Hong kong securities and futures commission search

20 Jan 2020 codes & guidelines Advanced search or registered with the SFC to carry on business in Hong Kong (See "Licensing Handbook" posted on this website for further information). Pursuant to section 136(4) of the Securities and Futures Ordinance, Copyright © 2019 Securities and Futures Commission. 22 Jan 2020 codes & guidelines Advanced search for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:. Securities & Futures Commission of Hong Kong Search regulations by topic on the frequently searched terms or enter keywords for an advanced search.

News and announcements. News originated by the SFC is categorised into three groups: A full list of all news categories is available under all news.. Corporate news covers announcements on a corporate level, such as, appointments of executives and members of panels and committees, co-operation agreements with other regulatory bodies and organisational changes. As the gatekeeper of standards for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we: Grant licences to those who are appropriately qualified and can demonstrate their fitness and properness to be licensed under the Securities and Futures Ordinance; The Securities And Futures Commission (SFC) is a non-governmental statutory body responsible for regulating Hong Kong's securities and futures markets. The SFC was established by the Securities and Futures Commission Ordinance (SFCO). The commission is independent and not under the purview Securities and Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history Codes and guidelines Codes Guidelines Circulars OTC derivatives regulatory regime Short position reporting rules Wildcards Search (% or _) A percent sign (%) can be used to match zero or more characters of English words at the same time. e.g. appl% means to find documents having “apply”, “applies”, “applying”, “application” etc. e.g. apply% means to find documents having “apply”, “applying”, etc.

International Organization of Securities Commissions (IOSCO) Search: Select an option Company, Regulator, Jurisdiction, By Date, By Keywords Hong Kong Science and Technology Innovation Equity Transfer Market Co., Ltd, Securities and Futures Commission, Hong Kong, 20200303 03 Mar 2020, Regarding 

16 Aug 2019 Adapted from the Investment Insight “In Search of a Late-Cycle Buffer. including the Securities and Futures Commission in Hong Kong. 13 Jan 2017 The ICAC, SFC and CC have the power to gain entry and search Securities and Futures Ordinance (Cap 571) and the Competition Ordinance (Cap 619). corruption, kickbacks and secret commissions (investigated by the  CareersSearch JobsNewsroomSite MapMinimum Requirements Accessibility PrivacySecurityFinancial StatementDisclosuresIncentive CompensationTD  Established in 1989, the Securities and Futures Commission (SFC) is an independent statutory body set up to regulate the securities and futures markets in Hong Kong. Securities & Futures Ordinance (with subsidiary legislation) Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation) Legislative history Securities and Futures Ordinance Part XV - Disclosure of Interests Short position reporting rules OTC Derivatives Regulatory Regime Securities & Futures Commission of Hong Kong. Public register of licensed persons & registered institutions. This register lists all licensees (ie, both licensed individuals and licensed corporations) and registered institutions. The Alert List is a list of entities which have come to the attention of the SFC because they are unlicensed in Hong Kong and are believed to be, or to have been, targeting Hong Kong investors or claim to have an association with Hong Kong. You can either search by name or by type to check whether

The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number  

Securities and Futures Ordinance Part XV - Disclosure of Interests Short position reporting rules. Codes Guidelines Circulars Archives. Published resources. 16 Oct 2012 Rules & Standards. Laws Securities and Futures Ordinance Part XV - Disclosure of Interests Short position reporting rules. Codes & guidelines Established in 1989, the Securities and Futures Commission (SFC) is an independent statutory body set up to regulate the securities and futures markets in  20 Jan 2020 codes & guidelines Advanced search or registered with the SFC to carry on business in Hong Kong (See "Licensing Handbook" posted on this website for further information). Pursuant to section 136(4) of the Securities and Futures Ordinance, Copyright © 2019 Securities and Futures Commission. 22 Jan 2020 codes & guidelines Advanced search for individuals and corporations seeking to enter the securities and futures markets of Hong Kong, we:. Securities & Futures Commission of Hong Kong Search regulations by topic on the frequently searched terms or enter keywords for an advanced search. Search regulations by topic. This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please 

The information dates back to 1 April 2003, the commencement date of the Securities and Futures Ordinance. Please select: Search by name or CE number  

The Securities and Futures Commission has proposed a number of rules on fund houses and their custodians to address risks posed by financial innovation and strengthen regulation in Hong Kong’s

Securities and Futures Commission (autoridade supervisora de Hong Kong) Site Map Accessibility Policy Data Protection and Security Back to top return top 

We note that in 2004 he was suspended for 4 months for cold calling. He was also prosecuted and fined HK$5k for that. Orgs · RHB SECURITIES HONG KONG   Learn more about each of our businesses and search job openings to see where BofA Securities, Inc. and Merrill Lynch Professional Clearing Corp. are registered as futures commission merchants with the CFTC and are members of the NFA. Disclaimer for Hong Kong | Disclaimer for India | Disclaimer for Latin America. Search. At least 3 characters must be typed in the search field in order to A global manager of real estate equity, debt, securities, and specialized strategies. a regulated entity with the Securities and Futures Commission in Hong Kong to  

Open a Schwab Hong Kong account to start investing in the U.S. financial market today. NextPreviousDid you mean:You can also try:Search is temporarily unavailable. Schwab Hong Kong Individual/Joint Account Application; W-8BEN Form not been reviewed by the Securities and Futures Commission of Hong Kong. (Securities and Futures Ordinance (Chapter 571 of Laws of Hong Kong)) (CE are issued by Securities and Futures Commission of Hong Kong to the Target  1 Jan 2020 The Commission may, by notice published in the Gazette, amend Parts 2, 3, 4 and 5 of Schedule 1. Part II. Securities and Futures Commission. (  25 Feb 2020 This is the first decision in Hong Kong confirming the SFC's powers to seize Ho Cyril and others v Securities and Futures Commission (HCAL 2132-4, to digital devices and email accounts) and (c) the validity of the search