Securities and futures ordinance part xv
18 II. THE SECURITIES AND FUTURES ORDINANCE PARTS XIII AND XIV MARKET MISCONDUCT (Overhead 29) 1. INTRODUCTION (Overhead 30) The SFO establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. (cont’d) 6) Securities (Insider Dealing) Ordinance 7) Securities (Disclosure of Interest) 8) Securities and Futures (Clearing Houses) 9) Leveraged Foreign Exchange Trading 10) Exchanges and Clearing Houses (Merger) Ordinance 3 Objectives of SFO - promote fair, orderly & transparent market - cope with new products innovations and new advances in technological infrastructures; - be a regulator with sufficient powers and discretions (operations are transparent; accountable to the stakeholders As regards financial products, the wider concept of collective investment schemes will replace and encompass the existing definitions of mutual funds and unit trusts in the soon to be repealed Securities Ordinance. Part XV of the SFO introduces very extensive disclosure requirements. “SFC” means the Securities and Futures Commission; “SFO” means the Securities and Futures Ordinance (Cap. 571); “Part XV” means Part XV of the SFO; “Stock Exchange” means the Stock Exchange of Hong Kong Limited; and “substantial shareholder” means a person or corporation who has an interest The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. Its scope is wide; ranging from regulating the conduct of listed companies and financial intermediaries to providing standards for the authorisation of, and regulating offers of, investment products. Under the Part XV of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (Hong Kong SFO), substantial shareholders and directors of a listed corporation are required to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them. Part XV of the Securities and Futures Ordinance sets out the Disclosure of Interests (or " DOI ") requirements for Hong Kong. These DOI provisions require holders of certain long positions and holders of certain short positions, in Hong Kong shares, to
SECURITIES AND FUTURES ORDINANCE. CONTENTS. Section. Page. PART I PART XV. DISCLOSURE OF INTERESTS. Division 1—Preliminary. 308.
As regards financial products, the wider concept of collective investment schemes will replace and encompass the existing definitions of mutual funds and unit trusts in the soon to be repealed Securities Ordinance. Part XV of the SFO introduces very extensive disclosure requirements. “SFC” means the Securities and Futures Commission; “SFO” means the Securities and Futures Ordinance (Cap. 571); “Part XV” means Part XV of the SFO; “Stock Exchange” means the Stock Exchange of Hong Kong Limited; and “substantial shareholder” means a person or corporation who has an interest The Securities and Futures Ordinance is the primary piece of legislation regulating Hong Kong’s securities and futures markets. Its scope is wide; ranging from regulating the conduct of listed companies and financial intermediaries to providing standards for the authorisation of, and regulating offers of, investment products. Under the Part XV of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (Hong Kong SFO), substantial shareholders and directors of a listed corporation are required to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them. Part XV of the Securities and Futures Ordinance sets out the Disclosure of Interests (or " DOI ") requirements for Hong Kong. These DOI provisions require holders of certain long positions and holders of certain short positions, in Hong Kong shares, to SFC Proposes Additional Exemptions From Part XV Disclosure Requirements The Securities and Futures Commission (SFC) is proposing to add two more categories of exemptions from the disclosure-of-interests requirement under Part XV of the Securities and Futures Ordinance (SFO) (Part XV).
26 May 2017 their disclosure / notification obligations under Part XV Securities and Futures Ordinance (SFO) – though the changes will not otherwise affect
Securities and Futures Ordinance (with subsidiary legislation) We are directing you to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government to view the full contents of the Securities and Futures Ordinance (SFO), including its subsidiary legislation. 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. Part XV of the Securities and Futures Ordinance - Disclosure of Interests. Search facilities. 1. Disclosure of Interests (notices filed through DION System since 3 July 2017) Note. 2. Disclosure of Interests (notices filed through means other than DION System from 1 April 2003 to 2 October 2017) Note. Filing of Notices. 3. Download & Submit DI Forms. 4. 18 II. THE SECURITIES AND FUTURES ORDINANCE PARTS XIII AND XIV MARKET MISCONDUCT (Overhead 29) 1. INTRODUCTION (Overhead 30) The SFO establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. (cont’d) 6) Securities (Insider Dealing) Ordinance 7) Securities (Disclosure of Interest) 8) Securities and Futures (Clearing Houses) 9) Leveraged Foreign Exchange Trading 10) Exchanges and Clearing Houses (Merger) Ordinance 3 Objectives of SFO - promote fair, orderly & transparent market - cope with new products innovations and new advances in technological infrastructures; - be a regulator with sufficient powers and discretions (operations are transparent; accountable to the stakeholders As regards financial products, the wider concept of collective investment schemes will replace and encompass the existing definitions of mutual funds and unit trusts in the soon to be repealed Securities Ordinance. Part XV of the SFO introduces very extensive disclosure requirements.
the Securities and Futures Ordinance (Amendment of Schedule 10). Order 2002, at the disclosure requirements under Part XV of the Ordinance. It is partly
advising listed companies, directors and substantial shareholders on disclosure of interests obligations under Part XV of the Securities and Futures Ordinance Hong Kong's disclosure of interests regime is set out in Part XV of the Securities and Futures Ordinance (Cap. 571) (SFO) and requires directors, chief executives. 26 May 2017 their disclosure / notification obligations under Part XV Securities and Futures Ordinance (SFO) – though the changes will not otherwise affect If this does not assist, you should consult with your professional advisers. Part XV of the Securities and Futures Ordinance - Disclosure of Interests. Search facilities. the Securities and Futures Ordinance (Amendment of Schedule 10). Order 2002, at the disclosure requirements under Part XV of the Ordinance. It is partly in the register required to be kept under Section 352 of Part XV of the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong) (the " SFO"). Section 114 of the Securities and Futures Ordinance (Cap.571) (the SFO), sits at paragraphs (i) to (xv) of the definition of “leveraged foreign exchange trading”.
Section 114 of the Securities and Futures Ordinance (Cap.571) (the SFO), sits at paragraphs (i) to (xv) of the definition of “leveraged foreign exchange trading”.
3 Jul 2017 book/sfo-part-xv-disclosure-of-interests/ (Under Rules and standards / Securities and Futures. Ordinance Part XV - Disclosure of Interests). 1. 1 Jan 2020 The Commission may, by notice published in the Gazette, amend Parts 2, 3, 4 and 5 of Schedule 1. Part II. Securities and Futures Commission. (
PART XV of the SECURITIES AND FUTURES ORDINANCE (CAP. 571) (Disclosure of Interests) Under Section 309 of the Securities and Futures Ordinance (Cap. 571), the Securities and Futures Commission, after consulting the Financial Secretary, publishes these guidelines for the exemption of listed corporations and other persons Securities and Futures Ordinance Part XV - Disclosure of Interests Account opening Regulatory requirements Acceptable account opening approaches List of eligible jurisdictions for remote onboarding of overseas individual clients Anti-money laundering and counter-financing of terrorism Legal and regulatory requirements Circulars of Interests (“DOI”) regime under Part XV of the Securities and Futures Ordinance (Cap. 571) (“SFO”) contains the most detailed, complex and difficult to apply substantial shareholder reporting rules in the world with a high risk of inadvertent and technical breach. Home Rules and standards Securities and Futures Ordinance Part XV - Disclosure of Interests Exemptions granted under section 309(2) Exemptions granted under section 309(2) Exemptions granted in respect of corporations issuing securities listed on The Stock Exchange of Hong Kong Limited are set out below. Under the Part XV of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (Hong Kong SFO), substantial shareholders and directors of a listed corporation are required to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them. Hong Kong’s disclosure of interests regime is set out in Part XV of the Securities and Futures Ordinance (Cap. 571) (SFO) and requires directors, chief executives and substantial shareholders of companies listed in Hong Kong to disclose their interests in the shares and debentures of such companies.