搜尋結果
2024年10月2日 · Note: Code on Unit Trusts and Mutual Funds and Code on Investment-Linked Assurance Schemes became parts of the Handbook since its launch on 25 June 2010, and their previous versions are set out below under Section II and III, respectively.
2023年10月4日 · 《證券及期貨條例》（第169條）賦權證監會發表操守守則，就中介人及其代表須遵守的常規和標準提供指引。 業內人士如違反操守守則，可能會遭受紀律處分。 《證券及期貨條例》（第399條）亦賦予證監會一般權力，可就以下事宜發出守則及指引： 為達致本會的監管目標提供指引； 關乎本會職能的任何事宜；及. 關乎《證券及期貨條例》任何條文的施行。 不過，這些守則及指引並非附屬法例，違反有關規則不會招致任何司法或其他法律訴訟。 守則及指引旨在協助中介人遵守適用的監管規定，例如有關適當人選資格的規定，從而繼續獲得發牌或註冊。 本會曾經發出多份涵蓋各監管範疇的守則和指引，本欄載有現行版本及較早的版本（如有）以供查閱，並設有多元搜尋、索引及對照檢索等搜尋功能。 請按以下連結查閱守則或指引： › 守則. › 指引.
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2018年6月15日 · About the SFC Regulatory functions Rules and standards Published resources News and announcements Career Search Eng 繁 簡 About the SFC Our role Regulatory objectives Who we regulate How we function Regulatory approach Regulatory tools Board of ...
2023年10月4日 · The SFC issues codes and guidelines to help industry participants comply with the laws. Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives ...
2024年9月30日 · 問1 : 從事第 13 類受規管活動的中介人應如何就為相關集體投資計劃提供存管服務，應用《操守準則》的規定？ 誰應被視為從事第13類受規管活動的中介人的“客戶”？ 答: 《操守準則》就有關中介人在進行其獲發牌或註冊進行的受規管活動時通常須遵守的作業方式及標準，提供以原則為本的指引。
2024年7月3日 · Under General Principle 3 of the Code of Conduct, an LC is required to have and effectively employ the resources and procedures which are needed for the proper performance of its business activities. This includes the need for sufficient liquid capital that enables the LC to operate in the normal course of business as a going concern.
On 8 February 2021, the Securities and Futures Commission (SFC) launched a three-month public consultation on proposed conduct requirements for equity capital market (ECM) and debt capital market (DCM) transactions in Hong Kong (Consultation Paper).
2018年6月15日 · Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (“Code of Conduct”) This FAQ aims to provide guidance on application of paragraphs 8.3 (b) (ii), 8.3A (a) (iii) and 8.3A (b) of the Code.
The Commission will be guided by this Code of Conduct (“the “Code”) in considering whether a licensed or registered person satisfies the requirement that it is fit and proper to remain licensed or registered, and in that context, will have regard to the general principles, as well as the letter, of the Code.
