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  1. www.sfc.hk › en › Regulatory-functionsFinancial Resources Rules - SFC

    Financial Resources Rules. Search regulations by topic. This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please click on the frequently searched terms or enter keywords for an advanced search.

    • 财政资源规则

      财政资源规则 - Financial Resources Rules - SFC

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      Under section 146(1) of the SFO, a licensed corporation ...

  2. www.sfc.hk › en › faqsFinancial resources rules and financial return - SFC

    Under section 146(1) of the SFO, a licensed corporation which becomes aware of its inability to maintain or to ascertain whether it maintains, the amount of financial resources required of it under the Rules shall notify the SFC in writing as soon as practicable

  3. www.elegislation.gov.hk › hk › cap571NCap. 571N Securities and Futures (Financial Resources) Rules ...

    Matched Keywords. Cross Reference (s) Source Note (s) Tick the provision (s) to be printed from TOC: Download. Version Date : 01/04/2019. Nil.

  4. www.elegislation.gov.hk › hk › cap571N!en-zh-Hant-HK《證券及期貨(財政資源)規則》 Securities and Futures ...

    8E5/ Provision g©5 Page number 6¨/46 5X5 6Ç Last updated date eìX 3 Schedule 3 S3-1 S3-10 1.4.2019 eìX 4 Schedule 4 S4-1 S4-4 13.12.2018 eìX 5 Schedule 5 S5-1 S5-2 13.12.2018 +Â6Ò+ 5eF,8E5/ 0 Yª +Â6Ò+ 5eF,8E5/#r YªF,\o5Ap»# 5dìf

  5. apps.sfc.hk › edistributionWeb › apiCircular to licensed corporations - Financial resources ...

    2024年7月3日 · The FRR regime and the submission of FRR returns to the SFC provide significant statutory safeguards for investors, and enable the SFC to monitor the risks and liquidity level of LCs. Under section 56(6) of the FRR, the FRR returns of an LC must be signed by its RO or officer approved by the SFC (each a Signer ).

  6. www.sfc.hk › TC › Rules-and-standards指引 | 證監會 - SFC

    輸入關鍵字. 按主題 全部. 指引. 最新的版本. 過去的版本. 適用於根據產品守則獲認可的集體投資計劃的廣告宣傳指引. 2013年4月. 一個版本. 客戶身分規則的政策.

  7. sc.sfc.hk › TuniS › www财政资源规则及财务申报表 | 证监会 - SFC簡

    A. 总论. 问1 : 何谓速动资金？. 答: 速动资金是持牌法团根据该规则需维持的其中一种财政资源，为持牌法团的速动资产超出认可负债之数。. 问2 : 何谓规定速动资金？. 答: 规定速动资金是持牌法团必须备有的，以便遵守该规则所指的财政资源规定的最低速动 ...