Guidelines on Competence - SFC

LEGISLATIVE COUNCIL BRIEF Securities and Futures …

- 2 - THE PROPOSALS Major policy considerations 4. There are provisions in the SFO including its subsidiary legislation that are designed especially for investor protection.

  Legislation, Subsidiary, Subsidiary legislation

Table A - Market Capitalisation of the World's Top …

Table A - Market Capitalisation of the World's Top Stock Exchanges (As at end June 2018) 表A – 世界各大證券交易所的市值 (截至2018 年6 月底)

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交易披露 - sfc.hk

交易披露 2018 年3 月22 日 透過吸收合併進行私有化 就中國建材股份有限公司的股份的交易披露 執行人員接獲依據香港《公司收購及合併守則》規則22 作出以下的證券交易的披露：

Exchange Traded Funds and Listed Funds

Exchange Traded Funds and Listed Funds This FAQ is prepared by the Investment Products Division and aims to provide basic information to market practitioners in respect of exchange traded funds (“ETFs”) and listed funds, which are subject to the SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance

  Fund, Listed, Exchange, Traded, Exchange traded funds, Exchange traded funds and listed funds

3 Section II - Code on Unit Trusts and Mutual Funds ...

Topics January 2019 Provisions of the UT Code New schemes with new operators (i.e. with new management companies and new trustees/ custodians) New schemes with new management companies but existing trustees/ custodians

Mergers and Share - sfc.hk

July 2018 Int-1 INTRODUCTION 1. Nature and purpose of the Takeovers Code and Share Buy-backs Code 1.1 The Takeovers Code and the Share Buy-backs Code have been issued by the SFC in consultation with the Panel.

July - September 2021

Quarterly Report July-September 2021 5 Highlights Operational Review Corporate Developments Activity Data Financial Statements Corporates Listing applications and takeovers activities Quarter ended 30.9.2021 Six months ended 30.9.2021 Six months ended 30.9.2020 YoY change (%) Listing applications 78 198 143 38.5

  Report, Activities, Quarterly, Quarterly report

Guideline on Anti-Money Laundering and Counter- …

Anti-Money Laundering and Counter-Terrorist Financing Ordinance, Cap. 615 (the AMLO), and section 399 of the Securities and Futures Ordinance, Cap. 571 (the SFO). 1.2 Terms and abbreviations used in this Guideline shall be interpreted by reference to the definitions set out in the Glossary part of this Guideline. 1.3

  Money, Terrorists, Counter, Laundering, Money laundering and counter, And counter terrorist

Registered with the Securities and Futures

persons which deal in securities and/or futures contracts listed or traded on The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited or trade in leveraged foreign exchange contracts. These are derived primarily from former rules of the Exchanges and the repealed Leveraged Foreign Exchange Trading Ordinance.

  Future, Securities, Securities and futures

FAQs relating to the stock markets and exchanges - SFC

Hong Kong has only three recognised clearing houses under the SFO. They are: (a) Hong Kong Securities Clearing Company Limited; (b) HKFE Clearing Corporation Limited; and (c) SEHK Options Clearing House Limited. All three are deemed to be “recognised clearing houses” by virtue of section 6 of Part 1 of Schedule 10 to the SFO.

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PRINCIPALS’ ADMINISTRATIVE AND SUPERVISORY ROLES …

Theoretical Framework The theory for this study will be system theory. The system theory is therefore considered most ... principal as ‘head teacher, principal, leader of the school, school father adviser, chief administrative executive, public relation officer, curriculum director, innovator, policy maker, ... evaluation and remuneration of ...

  Framework, Adviser, Remuneration

Compliance for Related Party Transactions under the ...

remuneration > ` 2.5 Lakh) CTIONS VERED. 8 Approval of Related Party ... • Assist in developing a framework to capture all the Related Party Transactions to ensure its correctness, completeness, etc. ... business, you should consult a qualified professional adviser.

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HELPING YOU UNDERSTAND THE FASEA CODE OF ETHICS

remuneration. Note: Variable components of remuneration (for example, performance bonuses) are benefits under this definition. ‘Principal’ of a relevant provider is the financial services licensee who has authorised the provider to provide, on its behalf, personal advice to retail clients. Note: Your employer may be your principal.

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COMPANYCOMPANY LAWLLAAWWLAW - ICSI

STUDY MATERIAL EXECUTIVE PROGRAMME COMPANYCOMPANY LAWLLAAWWLAW PAPER 1 ICSI House, 22, Institutional Area, Lodi Road, New Delhi 110 003 tel 011-4534 1000, 4150 4444 fax +91-11-2462 6727 email info@icsi.edu website www.icsi.edu

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