HONG KONG LAW October 2003 Word version The Licensing Regime Under The Securities And Futures Ordinance Introduction New Single Licence Regime Regulated Activities Licence Types Responsible Officers Registered Institutions Exemptions And Exclusions Temporary Licences...
[show_newsletter_sitepath] [show_back_to_newsletter_link] Insights [show_insights_options] HONG KONG LAW October 2003 Word version Disclosure Of Interests Under The Securities And Futures Ordinance – Update Options Disclosure Of Short Positions Buying And...
[show_newsletter_sitepath] [show_back_to_newsletter_link] Insights [show_insights_options] HONG KONG LAW September 2003 Word version Stabilisation Under The Securities And Futures (Price Stabilising) Rules Introduction Scope Of The Rules Primary Stabilising Actions...
[show_newsletter_sitepath] [show_back_to_newsletter_link] Insights [show_insights_options] HONG KONG LAW June 2003 Word version Proposed Increased Regulation Of IPO Intermediaries Acceptable Sponsors and IFAs The Code of Conduct Sponsors’ Due Diligence...
HONG KONG LAW June 2003 Word version Market Misconduct Under The Securities And Futures Ordinance Introduction What Is Market Misconduct? Additional Offences Effects Of Market Misconduct Introduction The Securities and Futures Ordinance (SFO) which came into effect on...
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...
