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...
by cladmin | Apr 2, 2003 | Hong Kong Law
Download the Word Introduction 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 new provisions as they...
