Browse 3,144 source-backed statutes, open stored provisions, and verify official source links.
3,144 statutes · page 135 of 158
Hong Kong SAR China
1 provisions
This provision excludes certain unsolicited calls and securities agreements from the application of section 174, including some calls by registered institutions that meet Monetary Authority guideline requirements.
Hong Kong SAR China
1 provisions
These Rules set out how levies are paid, remitted, reported, kept in accounts, inspected, and refunded.
Hong Kong SAR China
1 provisions
This provision sets levy rates for securities and futures transactions, requires the Exchange Company to collect and remit levies, and gives the Commission exemption and refund powers.
Hong Kong SAR China
1 provisions
This rule caps investor compensation claims at HK$150,000 or HK$500,000, depending on the default date and the type of securities or futures involved.
Hong Kong SAR China
1 provisions
The Order transfers specified Commission functions to the Investor Compensation Company, but keeps the Commission performing them concurrently and adds limits for some listed items.
Hong Kong SAR China
1 provisions
This Order excludes certain collective investment scheme prospectuses from its application, transfers specified Commission functions to the Stock Exchange Company for certain listed-share or debenture prospectuses, and lets the Stock Exchange Company keep fees related to those transferred functions.
Hong Kong SAR China
1 provisions
This instrument sets fees payable to the Commission for specified Securities and Futures applications, drafts, hearings, reviews, and related matters, with some fees due on submission and some annual fees due on anniversary dates.
Hong Kong SAR China
1 provisions
This provision defines key terms and sets out interests and short positions that are disregarded for certain disclosure rules, including an exemption from a notification requirement in one sale-and-delivery scenario.
Hong Kong SAR China
1 provisions
A person who, without reasonable excuse, breaches a listed provision commits an offence and faces the penalty set out in the Schedule.
Hong Kong SAR China
1 provisions
Specified licensed corporations must keep required insurance for regulated activities, and the Commission may approve master policies if insurer credit-rating requirements are met.
Hong Kong SAR China
1 provisions
These Rules require people with reportable short positions in specified shares to notify the Commission, usually within 2 business days, or within 1 business day if a daily reporting requirement notice is in force.
Hong Kong SAR China
1 provisions
This notice has been repealed, and its numbered provisions are marked spent or repealed.
Hong Kong SAR China
2 provisions
This part sets reporting and record-keeping rules for prescribed persons dealing in specified OTC derivative transactions, including electronic submission to the Monetary Authority and retention of records.
Hong Kong SAR China
1 provisions
This notice says the markets and clearing houses listed in the Schedule are prescribed for the stated statutory purpose, even if their names later change.
Hong Kong SAR China
1 provisions
This rules document sets clearing and record-keeping requirements for prescribed persons trading specified OTC derivative transactions, and gives the Commission powers to designate financial services providers, jurisdictions, and central counterparties.
Hong Kong SAR China
1 provisions
Prescribed persons must pay the specified fee to the Monetary Authority for using the electronic reporting system.
Hong Kong SAR China
1 provisions
The Notice says the scheduled structured product is not treated as an OTC derivative product, and it defines the relevant underlying subject matter for three structured-product cases.
Hong Kong SAR China
5 provisions
These Rules set filing, approval, naming, disclosure, and register requirements for open-ended fund companies.
Hong Kong SAR China
1 provisions
This regulation sets fees payable to the Securities and Futures Commission and the Registrar for OFC-related applications, document access, and registration services, and allows the Commission to waive some fees in individual cases.
Hong Kong SAR China
1 provisions
These Rules have not yet come into operation.