Securities and futures ordinance part xv

Part XV of the Securities and Futures Ordinance - Disclosure of Interests. Search facilities. 1. Disclosure of Interests (notices filed through DION System since 3 July 2017) Note. 2. Disclosure of Interests (notices filed through means other than DION System from 1 April 2003 to 2 October 2017) Note. Filing of Notices. 3. Download & Submit DI Forms. 4. 18 II. THE SECURITIES AND FUTURES ORDINANCE PARTS XIII AND XIV MARKET MISCONDUCT (Overhead 29) 1. INTRODUCTION (Overhead 30) The SFO establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. (cont’d) 6) Securities (Insider Dealing) Ordinance 7) Securities (Disclosure of Interest) 8) Securities and Futures (Clearing Houses) 9) Leveraged Foreign Exchange Trading 10) Exchanges and Clearing Houses (Merger) Ordinance 3 Objectives of SFO - promote fair, orderly & transparent market - cope with new products innovations and new advances in technological infrastructures; - be a regulator with sufficient powers and discretions (operations are transparent; accountable to the stakeholders

15 Jun 2016 Part XV of the SFO sets out the requirements for the disclosure of pursuant to section 194 of the Securities and Futures Ordinance (SFO). 2. meaning of Part XV of the Securities and Futures Ordinance. Mr William Otto Grabe, age 67, has been appointed as a Non-executive Director with effect from. Items 1 - 7 b. the AI to comply with its duties under Parts XII, XV, XVIA (for locally the meaning of section 157 of the Securities and Futures Ordinance. 5. interests in the shares of the Company and its subsidiaries within the meanings of Part XV of the Securities and Futures Ordinance of those Directors who stand  8 Nov 2019 Christy's experience spans across a wide range of issues arising from the Securities and Futures Ordinance (SFO), the codes and guidelines 

OUTLINE OF PART XV OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) (“SFO”) - DISCLOSURE OF INTERESTS (Published by the Securities and Futures Commission under section 5(4)(f) of the SFO) This outline is intended to be a practical guide to the situations in which a notice will have to be filed under Part XV of the SFO (“Part XV”).

of Interests (“DOI”) regime under Part XV of the Securities and Futures Ordinance (Cap. 571) (“SFO”) contains the most detailed, complex and difficult to apply substantial shareholder reporting rules in the world with a high risk of inadvertent and technical breach. Home Rules and standards Securities and Futures Ordinance Part XV - Disclosure of Interests Exemptions granted under section 309(2) Exemptions granted under section 309(2) Exemptions granted in respect of corporations issuing securities listed on The Stock Exchange of Hong Kong Limited are set out below. Under the Part XV of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (Hong Kong SFO), substantial shareholders and directors of a listed corporation are required to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them. Hong Kong’s disclosure of interests regime is set out in Part XV of the Securities and Futures Ordinance (Cap. 571) (SFO) and requires directors, chief executives and substantial shareholders of companies listed in Hong Kong to disclose their interests in the shares and debentures of such companies. 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. Securities and Futures Ordinance (with subsidiary legislation) We are directing you to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government to view the full contents of the Securities and Futures Ordinance (SFO), including its subsidiary legislation. 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.

Under the Part XV of the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong) (Hong Kong SFO), substantial shareholders and directors of a listed corporation are required to make disclosure filings to the Hong Kong Stock Exchange and notify the listed corporation in connection with interests held by them.

OUTLINE OF PART XV OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) (“SFO”) - DISCLOSURE OF INTERESTS (Published by the Securities and Futures Commission under section 5(4)(f) of the SFO) This outline is intended to be a practical guide to the situations in which a notice will have to be filed under Part XV of the SFO (“Part XV”). PART XV of the SECURITIES AND FUTURES ORDINANCE (CAP. 571) (Disclosure of Interests) Under Section 309 of the Securities and Futures Ordinance (Cap. 571), the Securities and Futures Commission, after consulting the Financial Secretary, publishes these guidelines for the exemption of listed corporations and other persons Securities and Futures Ordinance Part XV - Disclosure of Interests Account opening Regulatory requirements Acceptable account opening approaches List of eligible jurisdictions for remote onboarding of overseas individual clients Anti-money laundering and counter-financing of terrorism Legal and regulatory requirements Circulars

[1st January 2002: Parts I, VIII, IX, X and XV (except section 314), First and Second Schedules ; 1. This Act may be cited as the Securities and Futures Act. [SIA, s. 4; Companies, s. 7 (4A); HK Securities Ordinance, s. 5]. [Act 4 of 2017 wef 

Items 1 - 7 b. the AI to comply with its duties under Parts XII, XV, XVIA (for locally the meaning of section 157 of the Securities and Futures Ordinance. 5. interests in the shares of the Company and its subsidiaries within the meanings of Part XV of the Securities and Futures Ordinance of those Directors who stand  8 Nov 2019 Christy's experience spans across a wide range of issues arising from the Securities and Futures Ordinance (SFO), the codes and guidelines  [1st January 2002: Parts I, VIII, IX, X and XV (except section 314), First and Second Schedules ; 1. This Act may be cited as the Securities and Futures Act. [SIA, s. 4; Companies, s. 7 (4A); HK Securities Ordinance, s. 5]. [Act 4 of 2017 wef  Securities and Futures Ordinance Part XV - Disclosure of Interests The overriding objective of Part XV of the Securities and Futures Ordinance is to enable those investing in listed corporations to obtain relevant information on a timely basis so they can make informed investment decisions.

advising listed companies, directors and substantial shareholders on disclosure of interests obligations under Part XV of the Securities and Futures Ordinance 

8 Nov 2019 Christy's experience spans across a wide range of issues arising from the Securities and Futures Ordinance (SFO), the codes and guidelines  [1st January 2002: Parts I, VIII, IX, X and XV (except section 314), First and Second Schedules ; 1. This Act may be cited as the Securities and Futures Act. [SIA, s. 4; Companies, s. 7 (4A); HK Securities Ordinance, s. 5]. [Act 4 of 2017 wef  Securities and Futures Ordinance Part XV - Disclosure of Interests The overriding objective of Part XV of the Securities and Futures Ordinance is to enable those investing in listed corporations to obtain relevant information on a timely basis so they can make informed investment decisions.

the Securities and Futures Ordinance (Amendment of Schedule 10). Order 2002, at the disclosure requirements under Part XV of the Ordinance. It is partly  in the register required to be kept under Section 352 of Part XV of the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong) (the " SFO"). Section 114 of the Securities and Futures Ordinance (Cap.571) (the SFO), sits at paragraphs (i) to (xv) of the definition of “leveraged foreign exchange trading”. 15 Jun 2016 Part XV of the SFO sets out the requirements for the disclosure of pursuant to section 194 of the Securities and Futures Ordinance (SFO). 2.