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The Licensing Regime under The Securities and Futures Ordinance

Ongoing compliance matters for a licensed corporation to carry out certain regulated activities The 10 most important things to know about Hong Kong SFC licensing for commodities related activities Approvals and notifications required in relation to transfers of...

Market misconduct under the Securities and Futures Ordinance

SFC starts market misconduct proceedings over alleged false research report Insider dealing under the Securities and Futures Ordinance Download pdf | Download word INTRODUCTION The Securities and Futures Ordinance (“SFO”) which came into effect on 1 April 2003...