Cap.571L)
Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules
L.N. 206 of 2002 (Originally)
Stating notice to be given to the Registrar of the High Court for the registration of the order pursuant to section 264(1) of SFO
Securities and Futures (Collective Investment Schemes) Rules (Cap.571M)
Securities and Futures (Collective Investment Schemes) Rules
L.N. 207 of 2002 (Originally)
The definition of "Collective Investment Scheme" (other than the definition of securities as in section 1, Part 1 of Schedule 1 to SFO)
PDF (02.2005)
PDF (04.2005)
Securities and Futures (Financial Resources) Rules (Cap.571N)
Securities and Futures (Financial Resources) Rules
L.N. 209 of 2002 (Originally)
Set out the accounting treatment and financial resources requirements
PDF (03.1997)PDF (03.2002)PDF (06.2002)
PDF (05.2002)PDF (10.2002)
Interpretation and General Clauses Ordinance
L.N. 45 of 2003
Amendments to the Rules in respect of para.(b), para.(j), sections 46(2)(a), 53(2)(b), 56(1) and 60(4)
Electronic Transactions (Amendment) Ordinance 2004
Ord. No. 14 of 2004
Consequential amendments to the Rules in respect of "digital signature"
Securities and Futures (Financial Resources) (Amendment) Rules 2006
L.N. 117 of 2006
Several amendments made to the Rules in respect of Securities margin financing, Financial resources requirements and 'Haircut percentage'
Securities and Futures (Financial Resources) (Amendment) Rules 2008
L.N. 92 of 2008
Amendments made to the Rules in respect of 'Licensing corporations'
Securities and Futures (Financial Resources) (Amendment) Rules 2011
L.N. 29 of 2011
Amendments to section 2, 5, 56 and Schedule 1 of the Rules
PDF (05.2011)
Securities and Futures (Keeping of Records) Rules (Cap.571O)
Securities and Futures (Keeping of Records) Rules
L.N. 210 of 2002 (Originally)
Stating the particulars of record keeping
“證券抵押品” be substituted by “客戶抵押品” in section 1(e) of the Schedule of the Rules
Securities and Futures (Account and Audit) Rules (Cap.571P)
Securities and Futures (Account and Audit) Rules
L.N. 211 of 2002 (Originally)
Stating the financial statement and other documents that a licensed corporation shall prepare in respect of each financial year
PDF (01.2002)
“報表” be substituted by “申請表” in sections 3(1)(b) and 4 (1)(d) and “本身的衍生工具持倉量” be substituted by “衍生工具自營交易持倉的情況” in section 3(1)(b)(viii) of the Rules
Securities and Futures (Contract, Notes, Statement of Account and Receipts) Rules (Cap.571Q)
Securities and Futures (Contract, Notes, Statement of Account and Receipts) Rules
L.N. 212 of 2002 (Originally)
Stating the preparation and provision of contract notes, receipts and the information required in all statement of account
Several amendments made to the Rules including but not limited to:-“保證金比率” by repealing everything after “百分率是” and substituting “中介人的客戶被容許以該特定種類的證券抵押品向該中介人借貸(或以其他方式自該中介人取得其他方式的財務通融)的上限
The word "subsection" in section 11(6) of the Rules be repealed and substituted by "subsections"
Securities and Futures (Contract, Notes, Statement of Account and Receipts) (Amendment) Rules 2006
L.N. 119 of 2006
Amendments to section 11 of the Rules
Securities and Futures (Amendment) Ordinance 2015
Ord. No. 19 of 2015
Amendment to section 11 (preparation and provision of monthly statements of account) of the Rules
Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules (Cap.571R)
Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules
L.N. 213 of 2002 (Originally)
List out the classes of transactions that section 170(3)(e) and the classes of persons that section 171 of SFO not to be applied
Amendments to sections 3(2)(c) and 4(5) of the Rules
Rail Merger Ordinance
Ord. No. 11 of 2007
Consequential amendments to section 2 of the Rules that “香港鐵路有限公司” be substituted by “地鐵有限公司”
Securities and Futures (Licensing and Registration (Information)) Rules (Cap.571S)
Securities and Futures (Licensing and Registration (Information)) Rules
L.N. 214 of 2002 (Originally)
Information to be provided with the Commissioner and contained in annual report and the particulars to be entered in register of licensed persons and licensed institutions
PDF (11.1990)PDF (06.1999)
Bankruptcy (Amendment) Ordinance 2005
Ord. No.18 of 2005
Consequential amendments to section 1(k), Part 2 in Schedule 1 of the Rules that repeal "receiver" and be substituted by "provisional trustee"
Ord. No.28 of 2012
Consequential amendments to section 2(e), Part 1 in Schedule 1 of the Rules
Securities and Futures (Investor Compensation-Claims) Rules (Cap.571T)
Securities and Futures (Investor Compensation-Claims) Rules
L.N. 215 of 2002 (Originally)
Stating the submission and the process of claims
Ord. No. 7 of 2004
Compensation be paid out of the Investment Compensation Fund pursuant to section 236 and Part XII of SFO, such person is not entitled to compensation under the Deposit Protection Scheme Ordinance
Insurance Companies (Amendment) Ordinance 2015
Ord. No. 12 of 2015
Consequential amendment to section 2 of the Rules
Section 3 (information to be provided with applications to Commission) and Schedule 4 (particulars to be contained in register) have been amended
Securities and Futures (Miscellaneous) Rules (Cap.571U)
Securities and Futures (Miscellaneous) Rules
L.N. 216 of 2002 (Originally)
Stating miscellaneous matter including, service of documents on Commission,
PDF (09.2002)
return of license
Amendments in respect of section 2(1)(b) of the Rules
Ord. No. 23 of 2004
Consequential amendments to the Rules in respect of the service of the documents on the Commission
Ord. No. 28 of 2012
Consequential amendments to section 5(1)(c) of the Rules
Section 3 (licence or certificate of registration to be exhibited) and section 4 (return of licence or certificate of registration) have been amended
Securities and Futures (Stock Market Listing) Rules (Cap.571V)
Securities and Futures (Stock Market Listing) Rules
L.N. 217 of 2002 (Originally)
Stating the requirements for Listing applications
PDF (05.2002)PDF (01.2005)
PDF (07.2002)PDF (02.2007)
Securities and Futures (Price Stabilizing) Rules (Cap.571W)
Securities and Futures (Price Stabilizing) Rules
L.N. 218 of 2002 (Originally)
Particulars of market misconduct and stabilizing actions
Amendments in respect of section 12(1)(c) of the Rules
PDF (07.2003)
PDF (11.2003)
Securities and Futures (Price Stabilizing) (Amendment) Rules 2003
L.N. 266 of 2003
Amendments to the Rules by adding overseas stabilization
Securities and Futures (Price Stabilizing) (Amendment) Rules 2004
L.N. 180 of 2004
Amendments to section 3(d)(ii)A(II) of the Rules
Ord. No. 30 of 2004
Consequential amendments to section 2(1) of the Rules
Consequential amendments to section 2(1) and section 3 of the Rules
Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap.571X)
Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules
L.N. 219 of 2002 (Originally)
Stating the exclusions, notifications and the records to be kept as required in this Rules
Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap.571Y)
Securities and Futures (Contracts Limits and Reportable Positions) Rules
L.N. 220 of 2002 (Originally)
Stating the Restrictions on numbers of contracts held or controlled, prescribed time and the notice of reportable position
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003
L.N. 84 of 2003
Amendments to Schedule 1 and Schedule 2 of the Rules
PDF (01.2003)
PDF (03.2003)
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2003
L.N. 221 of 2003
Amendments to the Schedule 1 of the Rules
PDF (09.2003)
PDF (03.2004)
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2004
L.N. 35 of 2004
Amendments to section 6(2)(b) and section 7 of the Rules
PDF (05.2007)
PDF (09.2007)
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2004
L.N. 66 of 2004
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2005
L.N. 69 of 2005
Amendments to Schedule 1 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2005
L.N. 232 of 2005
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2007
L.N. 18 of 2007
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2007
L.N. 198 of 2007
Amendments to section 4(4) of the Rules
L.N. 223 of 2007
Time extended for amending the Rules under L.N.198 of 2007
L.N. 241 of 2007
Amendments to the Rules by adding new sections 4(7)(a), 4(8) and 4(10)
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2008
L.N. 74 of 2008
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2009
L.N. 159 of 2009
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2011
L.N. 117 of 2011
Amendments to section 4 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2013
L.N. 13 of 2013
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2015
L.N. 228 of 2015
Amendments to section 2 (interpretation), Schedule 1 and Schedule 2 of the Rules
Securities and Futures (Levy) Order (Cap.571Z)
Securities and Futures (Levy) Order
L.N. 221 of 2002 (Originally)
Levy payable in respect of sale and purchase of securities and futures contracts
Securities and Futures (Reduction of Levy) Order 2006
L.N. 142 of 2006
Amendments on percentage of the Levy
Securities and Futures (Levy) (Amendment) Order 2008
L.N. 121 of 2008
Amendments on sections 2, 4, 6, 7 and 10 of the Order
Securities and Futures (Levy) (Amendment) Order 2010
L.N. 56 of 2010
Securities and Futures (Levy) (Amendment) Order 2011
L.N. 115 of 2011
Amendments to the Order by adding Part 4
Securities and Futures (Levy) (Amendment) Order 2014
L.N. 74 of 2014
Amendments to sections 4, 9, 10, 13 & 15 of the Order
Section 2A (Rounding of Levy amounts) is added into the Order. Also sections 10 and 13 have been ameded
Securities and Futures (Levy) Rules (Cap.571AA)
Securities and Futures (Levy) Rules
L.N. 222 of 2002 (Originally)
Information in respect of payment of the Levy
Securities and Futures (Levy) (Amendment) Rules 2011
L.N. 116 of 2011
Amendments to the sections 2-10 and 12 of the Rules
Amendments to section 10 of the Rules
Securities and Futures (Investor Compensation-Levy) Rules (Cap.571AB)
Securities and Futures (Investor Compensation-Levy) Rules
L.N. 223 of 2002 (Originally)
Levy payable in respect of the sale and purchase of securities and future contracts and the manner of payment
Securities and Futures (Investor Compensation-Levy) (Amendment) Rules 2005
L.N. 108 of 2005
Amendments to section 2, 3, 8 and 20. The Rules is also amended by adding Part V – No Payment of Levy under Exemption Notice
Securities and Futures (Investor Compensation-Levy) (Amendment) Rules 2008
L.N. 122 of 2008
Amendments to section 2, 4, 6, 7 and 10. The Rules is also amended by adding new section 7A
Amendments to section 20 of the Rules
Section 2A (Rounding of Levy amounts) is added into the Rules
Securities and Futures (Investor Compensation-Compensation Limits) Rules (Cap.571AC)
Securities and Futures (Investor Compensation-Compensation Limits) Rules
L.N. 224 of 2002 (Originally)
Stating the limits on amount of compensation
Securities and Futures (Transfer of Functions-Investor Compensation Company) Order (Cap.571AD)
Securities and Futures (Transfer of Functions-Investor Compensation Company) Order
L.N. 225 of 2002 (Originally)
Set out the functions of the Commissioner be transferred to Investor Compensation Company
Amendments to section 2 of the Rules
Securities and Futures (Transfer of Function-Stock Market Exchange Company) Order (Cap.571AE)
Securities and Futures (Transfer of Function-Stock Exchange Company) Order
L.N. 227 of 2002 (Originally)
Set out the functions of the Commissioner be transferred to Stock Exchange Company
Securities and Futures (Fees) Rules (Cap.571AF)
Securities and Futures (Fees) Rules
L.N. 228 of 2002 (Originally)
Stating the fees for offering documents, application to takeovers panel and takeovers appeal committee and the time for payment
PDF (04.2002)PDF (07.2002)
PDF (07.2002)PDF (09.2002)
Amendments to Schedule 2 of the Rules, repeal "0.1%" and be substituted by "0.01%"
PDF (10.2003)
Amendments to section 4, section 5, section 7, section 8 and Schedule 1 of the Rules
Amendments (relating to the fees prescribed for purpose of section 395 of the Ordinance) to Schedule 1 and Schedule 3 of the Rules
Securities and Futures (Fees) (Amendment) Rules 2016
L.N. 32 of 2016
Amendments to section 3, Schedule 1 and Schedule 3 of the Rules to prescrible the application fee payable to the Securities and Futures Commission by a person seeking to be designated as a central counterparty under section 101J of the Ordinance and to requir a designated central counterparty to pay an annual fee to the Securities and Futures Commission for the designation, and prescribe the annual fee payable ----
Securities and Futures (Disclosure of Interests-Exclusion) Regulation (Cap.571AG)
Securities and Futures (Disclosure of Interests-Exclusion) Regulation
L.N. 229 of 2002 (Originally)
Prescribed interests and short positions to be disregarded for notification and the requirements
Securities and Futures (Offences and Penalties) Regulation (Cap.571AH)
Securities and Futures (Offences and Penalties) Regulation
L.N. 230 of 2002 (Originally)
Stating the penalties if a person commits an offence stated in Cap.571U
L.N. 45 of 2012
Schedule of the Regulsation has been amended by adding:- "5. Rule 4(2) of the Securities and Futures (Short Position Reporting) Rules - On conviction on indictment, a fine at level 6 and imprisonment for 2 years; On summary conviction, a fine at level 3 and imprisonment for 6 months."
Securities and Futures (Insurance) Rules (Cap.571AI)
Securities and Futures (Insurance) Rules
L.N. 11 of 2003 (Originally)
Stating the duty of specified licensed corporations to take out and maintain insurance
Amendments to section 4 and section 5 of the Rules
Securities and Futures (Short Position Reporting) Rules (Cap.571AJ)
Securities and Futures (Short Position Reporting) Rules
L.N. 48 of 2012
A person has a reportable short position if the person has a net short position value in shares that is equal to or more than the threshold specified in subrule 2(b)
PDF (07.2009)
PDF (03.2010)
PDF (10.2011)
Securities and Futures (Short Position Reporting) (Amendment) Rules 2016
L.N. 39 of 2016
Amendments to Rules 2-5, Rule 7 and Schedule 1 of the Rules to expand the scope of securities in respect of which positions must be reported
Securities and Futures (Futures Contracts) Notice (Cap.571AK)
Securities and Futures (Futures Contracts) Notice
L.N. 81 of 2012
Stating the structured product to be regarded as futures contracts
Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules (Cap.571AL)
Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules
L.N. 96 of 2015
The Rules impose on prescribed persons (licensed corporations, authorized financial institutions, approved money brokers and others) by section 101B of the SFO, obligation to report specific OTC derivative transactions to the Monetary Authority, and also the record keeping obligation (the obligation to keep records relating to specified OTC derivative transactions) imposed on prescribed persons by section 101E of the SFO
PDF (07.2012)
PDF (07.2014)
PDF (11.2014)
PDF (09.2013)
PDF (05.2015)
L.N. 29 of 2016
Commencement Notice of the Rules
Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) (Amendment) Rules 2016
L.N. 30 of 2016
Rules 2A, 25A, 25B and 33 are newly added and Rules 2, 3, 7, 8, 10-13, 16, 23-26, 28, 29, 32 and Schedule of the Rules are amended
Securities and Futures (Stock Markets, Futures Markets and Clearing Houses) Notice (Cap.571AM)
Securities and Futures (Stock Markets, Futures Markets and Clearing Houses) Notice
L.N. 97 of 2015
The Notice prescribes certain stock markets, futures markets and clearing houses for section 1B(2)(c) of Part 1 of Schedule 1 to the SFO
Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules (Cap.571AN)
Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules
L.N. 28 of 2016
For the purposes of the clearing obligation (the obligation to clear specified OTC derivative transactions with a designated central counterparty) and the record keeping obligation (to keep records relating to specified OTC derivative transactions) imposed on prescribed persons by sections 101C and 101E of the SFO, The Rules is to specify (1) the transactions that are subject to the obligations; (2) the circumstances relating to the transactions in which the obligations apply to prescribed persons; and (3) the circumstances in which SFC may designate persons as central counterparties under section 101J(1) of the SFO and procedural matters relating to the designations
The Rules come into operation on 1 September 2016
Securities and Futures (OTC Derivative Transactions Reporting Obligation - Fees) Rules (Cap.571AO)
Securities and Futures (OTC Derivative Transactions Reporting Obligation - Fees) Rules
L.N. 31 of 2016
The Rules require the payment of a fee to the Monetary Authority for using the electronic system operated by or on behalf of Monetary Authority for submitting reports on certain OTC derivative transactions
The Rule also empower the Monetary Authority to waive the payment of a fee or reduce or refund a fee
The Rules come into operation on 1 May 2016
To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO) and its subsidiary legislation, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government.
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