Materials relating to Securities and Futures Bill

Materials relating to Securities and Futures Bill

Securities and Futures Bill and background documents

Documents	Date
SFC Publication - The Securities and Futures Bill (PDF file)	December 2000
Legislative Council Brief - Regulatory Reform for the Securities and Futures Market - The Securities and Futures Bill (PDF file)	November 2000
Consultation Paper on the Securities and Futures Bill (PDF file)	April 2000
Securities and Futures Bill - White Bill (PDF file)	April 2000
Overview Guide to the Proposed Securities and Futures Bill (PDF File)	July 1999
Guide to Legislative Proposals and Objectives, Powers and Functions of the Securities and Futures Commission (PDF File)	July 1999
Guide to Legislative Proposals on Offers of Investments (PDF File)	July 1999
Consultation Paper on Review of Licensing Regime (PDF File)	June 1999
Guide to Legislative Proposals on Automated Trading Systems and Related Issues (PDF File)	July 1999
Guide to Legislative Proposals on Supervision and Investigation of Listed Companies and Intermediaries (PDF File)	July 1999
Guide to Legislative Proposals on the Disciplinary Powers of the Securities and Futures Commission (PDF File)	July 1999
Guide to Legislative Proposals on Powers of Intervention and Proceedings (PDF File)	July 1999
Guide to Legislative Proposals on Establishing a Securities and Futures Appeals Tribunal (PDF File)	July 1999
Guide to Legislative Proposals on Establishing a Market Misconduct Tribunal (PDF File)	July 1999

1996/97 Draft and Public Consultation Documents

Documents	Date
Main Proposed Revisions to a Draft for a Composite Securities and Futures Bill	6 January 1997
A Consultation Paper on a Draft for a Composite Securities and Futures Bill	April 1996
Draft for a Securities and Futures Bill (PDF file)	15 July 1996

Consultation Papers and Conclusions on Subsidiary Legislation under the Securities and Futures Bill

	Enabling provision in the Securities and Futures Ordinance	Subsidiary Legislation	Consultation Paper/ Commencement of Consultation/Close of Consultation	Consultation Conclusion Paper	LegCo Brief on Subsidiary Legislation	Gazetted Version
		Part III
1.	Section 25(1)	(Transfer of Functions - Stock Exchange Company) Order	Begins: 06.05.02 Ends: 07.06.02	24.07.02		13.12.02
2.	Section 35(1)	(Contracts Limits and Reportable Positions) Rules	Begins: 28.03.02 Ends: 16.04.02 Begins: 17.09.03 Ends: 15.10.03	19.04.02		13.12.02 05.03.04 (Contracts Limits and Reportable Positions) (Amendment) Rules 2004
2.		Guidance Note on Position Limits and Large Open Position Reporting Requirements	Begins: 24.01.03 Ends: 25.02.03 Begins: 17.09.03 Ends: 15.10.03			02.03.04 Proposed amendments to the Guidance Note on Position Limits and Large Open Position Reporting Requirements
3.	Section 36(1)	(Stock Market Listing) Rules	Begins: 06.05.02 Ends: 07.06.02 Begins: 07.01.05 Ends: 31.03.05	24.07.02		13.12.02
4.	Section 80(1)	(Transfer of Functions - Investor Compensation Company) Order	Begins: 28.03.02 Ends: 25.04.02	05.06.02		13.12.02
		Part V
5.	Section 116(5)	(Insurance) Rules	Begins:26.06.02 Ends: 25.07.02	13.09.02		17.01.03
6.	Section 118(2)	(LFET (Arbitration)) Rules	Begins:28.03.02 Ends: 16.04.02	19.04.02		29.11.02
7.	Sections 128(3), 135(3), 136(2) & 397	Licensing and Registration) (Information) Rules formerly named (Intermediary Information) Rules formerly named (Licensed Persons and Registered Institutions) Rules	Begins: 19.07.02 Ends: 08.08.02 Begins: 16.11.01 Ends: 17.12.01	13.09.02 18.04.02	(Annex)	13.12.02
		Part VI
8.	Section 145(1)	(Financial Resources) Rules	Begins:14.06.02 Ends: 12.07.02	11.10.02		13.12.02
9.	Section 148(1)	(Client Securities) Rules	Begins: 12.04.01 Ends: 24.05.01	11.07.02		06.12.02
10.	Section 149(1)	(Client Money) Rules	Begins: 12.04.01 Ends: 24.05.01	11.07.02		06.12.02
11.	Section 151(1)	(Keeping of Records) Rules	Begins: 15.02.02 Ends: 15.03.02	11.07.02		13.12.02
12.	Section 152(1)	(Contract Notes, Statements of Account and Receipts) Rules formerly named (Contract Notes, Receipts and Statements of Account) Rules	Begins: 28.09.01 Ends: 09.11.01	06.06.02		13.12.02
13.	Sections 156(1) & 397(1)	(Accounts and Audit) Rules	Begins: 21.12.01 Ends: 31.01.02	11.07.02		13.12.02
14.	Sections 165(1) & 397(1)	(Associated Entities - Notice) Rules formerly named (Associated Entities) Rules	Begins: 22.03.02 Ends: 19.04.02	30.05.02		06.12.02
		Part VII
15.	Sections 170(3)(e) & 397(1)	(Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules formerly named (Short Selling Exemption and Stock Lending) Rules	Begins: 24.05.02 Ends: 21.06.02	11.07.02		13.12.02
16.	Sections 174(3)(d) & 397(1)	(Unsolicited Calls - Exclusion) Rules	Begins: 19.10.01 Ends: 19.11.01	15.03.02		29.11.02
		Part IX
17.	Sections 194(5) & 397(1)	(Registration of Commission Disciplinary Orders) Rules formerly named (Registration of Disciplinary Orders) Rules	Begins: 27.03.02 Ends: 24.04.02	05.06.02		29.11.02
		Part XI
18.	Section 233(d)	(Securities and Futures Appeals Tribunal) Rules
19.	Sections 226 & 233(b)	(Registration of Appeals Tribunal Orders) Rules formerly named (Appeals Tribunal - Registration of Orders) Rules	See the consultation paper on the (Registration of Commission Disciplinary Orders) Rules *Item 17	See the consultation conclusion paper on the (Registration of Commission Disciplinary Orders) Rules *Item 17		06.12.02
20.	Section 234	(Amendment of Schedule 8) Order 2002 formerly named (Amendment of Schedule 8) Order	Begins: 05.08.02 Ends: 26.08.02	12.09.02		13.12.02
		Part XII
21.	Section 244(1)	(Investor Compensation - Levy) Rules formerly named (Investor Compensation) Rules	Begins: 28.03.02 Ends: 25.04.02	05.06.02		13.12.02
22.	Section 244(1)	(Investor Compensation - Compensation Limits) Rules	Begins: 28.03.02 Ends: 25.04.02	05.06.02		13.12.02
23.	Section 244(2)	(Investor Compensation - Claims) Rules formerly named (Investor Compensation - Miscellaneous) Rules	Begins: 28.03.02 Ends: 25.04.02	05.06.02		13.12.02
		Part XIII
24.	Sections 264 & 269(b)	(Registration of Market Misconduct Tribunal Orders) Rules formerly named (Market Misconduct Tribunal - Registration of Orders) Rules	See the consultation paper on the (Registration of Commission Disciplinary Orders) Rules *Item 17	See the consultation conclusion paper on the (Registration of Commission Disciplinary Orders) Rules *Item 17		06.12.02
25.	Sections 282(1) & 306(1)	(Price Stabilizing) Rules formerly named Market Misconduct (Exemption for Stabilization Activities) Rules	Begins: 08.02.02 Ends: 08.03.02	09.07.02		13.12.02 12.12.03 (Price Stabilizing) (Amendment) Rules
		Part XV
26.	Section 376(1)(b)	(Disclosure of Interests - Exclusions) Regulations	Begins: 16.05.02 Ends: 08.06.02	12.07.02		13.12.02
27.	Section 377	(Disclosure of Interests - Securities Borrowing and Lending) Rules	Begins: 19.12.01 Ends: 26.01.02	12.07.02		13.12.02
		Notice of Recognition of Places
		List of approved lending agents
		Part XVI
28.	Section 393	(Collective Investment Schemes) Notice formerly named (Gold Purchase) Notice	Begins: 25.03.02 Ends: 22.04.02	03.06.02		06.12.02
29.	Section 394(1)	(Levy) Order	Begins: 03.04.02 Engs: 30.04.02	05.06.02		13.12.02
30.	Section 394(5)	(Levy) Rules	Begins: 03.04.02 Ends: 30.04.02	05.06.02		13.12.02
31.	Section 395	(Fees) Rules	Begins: 30.07.02 Ends: 24.08.02	16.09.02		13.12.02
31.		Proposed Licensing Fees under the Securities and Futures (Fees) Rules	Begins: 08.03.02 Ends: 08.04.02	30.07.02	N/A	N/A
32.	Sections 397(1)	(Miscellaneous) Rules	Begins: 02.07.02 Ends: 26.07.02	12.09.02		13.12.02
33.	Section 397(1)	(LFET - Exemption) Rules	Begins: 05.06.02 Ends: 26.06.02	11.07.02		29.11.02
34.	Section 397(1)	(Professional Investor) Rules	Begins: 01.02.02 Ends: 28.02.02	04.06.02		29.11.02
35.	Section 397(1)	(Recognized Counterparty) Rules	Begins: 30.11.01 Ends: 29.12.01	23.04.02		29.11.02
36.	Section 397(1)	(Exempted Instruments - Information) Rules formerly named (Information) Rules	Begins: 19.03.02 Ends: 16.04.02	19.04.02		29.11.02
37.	Section 398(6)	(Offences and Penalties) Regulations	Begins: 26.07.02 Ends: 16.08.02	13.09.02		13.12.02
		Part XVII
38.	Section 409	(Amendment of Schedule 10) Order 2002	N/A	N/A		13.12.02
	Others
39.		Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2002	N/A	N/A		06.12.02
40.		SFO (Cap.571) (Commencement) Notice	N/A	N/A		17.01.03
41.		SFO (Cap.571) (Appointment of Day - Repeal of Ordinances) Notice	N/A	N/A		17.01.03
42.		SFO (Cap.571) (Appointment of Day - Unified Exchange Compensation Fund) Notice	N/A	N/A		17.01.03
43.		SFO (Cap.571) (Appointment of Day - Futures Exchange Compensation Fund) Notice	N/A	N/A		17.01.03