Hong Kong SAR China
Cap. 571 sub. leg. AT
1 provisions
These Rules have not yet come into operation.
Act or statute Open & Chat
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Hong Kong SAR China
Cap. 571 sub. leg. B
1 provisions
These Rules define key terms and list which institutions are recognized counterparties for certain futures trading purposes.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. C
1 provisions
The Commission must give the Registrar of the High Court a written notice, with the order and a copy, when applying to register a Commission disciplinary order.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. D
1 provisions
This provision defines key terms and sets asset thresholds for who counts as a professional investor.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. E
1 provisions
These Rules define “listed currency warrant” and set out which persons are prescribed for the leveraged foreign exchange trading definition, including corporations that meet certain conditions and reporting duties.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. F
1 provisions
These Rules set out how disputes between a licensed corporation and a client are taken to arbitration, managed, and ավարտed.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. G
1 provisions
These Rules require information about certain certificates of deposit or similar instruments in an advertisement, invitation, or document to be submitted to the Commission, or else a statement that the Schedule information does not apply.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. H
1 provisions
This document sets rules for intermediaries and associated entities on how client securities, securities collateral, and scheme securities must be held, when they may be dealt with, when notices must be given, and what penalties apply for breaches.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. I
1 provisions
Licensed corporations and their associated entities must keep client money in segregated accounts and follow strict payment rules, deadlines, and notice requirements.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. J
1 provisions
Certain associated entities must notify the Commission with specified particulars when they become or stop being associated entities, with some reduced disclosure for authorized financial institutions.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. K
1 provisions
The Tribunal must send the Registrar of the High Court a written notice asking for an order to be registered, together with the order and a copy.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. L
1 provisions
The Tribunal must send the Registrar of the High Court a written notice asking for registration of an order, together with the order and a copy of it, when giving notice under section 264(1).
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. M
1 provisions
Certain gold coin or gold bullion purchase arrangements in the Schedule are treated as collective investment schemes for the Ordinance’s purposes, subject to the stated exception.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. N
5 provisions
The rules define how a licensed corporation calculates gross foreign currency position and variable required liquid capital, and require inclusion of specified amounts for certain outstanding contracts.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. O
1 provisions
Intermediaries and certain associated entities must keep specified records, retain them for set periods, keep them in usable form, and report non-compliance to the Commission.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. P
1 provisions
Licensed corporations and associated entities must prepare specified annual financial statements and documents, and auditors’ reports must include the prescribed statements; they may also split the auditor’s report into two reports.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. Q
1 provisions
Intermediaries must prepare and give clients contract notes, statements of account, or receipts in the required form and on time, and keep copies for the required periods.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. R
1 provisions
These Rules define key short-selling and securities borrowing terms, identify some sales that are treated as jobbing business, and require certain oral assurances and records to be kept and produced to the Commission.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. S
1 provisions
The Rules require applicants and certain licensed/registered persons to submit specified information in Commission applications, report changes in that information, and include required details in annual returns and registers.
Act or statute Open & ChatHong Kong SAR China
Cap. 571 sub. leg. T
1 provisions
These Rules set out how qualifying clients may claim compensation from the compensation fund, how the Commission handles claims, and when claims are barred or time-limited.
Act or statute Open & Chat