Archived Post for "Hong Kong Law"

Memorandum summarising Hong Kong’s SFO Part IV regime regulating offers of investment products, including collective investment schemes and professional investor exemptions.

The Securities and Futures Ordinance introduced a streamlined licensing regime from 1 April 2003 with a 2-year transitional period for existing registrants.

The SFC issued a revised outline (see archive) of Part XV of the Securities and Futures Ordinance (SFO) on 6 August (the Outline) which summarises the provisions of Part XV and contains detailed examples of how they…

The Securities and Futures (Price Stabilising) Rules (the Rules) made under the Securities and Futures Ordinance (the SFO) prescribe the circumstances in which price stabilisation may be carried out without…

The consultation paper on the regulation of sponsors and independent financial advisers (the Consultation Paper) published by the Hong Kong Stock Exchange (the Exchange) and the SFC sets out their proposals for…

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 relation to all types of market misconduct.

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 of all types of market misconduct.

Part XV of the Securities and Futures Ordinance (SFO) which came into force on 1 April 2003 extends the regime for disclosure of interests in Hong Kong listed securities. The attached note sets out a summary of the…