• 苹果高管驳斥iPhone计划报废说 iOS 12就是证据 2019-05-07
  • 热门楼盘趁势而入迎热销 红六月正式上线 ——凤凰网房产天津 2019-04-29
  • 国家税务总局:国地税改革进入具体实施操作阶段 2019-04-28
  • 习近平关于生态环境保护的十个精妙论述 2019-04-28
  • 生态环境部严厉打击转移倾倒固体废物及危险废物 2019-04-27
  • 马克思的每个人全面而自由发展,是人的最高需求层次理论。 2019-04-22
  • 空调还装墙壁上?聪明人都是往这里装,好看又省地 ——凤凰网房产 2019-04-22
  • 这下就真的更加坐实你的老蚕了,所有网友都是见证!想赖都赖不掉了。 2019-04-20
  • 空姐,到底要不要漂亮?-光明时评 2019-04-18
  • 沃尔沃全新S60高性能版官图曝光 2019-04-18
  • [视频]《乡村振兴战略大家谈》第六集4分钟精编版 2019-04-12
  • 赵哲春季写真大公开 百变风格切换自如 2019-04-07
  • “无中生有”也能助力文旅 2019-04-07
  • 坚守一条红线 维护生态安全(在习近平新时代中国特色社会主义思想指引下——新时代新作为新篇章) 2019-04-07
  • 中国石油呼和浩特石化公司获第十二届人民企业社会责任奖年度环保奖 2019-04-07
  • Select Page

    Finance and securities

    Hong Kong, as a world financial centre, plays an indispensable role in the global financial market. Activities in relation to finance and securities have formed a crucial part of Hong Kong’s economy. It is also a centre for fund raising where global transactions involving companies from different sectors and financial intermediaries take place.

    Our legal service in relation to financial services law is an important aspect in our practice. We have a long history of advising global and local issuers, underwriters, investment banks, financial intermediaries and funds on financial services regulations and securities transactions. Over the years, we work on a regular basis with the key regulators and have built good relationship with them and are in the best position to advise our client on the local practice and custom in the relevant industries.

    In view of the fast changing and dynamic financial market, we always keep ourselves updated on the latest development on the international and local regulatory changes. We review consultation papers issued by the regulators and often act for a number of market practitioners in making submissions to the regulators in response to the proposed changes.

    We have an in-depth understanding on financial transactions relating to regulatory, licensing, investment products, compliance, disclosure and MPF/retirement schemes.   We work with investment managers, in-house counsel, and financial advisers on formulating transactions under the legal and regulatory framework and provide them with the most up-to-date information on general compliance, proposed changes in laws and regulations and regulatory trends.

    Please click here for further details on our services in relation to financial services law for financial institutions and securities companies and here in relation to our practice in relation to funds.

    Please click here if you wish to know more about our practice in relation to advice on regulatory and securities matters, and here for a full list of our knowhow and information on Securities and Futures Commission regulatory matters.

     

    Codes and Guidelines published by the Securities and Futures Commission 

    The Securities and Futures Commission (the “SFC”) was established in 1989 as an independent statutory regulator of the securities and futures market in Hong Kong with a view to promoting fair, orderly and transparent securities and futures market operations, enhancing protection of investors and promoting Hong Kong as an international financial centre.  The powers of the Securities and Futures Commission are derived from the Securities and Futures Ordinance (the “SFO”) and its subsidiary legislation.

    The Securities and Futures Commission has a general power under section 399 of the SFO to issue codes and guidelines. Although the codes and guidelines issued by the Securities and Futures Commission are not subsidiary legislation of the SFO and the breach of such codes and guidelines does not by itself render a person liable to any judicial or other proceedings, the intermediaries and their representatives who are in breach of such codes and guidelines may face disciplinary actions.

    Codes issued by the Securities and Futures Commission include:

    • Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
    • Code of Conduct for Persons Providing Credit Rating Services
    • Code of Conduct for Share Registrars
    • Code on Immigration-Linked Investment Schemes
    • Code on Investment-Linked Assurance Schemes
    • Code on Pooled Retirement Funds
    • Code on Real Estate Investment Trusts
    • Codes on Takeovers and Mergers and Share Buy-backs
    • Corporate Finance Adviser Code of Conduct
    • Code on Unit Trusts and Mutual Funds
    • Fund Manager Code of Conduct
    • SFC Code on MPF Products
    • SFC Handbook for Unit Trusts and Mutual Funds, Investment-Linked Assurance Schemes and Unlisted Structured Investment Products.

    Guidelines issued by the Securities and Futures Commission include, inter alia:

    • Advertising Guidelines Applicable to Collective Investment Schemes Authorised under the Product Codes
    • Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission
    • Debt Collection Guidelines for Licensed Corporations
    • Fit and Proper Guidelines
    • Guideline on Anti-Money Laundering and Counter-Terrorist Financing
    • Guidelines for the Approval of Corporations as Approved Lending Agents
    • Guidelines for the Exemption of Listed Companies and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests).

    75期特码生肖资料图片:Finance and securities

    Financial services law

    Securities and Futures Commission

    Hong Kong financial services law

    Hong Kong Securities and Futures Commission SFC

    Securities and Futures Commission SFC codes

    Hong Kong finance and securities legal advice

    Securities and Futures Ordinance SFO

    Fund raising for global transactions

    Hong Kong regulatory changes

    Financial transactions regulations

    Hong Kong regulatory and securities matters
    Section 399 of SFO
    SFC guidelines
    Hong Kong financial services authority
    Global security finance

    Privacy Preference Center

    Strictly Necessary

    Cookies that are necessary for the site to function properly.

    gdpr, PHPSESSID

    Performance

    These are used to track user interaction and detect potential problems. These help us improve our services by providing analytical data on how users use this site.

    _ga, _gat, _gid, _atuvc, _atuvs

  • 苹果高管驳斥iPhone计划报废说 iOS 12就是证据 2019-05-07
  • 热门楼盘趁势而入迎热销 红六月正式上线 ——凤凰网房产天津 2019-04-29
  • 国家税务总局:国地税改革进入具体实施操作阶段 2019-04-28
  • 习近平关于生态环境保护的十个精妙论述 2019-04-28
  • 生态环境部严厉打击转移倾倒固体废物及危险废物 2019-04-27
  • 马克思的每个人全面而自由发展,是人的最高需求层次理论。 2019-04-22
  • 空调还装墙壁上?聪明人都是往这里装,好看又省地 ——凤凰网房产 2019-04-22
  • 这下就真的更加坐实你的老蚕了,所有网友都是见证!想赖都赖不掉了。 2019-04-20
  • 空姐,到底要不要漂亮?-光明时评 2019-04-18
  • 沃尔沃全新S60高性能版官图曝光 2019-04-18
  • [视频]《乡村振兴战略大家谈》第六集4分钟精编版 2019-04-12
  • 赵哲春季写真大公开 百变风格切换自如 2019-04-07
  • “无中生有”也能助力文旅 2019-04-07
  • 坚守一条红线 维护生态安全(在习近平新时代中国特色社会主义思想指引下——新时代新作为新篇章) 2019-04-07
  • 中国石油呼和浩特石化公司获第十二届人民企业社会责任奖年度环保奖 2019-04-07