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

   www.elegislation.gov.hk › hk › cap571N

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

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     Securities and Futures (Financial Resources) Rules ...

2. www.elegislation.gov.hk › hk › cap571N!enSecurities and Futures (Financial Resources) Rules - ...

   www.elegislation.gov.hk › hk › cap571N!en

   Securities and Futures (Financial Resources) Rules (Cap. 571 sub. leg. N) Contents Section Page Part 1 Preliminary 1. (Omitted as spent) 1-2 2. Interpretation 1-2 2A. Meaning of gross foreign currency position 1-64 2B. Meaning of haircut amount 1-66 2C.

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3. 其他人也問了

   What is a circular to all licensed corporations?

   • Circular to all licensed corporations on consultation conclusions and further consultation on proposed changes to the Securities and Futures (Financial Resources) Rules Circular to all Licensed Corporations in relation to the consultation paper on proposed changes to the Securities and Futures (Financial Resources) Rules

   Financial Resources Rules | Securities & Futures Commission of Hong …

   www.sfc.hk/en/Regulatory-functions/Intermediaries/Supervision/Search-regulations-by-topic/Financial-Resources-Rules

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   Are advisers required to comply with the rules?

   • Advisers will be required to comply with a paid-up share capital requirement (unless it is subject to the “specified licensing condition” namely, that it does not hold any client asset) and liquid capital requirement under the Rules.

   Financial resources rules and financial return | Securities & Futures Com…

   www.sfc.hk/en/faqs/intermediaries/supervision/Financial-resources-rules-and-financial-return/17-Mar-2003---Financial-resources-rules-and-financial-return

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   Are FRR requirements a burden to a licensed Corporation?

   • Given the one-size-fits-all approach, some FRR requirements may be unduly burdensome for licensed corporations in particular circumstances. ♦ Upon application, SFC may grant modification/waiver provided that it is satisfied that to do so will not prejudice the interest of the investing public.

   Financial Resources Rules - SFC

   www.sfc.hk/sfc/doc/EN/legislation/securities/others/sfo_training/introduction_260203.pdf

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   How much foreign currency should a licensed Corporation include in its ranking liabilities?

   • 51A. Foreign currency positions Subject to subsections (2) and (3), a licensed corporation must include in its ranking liabilities 5% of its net position in each foreign currency.

   Securities and Futures (Financial Resources) Rules - e-Legislation

   www.elegislation.gov.hk/hk/cap571N!en.pdf

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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 ...

   www.elegislation.gov.hk › hk › cap571N!en-zh-Hant-HK

   Securities and Futures (Financial Resources) Rules (Cap. 571 sub. leg. N) Contents Section Page Part 1 Preliminary 1. (Omitted as spent) 1-2 2. Interpretation 1-2 2A. Meaning of gross foreign currency position 1-64 2B. Meaning of haircut amount 1-66 2F.

5. www.sfc.hk › Financial-Resources-RulesFinancial Resources Rules | Securities & Futures ...

   www.sfc.hk › Financial-Resources-Rules

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   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.

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

   www.sfc.hk › en › faqs

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   Financial resources rules and financial return. (Q23, 25 and 28 were updated on 24 February 2022) (Q20 was outdated and removed on 24 February 2022) Expand all. Collapse all. A. General. Q1 : What is liquid capital? A: Liquid capital is one kind of the financial resources that a licensed corporation is required to maintain under the rules.

7. www.sfc.hk › sfc › docFinancial Resources Rules - SFC

   www.sfc.hk › sfc › doc

   Introduction. Yvonne Mok Associate Director of Intermediaries Supervision. Financial Resources Rules. ♦ Liquid capital requirement ♦ Paid up share capital requirement ♦ Transitional arrangements.

8. www.legco.gov.hk › yr98-99 › chineseFINANCIAL RESOURCES RULES

   www.legco.gov.hk › yr98-99 › chinese

   FINANCIAL RESOURCES RULES. 《財政資源規則) (由證券及期貨事務監察委員會於諮詢財政司司長後根據 《證券及期貨事務監察委員會條例》(第24章) 第28條訂立) 第I部. 導言. 生效日期. 本規則自證券及期貨事務監察委員會主席以憲報公告指定的日期起實施。 釋義. 在本規則中,除文意另有所指外 ─ “介紹經紀"(introducing broker)指令監察委員會信納為符合以下說明的交易商 ─ (a) 就其獲註冊進行的業務而言,除下列業務外,該交易商並無經營任何業務 ─ 收受其他人士為達成證券交易或期貨或期權合約買賣而作出的要約,並以該等人士的名義將該等要約傳達予聯合交易所的會員、附表5所指明的證券市場的會員或附表6所指明的期貨或期權市場的會員;或.