July - September 2021

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)

  World, Market, Table, Capitalisation, Table a market capitalisation of the world s top

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.

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 These are derived primarily from former rules of the Exchanges and the repealed Leveraged Foreign Exchange Trading Ordinance.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

Guidelines on Competence - SFC

2 For a corporation that has a complex ownership or control structure (eg, structures involving multiple layers, cross-holdings, trusts, nominee arrangements) without an obvious commercial purpose, the SFC may obtain further information to understand whether there is a legitimate reason for the particular structure.

  Guidelines, Purpose, Structure, Competence, Guidelines on competence

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.

  Limited, Company, Securities, Kong, Clearing, Kong securities clearing company limited

Final Program Evaluation Report - DPCPSI

2.2.1 Quarterly Data Report and Clinical Research Summary Spreadsheet.....16 2.2.2 Interview Data ... activities from the beginning of the program through September 2009. Sites varied in the patient navigator they had; a navigator could be a lay person (e.g., cancer survivors), a professional (registered nurse ...

  Report, Activities, Quarterly

PERSONAL INCOME TAX WAGES REPORTED ON THE …

Quarterly Contribution Return and Report of Wages (Continuation) (DE 9C). As shown in the grid below, some wage items are considered “PIT Wages” and reported in Item H on the DE 9C, even though the wages are not subject to Personal Income Tax (PIT) withholding. The table is

  Report, Quarterly

Sustainability Report 2020 - AstraZeneca

quarterly company risk reviews. In 2020, climate related material focus areas were explicitly incorporated in the risk management platform to enable risk managers to flag when potential risks are connected to environmental sustainability issues. See more in the Risk overview section of our Annual Report. Code of Ethics

  Report, Quarterly, Astrazeneca

BIS Quarterly Review, December 2021

activities have obvious implications for investor protection, their impact is more far-reaching. When things go wrong, NBFIs can trigger or amplify market stress. And they affect how monetary policy is transmitted to the economy, how it is implemented on a day-to-day basis, and even how it is ca librated and communicat ed. Recent ructions

  Activities, Quarterly

Supervision and R egula tion R eport

Supervisory Activities Ar e Retur ning to Pr e-COVID Appr oaches..... . 19 Key Supervisory ... Source: Call Report and FR Y -9C. 5. banks had str ong ca pita l le vels and w er e w ell positioned to support the ongoing economic reco very . Consequentl y, tempor ary ca pita l dis-

  Report, Activities, Porte, R eport

Marijuana Banking Update - FinCEN.gov

Suspicious Activity Report (SAR) filing timeframe. Several filers take 180 days or more to file a continuing activity report. After 90 days, a depository institution is no longer counted as providing banking services until a new guidance-related SAR is received.

  Report, Fincen

Impacts of COVID-19 on Households in the Philippines

Jan 31, 2020 · economic activities. •Unemployment attained 17.5 percent in April 2020, triple its level in the previous quarter. •Despite the government’s efforts to mitigate the negative effects of the pandemic on poor and vulnerable households, the outbreak and containment measures are likely to have severely affected households’ livelihoods.

  Activities