information rules sfc

For details, please refer to the “Guidelines on Continuous Professional Training”. The annual fee amounts are shown in the table below. Licensed corporations and individuals are required to confirm (when submitting their annual returns through the SFC Online Portal) whether they have complied with the relevant CPT requirements for the previous calendar year. In the case of entities belonging to the same group of companies, a licensed corporation or registered institution may make a notification on its behalf and on behalf of other group entities in respect of the same change. They have to comply with all applicable provisions of the SFO and its subsidiary legislation as well as the codes and guidelines issued by the SFC. A substantial shareholder of a licensed corporation is required to notify the SFC of changes in his/her particulars as detailed in Part 4 of Schedule 3 to the Securities and Futures (Licensing and Registration) (Information) Rules. This page highlights certain ongoing statutory obligations imposed on licensed corporations, licensed individuals, registered institutions and associated entities of intermediaries. President Museveni Friday commissioned Shs3.48b new headquarters of the Special Forces Command, named the General Yoweri Museveni House. . The HKEX Rules, Interpretation and Guidance are maintained by Thomson Reuters Governance, Risk and Compliance to organise the materials for greater accessibility. Details are set out in the table below. … On 11 February 2019 Hong Kong’s Court of First Instance held that the power of the Securities and Futures Commission ( SFC) to obtain trading records from intermediaries under s. 181 of the Securities and Futures Ordinance ( SFO) does not violate the privilege against self-incrimination. See also “Circular to intermediaries on compliance with notification requirements”. Those that are applicable today and their earlier versions(s), if any, can be viewed in this section, providing easy search via multiple criteria, indexing and cross referencing. in relation to the operation of any provision of the SFO. Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. Learn more about our, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Securities and Futures Ordinance (with subsidiary legislation), Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, the Securities and Futures (Licensing and Registration) (Information) Rules, “Circular to Intermediaries Regarding Compliance with Notification Requirements”, "Guidelines on Continuous Professional Training". 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