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Financial Resources Rules | Securities & Futures Commission of Hong Kong. Cooperative arrangements with the CSRC and Mainland exchanges. Cooperative arrangements with other Mainland regulators. Investigatory assistance and exchange of information. Public enquiries: Further guidance and sources of information.
notify and cease business is an offence. On conviction on indictment to a fine of $1M and 2 years’ imprisonment + in case of a continuing offence, a further fine of $100,000 per day. On summary conviction to a fine at level 6 ($50k to $100k) and 6 months’ imprisonment + in case of a continuing offence, a further fine of $10,000 per day.
2022年2月24日 · Below are some of the scenarios: 1. Such client should be counted as an active client to whom the licensed corporation provides services of advising on securities and futures contracts. 2. Such client should be counted as an active securities client and an active futures and options client, respectively. 3.
RLC - Floor requirement. Type. Dealing in securities. Dealing in futures contracts. Leveraged foreign exchange trading. Requirement. $3M ($0.5M for approved introducing agent or trader) $3M ($0.5M for approved introducing agent, non-clearing dealer or trader) $15M ($3M for approved introducing agent) ATS $3M Securities margin financing $3M.
發表日期 刊物名稱 2023年4月6日 財政資源規則及財務申報表 2008年8月29日
2022年2月24日 · Note 2: A newly approved responsible officer who is also the OMO will be granted with the right to e-sign financial returns by default while other newly approved responsible officer (s) will not be granted with the right automatically. Note 3: Licensed corporation is reminded to maintain at least two individuals (responsible officer or approved ...
2023年4月6日 · Financial resources rules and financial return. Q1 : Can a licensed corporation treat the same securities traded in two trading counters i.e. Hong Kong dollar (HKD) counter and Renminbi (RMB) counter on The Stock Exchange of Hong Kong as securities of the same description under section 11 (4) (a) of the FRR? A: Yes.
2022年2月24日 · Financial resources rules and financial return. (Q5 and 12 were updated on 24 February 2022) (Q3, 6 and 7 were outdated and removed on 24 February 2022) Expand all. Q1 : If a licensed corporation is required to submit a monthly financial return, is the licensed corporation required to submit another set of semi-annual financial return for other ...
根據《證券及期貨條例》第146 (1)條，持牌法團如察覺本身無能力維持或無能力確定它是否已維持該規則所規定的財政資源數額，便須在切實可行的範圍內，盡快以書面將此事通知證監會，及立即停止進行受規管活動，但為完成證監會所准許的交易而進行的活動則 ...
2006年9月28日 · Financial resources rules and financial return. Q1 : If a cash client purchased a security on a cash-against- delivery basis and subsequently sold or withdrew it before he pays for the purchase, can the broker include in its liquid assets the amount receivable from the client arising from the purchase under section 21 (1) of the FRR? No. A ...
