Source: https://www.sfc.hk/web/EN/rules-and-standards/laws/legislative-history/sfo-subsidiary-legislation.html
Timestamp: 2020-02-26 07:01:47
Document Index: 182805566

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

SFO subsidiary legislation | Securities & Futures Commission of Hong Kong
Home Rules and standards Laws Legislative history SFO subsidiary legislation
SFO subsidiary legislation
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
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
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 (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
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" PDF
Securities and Futures (Professional Investor) (Amendment) Rules 2011 L.N. 135 of 2011 Amendments to section 3 of the Rules
Securities and Futures (Professional Investor) (Amendment) Rules 2018
L.N. 99 of 2018
Amendments to section 2, section 2A and sections 3 to 8 of the Rules to expand the types of individuals and corporations that are to be regarded as professional investors
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 (08.1996)
PDF (04.1997)
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
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 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
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
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 L.N. 203 of 2002 (Originally) Particulars to be notified on becoming associated entity was listed out in the Rules
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 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 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)
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 (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" PDF
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
Securities and Futures (Financial Resources) (Amendment) Rules 2018
L.N. 196 of 2018
Amendments to sections 2, 3, 6, 8, 9, 11, 12, 18, 19-23, 28-31, 35, 37, 40, 43, 47, 51, 52, 53, 55, 56, 58, 59 and Schedules 2 and 3 of the Rules, and added sections 2A to 2G, 18A, 36A and 51A to the Rules
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
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
Rectification of Errors Order 2004 L.N. 29 of 2004 The word "subsection" in section 11(6) of the Rules be repealed and substituted by "subsections"
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
Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments to sections 3(2)(c) and 4(5) of the Rules
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" PDF
Securities and Futures (Investor Compensation-Claims) Rules L.N. 215 of 2002 (Originally) Stating the submission and the process of claims
Deposit Protection Scheme Ordinance 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 PDF
Securities and Futures (Miscellaneous) Rules L.N. 216 of 2002 (Originally) Stating miscellaneous matter including, service of documents on Commission,
Interpretation and General Clauses Ordinance L.N. 45 of 2003 return of license
Electronic Transactions (Amendment) Ordinance 2004 Ord. No. 14 of 2004 Amendments in respect of section 2(1)(b) of the Rules PDF
Securities and Futures (Stock Market Listing) Rules L.N. 217 of 2002 (Originally) Stating the requirements for Listing applications
PDF (02.2007)
Securities and Futures (Price Stabilizing) Rules L.N. 218 of 2002 (Originally) Particulars of market misconduct and stabilizing actions
Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments in respect of section 12(1)(c) of the Rules
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
Companies (Amendment) Ordinance 2004 Ord. No. 30 of 2004 Consequential amendments to section 2(1) of the Rules PDF
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 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) (No.2) Rules 2003 L.N. 221 of 2003 Amendments to the Schedule 1 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2004 L.N. 66 of 2004 Amendments to Schedule 1 and Schedule 2 of the Rules
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 Amendments to Schedule 1 and Schedule 2 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2007 L.N. 18 of 2007 Amendments to Schedule 1 of the Rules
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
Interpretation and General Clauses Ordinance L.N. 223 of 2007 Time extended for amending the Rules under L.N.198 of 2007
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 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 Amendments to Schedule 1 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2009 L.N. 159 of 2009 Amendments to Schedule 1 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2011 L.N. 117 of 2011 Amendments to Schedule 1 and Schedule 2 of the Rules
Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2017
L.N. 44 of 2017
Amendments to section 2 (interpretation), section 4, Schedule 1 and Schedule 2 of the Rules and added sections 4A to 4E
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 Amendments on percentage of the Levy
Securities and Futures (Levy) (Amendment) Order 2011 L.N. 115 of 2011 Amendments to the Order by adding Part 4
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
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
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 L.N. 225 of 2002 (Originally) Set out the functions of the Commissioner be transferred to Investor Compensation Company
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 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
Rectification of Errors Order 2004 L.N. 29 of 2004 Amendments to Schedule 2 of the Rules, repeal "0.1%" and be substituted by "0.01%"
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 (Offences and Penalties) Regulation L.N. 230 of 2002 (Originally) Stating the penalties if a person commits an offence stated in Cap.571U
Securities and Futures (Insurance) Rules L.N. 11 of 2003 (Originally)
Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments to section 4 and section 5 of the Rules
Securities and Futures (Stock Markets, Futures Markets and Clearing Houses) (Amendment) Notice 2018
L.N. 34 of 2018
The Notice prescribes additional stock markets, futures markets and clearing houses so as to exclude products traded on those markets and cleared through those clearing houses from the scope of OTC derivative products. Section 2 and the Schedule of the sub. legislation has also been amended
Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) (Amendment) Rules 2018
L.N. 259 of 2018
The purpose of this Rules is to amend by adding 8 calculation periods and their respective clearing thresholds and prescribed days for the purposes of the clearing and record keeping obligations set out in rules 6 and 12 respectively of the Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules (Cap.571 sub.leg.AN)
This Rules come into operation on 1 March 2019
Securities and Futures (OTC Derivative Products) Notice (Cap.571AP)
Securities and Futures (OTC Derivative Products) Notice
L.N. 35 of 2018
The Notice prescribes the structured product set out in the Schedule to the Notice is not to be regarded as an OTC derivative product
The Notice comes into operation on 27 April 2018
Securities and Futures (Open-ended Fund Companies) Rules (Cap.571AQ)
L.N. 97 of 2018
The purpose of the Rules is to provide for the carrying on of collective investments by means of open-ended fund companies (OFCs) and the regulation of OFCs
The Rules comes into operation on the day on which the Securities and Futures (Amendment) Ordinance 2018 (Ord. No.16 of 2016) come into operation
Securities and Futures (Open-ended Fund Companies) (Fees) Regulation (Cap.571AR)
L.N. 98 of 2018
The purpose of the Regulation is to provide for fees payable to the Securities and Futures Commission and the Registrar of Companies in respect of a proposed company or an open-ended fund company
The Regulation comes into operation on the day on which the Securities and Futures (Amendment) Ordinance 2018 (Ord. No.16 of 2016) come into operation
7.0015 s