Recognized stock market securities and futures ordinance

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.

recognized stock market it operates; (c) it is in the interest of the investing public or in the public interest, or it is appropriate for the protection of investors generally or for the protection of investors in any securities listed on a recognized stock market; or Securities and Futures (Stock Market Listing) Rules 2 "Recognized stock market" is defined under the Securities and Futures Ordinance (Cap. 571) as a stock market operated by a company recognized as an exchange company under section 19(2) of Cap. 571. Pursuant to the Securities and Futures (Stock Market Listing) Rules which is a piece of subsidiary legislation under the SFO, listing applications (including IPO prospectuses) and circulars, announcements, accounts and other documents issued by listed companies will also be required to be filed with the Securities and Futures Commission ("SFC To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page.

regulate the securities and futures markets in Hong Kong. The functions of the and investors; supervising and monitoring the activities of the Stock Exchange of section 59A of the Securities and Futures Commission Ordinance and section 63A whether the request involves an assertion of jurisdiction not recognised by .

Structure and regulation of Hong Kong's securities and futures markets the Securities and Futures Ordinance (SFO), which came into operation on 1 April 2003. The Stock Exchange, a wholly-owned subsidiary of HKEX, is a recognised  30 Jul 2018 All; Ordinance; Subsidiary Legislation; Instrument. Option. Section/Rule No. Part No. Schedule No. Appendix No. Annex No. Important Notices. Securities and Futures (Stock Market Listing) Rules. Part I Preliminary · Part II Stock Market Listing · Part III Suspension of Dealings · Part IV Approved Share  recognized exchange company;. (b) operate a futures market unless the person is a recognized exchange company;. (c) assist in the operation of a stock market   The Securities and Futures Ordinance establishes dual civil and criminal regimes listed securities or derivatives outside Hong Kong on an overseas stock market ; or the dealing in question was subject to the rules of a recognised clearing  on a recognized stock market as defined in the Securities and Futures Ordinance (Chapter 571, Laws of Hong Kong), nor publicly listed on a specified stock  Securities and Futures Ordinance (Cap. 571);. (b) if any relevant transfer order made under section 25 of that Ordinance is in force, the recognized exchange.

The SFC was created in 1989 in response to the stock market crash of 1987. In 1997 following the Asian financial crisis the regulatory framework was further improved. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers.

1 See sections 137, 144 and 155 of the Companies Ordinance (Cap. 622). 2 "Recognized stock market" is defined under the Securities and Futures Ordinance (Cap. 571) as a stock market operated by a company recognized as an exchange company under section 19(2) of Cap. 571. the Securities and Futures Ordinance Securities and Futures (Levy) Order of the Securities and Futures Ordinance ] SECURITIES AND FUTURES (LEVY) ORDER (Made by the Chief Executive in Council under section 394(1) of the Securities and Futures Ordinance (5 of 2002)) are traded on a recognized stock market operated by the Stock Exchange Section 19 prohibits a person from operating a stock market unless it is the Stock Exchange Company, a recognized exchange company controlled by the same exchange controller3 controlling the Stock Exchange Company, or that controller where it is itself a recognized exchange company. No one may operate a futures market unless the person is a recognized Pursuant to the Securities and Futures (Stock Market Listing) Rules which is a piece of subsidiary legislation under the SFO, listing applications (including IPO prospectuses) and circulars, announcements, accounts and other documents issued by listed companies will also be required to be filed with the Securities and Futures Commission ("SFC 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. The SFC was created in 1989 in response to the stock market crash of 1987. In 1997 following the Asian financial crisis the regulatory framework was further improved. A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers. "recognized exchange company" (認可交易所) means a company recognized under section 19(2) of the Securities and Futures Ordinance (Cap 571) as an exchange company for operating a stock market; (Added 5 of 2002 s.

Pursuant to section 307A (3), which is a unique Hong Kong provision, for the purpose of Part XIVA of the SFO, securities listed on a recognized stock market are to continue to be regarded as listed during any period of suspension of dealings in those securities on that market.

recognized stock market it operates; (c) it is in the interest of the investing public or in the public interest, or it is appropriate for the protection of investors generally or for the protection of investors in any securities listed on a recognized stock market; or Securities and Futures (Stock Market Listing) Rules

Pursuant to section 307A (3), which is a unique Hong Kong provision, for the purpose of Part XIVA of the SFO, securities listed on a recognized stock market are to continue to be regarded as listed during any period of suspension of dealings in those securities on that market.

regulate the securities and futures markets in Hong Kong. The functions of the and investors; supervising and monitoring the activities of the Stock Exchange of section 59A of the Securities and Futures Commission Ordinance and section 63A whether the request involves an assertion of jurisdiction not recognised by . Amendments to Securities and Futures Ordinance for Regulation of OTC Derivative stock market or a recognized futures market or which is subject to the rules  19 Jan 2015 571) (“SFO”) regulates the securities and futures market in Hong of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. and Futures Commission (“SFC”) or the Hong Kong Stock Exchange of HKSAR unanimously held that partial waiver of LPP is recognised in Hong Kong. 13 Jul 2017 matters that fall within the scope of the SMLR (Stock Market Listing Rules) or the SFO (Securities and Futures Ordinance),” said Ashley Alder, 

1 Jan 2020 to minimize crime and misconduct in the securities and futures industry;. (e) the activities carried on by recognized exchange companies,  Structure and regulation of Hong Kong's securities and futures markets the Securities and Futures Ordinance (SFO), which came into operation on 1 April 2003. The Stock Exchange, a wholly-owned subsidiary of HKEX, is a recognised  30 Jul 2018 All; Ordinance; Subsidiary Legislation; Instrument. Option. Section/Rule No. Part No. Schedule No. Appendix No. Annex No. Important Notices. Securities and Futures (Stock Market Listing) Rules. Part I Preliminary · Part II Stock Market Listing · Part III Suspension of Dealings · Part IV Approved Share  recognized exchange company;. (b) operate a futures market unless the person is a recognized exchange company;. (c) assist in the operation of a stock market   The Securities and Futures Ordinance establishes dual civil and criminal regimes listed securities or derivatives outside Hong Kong on an overseas stock market ; or the dealing in question was subject to the rules of a recognised clearing