Saturday 10 March 2018 photo 32/45
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30 Jun 2016 Codes & Guidelines. 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
8 Jun 2003 Revised 6-8-2003. 3. OUTLINE OF PART XV. OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) -. DISCLOSURE OF INTERESTS. 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 Securities and Futures Ordinance (Cap.
9 Feb 2018 Securities and Futures (Disclosure of Interests – Securities Borrowing and Lending) Rules as an approved lending agent must be made in writing to the SFC. The application should include all relevant facts and information having regard to the relevant guidelines published by the SFC from time to time.
codes & guidelines Advanced search On 5 May 2017, the SFC published new prescribed forms for disclosure of interests notifications. from 3 July 2017" below) and submit them through a new Disclosure of Interests Online System (DION System) to be introduced by Hong Kong Exchanges and Clearing Limited (HKEX).
Paragraphs 45 of Part A, 38 of Part B and 49 of Part C of Appendix 1 and paragraph 13 of Appendix 16 of the Exchange Listing Rules require issuers to disclose, in certain listing documents and annual and interim reports, details of substantial shareholders' and certain other persons' interests and short positions in the
23 Jan 2015 Hong Kong's disclosure of interests regime is set out in Part XV of the Securities and Futures Ordinance (Cap. 571).
Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests), 5 Sep 2014, Two versions
SFC has published an Outline of Part XV which gives extensive guidance on the situations in which a Disclosure of Interests notice will have to be filed, and related matters. Please refer to the SFC's website at www.sfc.hk/web/EN/rule-book/sfo-part-xv-disclosure-of-interests/ (Under Rules and standards/Securities and
29 Nov 2012 In June 2012, we published the Guidelines on Disclosure of Inside Information to assist listed corporations to comply with their obligations to disclose inside information under Part XIVA of the SFO. These Guidelines provide examples and discuss issues on particular situations in relation to the application
9 Jan 2018 Disclosure of Interests - Forms Version 2.0. Forms for the purposes of notifying interests or changes in interests under Part VII of the SFA. (Version 2.0 - valid from 21 Mar 2014)
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