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In respect of offers of unlisted shares or debentures (bonds, notes, etc.) made on or after 1 July 2004, where the offering document has been authorised by the SFC for registration as a prospectus under the Companies Ordinance, under "Unlisted Shares/Debentures" below, you can:
(1) view a copy of the prospectus;
(2) check whether exemptions from compliance with relevant provisions of the Companies Ordinance have been granted by the SFC; and
(3) view a copy of any leaflet or factsheet which has been authorised for issue by the SFC as an advertisement under section 105 of the Securities and Futures Ordinance and/or section 38B(2A)(b) of the Companies Ordinance,
by reference to the name of the issuer and/or the date of the prospectus.
In respect of offers of shares or debentures (bonds, notes, etc) listed or proposed to be listed on SEHK, made on or after 1 July 2004, where exemptions from compliance with relevant provisions of the Companies Ordinance have been granted by the SFC, you can check under "Listed Shares/Debentures" below what exemptions have been granted by the SFC, by reference to the name of the issuer and/or the date of the prospectus.
Important Notice : The webpages at the hyperlinks above relate only to offers of shares or debentures requiring an SFC exemption prior to the registration of a prospectus under the Companies Ordinance. Prospectuses in respect of shares or debentures listed or proposed to be listed are authorised for registration by SEHK, but the power to grant exemptions rests with the SFC. Some securities traded over-the-counter (OTC) in the secondary market may have been issued or sold on a private placement basis or to professional investors, and as such may not have required a prospectus to be registered under the Companies Ordinance.
Particulars of offers of investment products authorised by the SFC under the Securities and Futures Ordinance can be found in the "List of Authorised Investment Products" under the icon "Intermediaries, Licensing & Investment Products" above and via the hyperlink below:
If you have any question or comment concerning information on any of the webpages at the hyperlinks above, please contact the SFC at enquiry@sfc.hk.
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