by cladmin | Oct 16, 2003 | Hong Kong Law
Download the Word Introduction New Single Licence Regime Regulated Activities Licence Types Responsible Officers Registered Institutions Exemptions And Exclusions Temporary Licences Provisional Licences Conduct Outside Hong Kong Transitional Arrangements Public...
by cladmin | Oct 1, 2003 | Hong Kong Law
Download the Word Options Disclosure Of Short Positions Buying And Selling Shares Disclosure Obligations Resulting From Share Repurchases And Placements Wholly Owned Group Exemption Rights Issues Disaggregated Group Interests Exempt Security Interests Interaction Of...
by cladmin | Sep 24, 2003 | Hong Kong Law
Download the Word Introduction Scope Of The Rules Primary Stabilising Actions Ancillary Stabilising Actions Time Limits For Stabilising Actions Price Limits For Stabilising Actions Restrictions On Stabilisation What Is The Role Of The Stabilising Manager? Disclosure...
by cladmin | Jun 20, 2003 | Hong Kong Law
Download the Word Acceptable Sponsors and IFAs The Code of Conduct Sponsors’ Due Diligence Declaration by Sponsors and Lead Underwriters IFAs’ Due Diligence and Declaration Individuals’ Undertakings On-going Advice for Listed Issuers Independence of Sponsors and IFAs...
by cladmin | Jun 2, 2003 | Hong Kong Law
Download the Word Introduction What Is Market Misconduct? Additional Offences Effects Of Market Misconduct Introduction The Securities and Futures Ordinance (SFO) which came into effect on 1 April 2003 establishes dual civil and criminal regimes under Parts XIII and...
by cladmin | May 20, 2003 | Hong Kong Law
INTRODUCTION. 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. “Market misconduct” as regulated under...
