Parts 2, 3, 4 and 5 of Schedule 1. SECURITIES AND FUTURES ORDINANCE— Ord. No. 5 of 2002 PART I A203 HONG KONG SPECIAL ADMINISTRATIVE REGION ORDINANCE NO.5OF 2002 TUNG Chee-hwa Chief Executive 27 March 2002 L.S. 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 Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). The Amendment Notice is made by the Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance (Cap. 571) (SFO). 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. It is anticipated that the SFO will not come into force until early 2003, 1. On 23 February 2005, the Securities and Futures Commission (the “Commission”) issued a consultation paper (the “Consultation Paper”) inviting the public to comment on proposed amendments to Part 2 of Schedule 5 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) (the “Proposed Amendments”). 2. 11. Waiver of fees 5-2 Schedule 1 Fees Prescribed for Purposes of Section 395(1)(a)(i), (iii) and (iv) of Ordinance S1-2 Schedule 2 Fees Prescribed for Purposes of Section 395(1)(a)(ii) of Ordinance S2-2 Schedule 3 Fees Prescribed for Purposes of Section 395(1)(b) of Ordinance S3-2 Last updated date 13.12.2018 Securities and Futures (Fees 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.
Jul 30, 2018 in Part 2 of Schedule 5. Please see paragraph (g) of the Securities and Futures ( Amendment) Ordinance 2014 (Commencement) Notice 2016 (
The Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2005 (Amendment Notice) will be published in the Government Gazette on Friday (November 11). The Amendment Notice is made by the Financial Secretary pursuant to section 142 of the Securities and Futures Ordinance (Cap. 571) (SFO). 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. It is anticipated that the SFO will not come into force until early 2003, 1. On 23 February 2005, the Securities and Futures Commission (the “Commission”) issued a consultation paper (the “Consultation Paper”) inviting the public to comment on proposed amendments to Part 2 of Schedule 5 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) (the “Proposed Amendments”). 2. 11. Waiver of fees 5-2 Schedule 1 Fees Prescribed for Purposes of Section 395(1)(a)(i), (iii) and (iv) of Ordinance S1-2 Schedule 2 Fees Prescribed for Purposes of Section 395(1)(a)(ii) of Ordinance S2-2 Schedule 3 Fees Prescribed for Purposes of Section 395(1)(b) of Ordinance S3-2 Last updated date 13.12.2018 Securities and Futures (Fees 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.
1. On 23 February 2005, the Securities and Futures Commission (the “Commission”) issued a consultation paper (the “Consultation Paper”) inviting the public to comment on proposed amendments to Part 2 of Schedule 5 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) (the “Proposed Amendments”). 2.
Oct 16, 2009 The Hong Kong Securities and Futures Commission ("SFC") recently the SFC under the provisions of the Securities and Futures Ordinance ("SFO") Part 1 of Schedule 5 of the SFO (i.e. dealing in securities or advising on Feb 20, 2018 The Securities and Futures Commission (“SFC”). 35/F Cheung Kong jurisdiction” under section 5 of Part 2A of Schedule 5 to the SFO. We note that this of Schedule 1 of the Securities and Futures Ordinance. 4 A client that Sep 13, 2016 Amended Hong Kong Securities and Futures Ordinance expands product” ( 場外衍生工具產品) is defined in in Part 1B of Schedule of the SFO as a 5. Upon the Commencement Date, the three (3)-month Application Period 5. Taking into account the submissions received and following discussions with commentators, a few the Securities and Futures Ordinance (the “Ordinance”), the Consultation. Document, the Schedule 5 to the Ordinance;. “margin client” 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. Parts 2, 3, 4 and 5 of Schedule 1. SECURITIES AND FUTURES ORDINANCE— Ord. No. 5 of 2002 PART I A203 HONG KONG SPECIAL ADMINISTRATIVE REGION ORDINANCE NO.5OF 2002 TUNG Chee-hwa Chief Executive 27 March 2002 L.S.
11. Waiver of fees 5-2 Schedule 1 Fees Prescribed for Purposes of Section 395(1)(a)(i), (iii) and (iv) of Ordinance S1-2 Schedule 2 Fees Prescribed for Purposes of Section 395(1)(a)(ii) of Ordinance S2-2 Schedule 3 Fees Prescribed for Purposes of Section 395(1)(b) of Ordinance S3-2 Last updated date 13.12.2018 Securities and Futures (Fees
“dealing in futures contracts” (듁덦Ꙙ곹ꗦ꧶) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance; “dealing in securities” (쏒꣩ꗦ꧶) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance; “insurer” (ꭏ쁉ꑈ) means a person – (a) carrying on insurance business in or from Hong Kong
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
According to section 142 of the Securities and Futures Ordinance (“SFO”), the Financial Secretary may by notice published in the Gazette, amend Schedule 5 of the SFO. Accordingly, if the services provided by a family office do not constitute any regulated activity or they fall within any of the available carveouts stipulated under Schedule 5 of the Securities and Futures Ordinance (SFO), the family office is not required to be licensed under the SFO. Subcommittee on Securities and Futures Ordinance (Amendment of Schedule 5) Notice 2011 and Securities and Futures (Financial Resources) (Amendment) Rules 2011 The Administration’s Response to Issues Raised at the Subcommittee Meeting Held on 17 March 2011 This paper presents the Administration’s responses to issues 1. On 23 February 2005, the Securities and Futures Commission (the “Commission”) issued a consultation paper (the “Consultation Paper”) inviting the public to comment on proposed amendments to Part 2 of Schedule 5 to the Securities and Futures Ordinance (Cap. 571) (the “SFO”) (the “Proposed Amendments”). 2. securities and futures ordinance 1 securities and futures commission 2 regulation of offers of investments 5 licensing and registration 7 capital requirements, client assets, records and audit relating to intermediaries 9 business conduct of intermediaries 10 securities and futures appeals tribunal 11 investor compensation 12 offences relating to securities and futures