Securities & Futures Commission of Hong Kong

Securities and finance related legislation, codes and guidelines

Administrative Appeals Rules
《行政上訴規則》

Advertising Guidelines [found in the Code on Unit Trusts and Mutual Funds, the Code on Pooled Retirement Funds and the Code on Investment-Linked Assurance Schemes, SFC]
《廣告宣傳指引》 [載於證監會《單位信託及互惠基金守則》、《集資退休基金守則》及《與投資有關的人壽保險計劃守則》]

Appropriation Ordinance
《撥款條例》

Balance of Payments Manual [IMF]
《國際收支手冊》 [國際貨幣基金組織]

Banking Ordinance
《銀行業條例》

Bankruptcy Ordinance
《破產條例》

Basel Capital Accord [Basel Committee]
《巴塞爾資本協定》 [巴塞爾委員會]

Bills of Exchange Ordinance
《匯票條例》

CCASS Operational Procedures [HKEx]
《中央結算系統運作程序規則》 [香港交易所]

CCASS Terminal User Guide for Designated Banks [HKEx]
《指定銀行適用的中央結算系統終端機使用者指引》 [香港交易所]

CCASS Terminal User Guide for Participants [HKEx]
《參與者適用的中央結算系統終端機使用者指引》 [香港交易所]

Chit-Fund Businesses (Prohibition) Ordinance
《銀會經營 (禁止) 條例》

CIS Internet Guidance Note (Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet) [SFC]
《集體投資計劃互聯網指引》 (適用於在互聯網上宣傳或銷售集體投資計劃的人士的指引) [證監會]

City Code on Takeovers and Mergers (City Code; London Takeovers Code; London Code)
倫敦《收購及合併守則》 (倫敦《收購守則》)

Clayton Act [US]
《克萊頓法》 [美國]

Clearing and Settlement Systems Ordinance
《結算及交收系統條例》

Clearing Rules and Procedures [HKCC]
《期貨結算規則及程序》 [期貨結算公司]

Client Identity Rule Policy [SFC]
《客戶身分規則的政策》 [證監會]

Code of Banking Practice [HKAB & DTCA]
《銀行營運守則》 [香港銀行公會及存款公司公會]

Code of Conduct [HKMA]
《行為守則》 [金管局]

Code of Conduct for Corporate Finance Advisers [SFC]
《企業融資顧問操守準則》 [證監會]

Code of Conduct for MPF Intermediaries [MPFA]
《強積金中介人操守守則》 [積金局]

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
《證券及期貨事務監察委員會持牌人或註冊人操守準則》

Code of Conduct for Share Registrars [SFC]
《股份登記機構操守準則》 [證監會]

Code on Corporate Governance Practices [SEHK]
《企業管治常規守則》 [聯交所]

Code on Disclosure for MPF Investment Funds [MPFA]
《強積金投資基金披露守則》 [積金局]

Code on Immigration-Linked Investment Schemes [SFC]
《與移民有關的投資計劃守則》 [證監會]

Code on Investment-Linked Assurance Schemes [SFC]
《與投資有關的人壽保險計劃守則》 [證監會]

Code on MPF Investment Funds [MPFA]
《強積金投資基金守則》 [積金局]

Code on Pooled Retirement Funds [SFC]
《集資退休基金守則》 [證監會]

Code on Real Estate Investment Trusts (REITs Code) [SFC]
《房地產投資信託基金守則》 (《房地產基金守則》) [證監會]

Code on Share Repurchases (Share Repurchase Code) [SFC]
《公司股份購回守則》 (《股份購回守則》) [證監會]

Code on Takeovers and Mergers (Takeovers Code) [SFC]
《公司收購及合併守則》 (《收購及合併守則》;《收購守則》) [證監會]

Code on Unit Trusts and Mutual Funds [SFC]
《單位信託及互惠基金守則》 [證監會]

Codes on Takeovers and Mergers and Share Repurchases [SFC]
《公司收購、合併及股份購回守則》 [證監會]

Commercial Banking Law of the People's Republic of China
《中華人民共和國商業銀行法》

Commodity Exchanges (Prohibition) Ordinance
《商品交易所 (禁止經營) 條例》

Companies Act [New Zealand/Singapore/UK]
《公司法》 [新西蘭/新加坡/英國]

Companies (Disqualification Orders) Regulation
《公司 (取消資格令) 規例》

Companies Ordinance
《公司條例》

Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) Notice
《公司條例 (豁免公司及招股章程遵從條文) 公告》

Companies (Reports on Conduct of Directors) Regulation
《公司 (董事行為操守報告) 規例》

Companies (Summary Financial Reports of Listed Companies) Regulation
《公司 (上市公司的財務摘要報告) 規例》

Companies (Winding-up) Rules
《公司 (清盤) 規則》

Company Law of the People's Republic of China
《中華人民共和國公司法》

Compulsory Stock Borrowing and Lending Regulations [HKEx]
《強制證券借貸規例》 [香港交易所]

Contract Law of the People's Republic of China
《中華人民共和國合同法》

Control of Exemption Clauses Ordinance
《管制免責條款條例》

Conveyancing and Property Ordinance
《物業轉易及財產條例》

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
《適用於證券及期貨事務監察委員會持牌人或註冊人的衍生工具場外交易活動的核心運作和財務風險管理機制》

Core Principles for Effective Banking Supervision [Basel Committee]
《有效監管銀行業的主要原則》 [巴塞爾委員會]

Corporations Act [Australia]
《法團法》 [澳洲]

Credit Unions Ordinance
《儲蓄互助社條例》

Crimes Ordinance
《刑事罪行條例》

Criminal Procedure Ordinance
《刑事訴訟程序條例》

Debt Collection Guidelines for Licensed Corporations [SFC]
《持牌法團的追討債務指引》 [證監會]

Deposit Protection Scheme Ordinance
《存款保障計劃條例》

Disciplinary Fining Guidelines [SFC]
《紀律處分罰款指引》 [證監會]

Disciplinary Procedures [HKEx]
《紀律程序》 [香港交易所]

Drug Trafficking (Recovery of Proceeds) Ordinance
《販毒 (追討得益) 條例》

Electronic Transactions Ordinance
《電子交易條例》

Estate Duty Ordinance
《遺產稅條例》

Ethics in Practice - A Practical Guide for Financial Practitioners [ICAC]
《財經有道- 證券、期貨及投資界專業道德實務指引》 [廉政公署]

EU Product Directive
《歐盟產品指引》

Evidence Ordinance
《證據條例》

Exchange Fund Ordinance
《外匯基金條例》

Exchanges (Special Levy) Ordinance
《交易所 (特別徵費) 條例》

Exchanges (Special Levy) Rules
《交易所 (特別徵費) 規則》

Exchanges (Special Levy) (Suspension) Order
《交易所 (特別徵費) (暫停徵收) 令》

Financial Reporting Council Bill
《財務匯報局條例草案》

Financial Services Act [UK]
《金融服務法》 [英國]

Financial Services and Markets Act [UK]
《金融服務及市場法》 [英國]

Financial Services Modernization Act [US]
《金融服務現代化法案》 [美國]

Financial Services Reform Act [Australia]
《金融服務改革法》 [澳洲]

Fit and Proper Guidelines [SFC]
《適當人選的指引》 [證監會]

Fund Manager Code of Conduct [SFC]
《基金經理操守準則》 [證監會]

Futures Trading Law [Taiwan]
《期貨交易法》 [台灣]

Gambling Ordinance
《賭博條例》

General Rules of CCASS [HKEx]
《中央結算系統一般規則》 [香港交易所]

Guarantee Law of the People's Republic of China
《中華人民共和國擔保法》

Guidance Note on Cooperation with the SFC
《與證監會合作指引》

Guidance Note on Internet Regulation [SFC]
《互聯網監管指引》 [證監會]

Guidance Note on Position Limits and Large Open Position Reporting Requirements [SFC]
《持倉限額及大額未平倉合約的申報規定指引》 [證監會]

Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements [SFC]
《有關申報賣空活動及備存證券借出紀錄規定的指引》 [證監會]

Guidance Note to SFC Approved Fund Management Companies
《證監會向認可基金管理公司發出的指引》

Guide on Disclosure of Price-Sensitive Information [HKEx]
《股價敏感資料披露指引》 [香港交易所]

Guide to Continuing Professional Development for MPF Intermediaries [MPFA]
《強積金中介人持續專業進修指引》 [積金局]

Guide to Registration as MPF Intermediaries [MPFA]
《強積金中介人註冊指引》 [積金局]

Guideline on Corporate Governance of Locally Incorporated Authorized Institutions [HKMA]
《本地註冊認可機構的企業管治指引》 [金管局]

Guideline on Prevention of Money Laundering [HKMA]
《防止清洗黑錢活動指引》 [金管局]

Guidelines for Electronic Public Offerings (ePO Guidelines) [SFC]
《電子公開發售指引》 [證監會]

Guidelines for New Listing Applications (for Main Board and GEM) [SEHK]
《新上市申請指引- 主板及創業板》 [聯交所]

Guidelines for Regulating Index Tracking Exchange Traded Funds under [found in the Code on Unit Trusts and Mutual Funds, SFC]
《跟蹤指數交易所買賣基金監管指引》 [載於證監會《單位信託及互惠基金守則》]

Guidelines for Review of Internal Controls and Systems of Trustees/Custodians [found in the Code on Unit Trusts and Mutual Funds, SFC]
《審核受託人/代管人的內部監控措施及制度的指引》 [載於證監會《單位信託及互惠基金守則》]

Guidelines for the Approval of Corporations as Approved Lending Agents [SFC]
《就核准法團為核准借出代理人而發出的指引》 [證監會]

Guidelines for the Exemption of Listed Companies from the Share Repurchase Requirements of Section 49BA of the Companies Ordinance (Cap.32) [found in the Codes on Takeovers, Mergers and Share Repurchases, SFC]
《豁免上市公司遵守〈公司條例〉 (香港法例第32章) 第49BA條股份購回規定的指引》 [載於證監會《公司收購、合併及股份購回守則》]

Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) [SFC]
《豁免上市法團使其不受〈證券及期貨條例〉第XV部 (披露權益) 規限的指引》 [證監會]

Guidelines for the Regulation of Automated Trading Services [SFC]
《監管自動化交易服務的指引》 [證監會]

Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32) [SFC]
《有關申請放寬在根據〈公司條例〉 (第32章) 辦理招股章程註冊時需遵從的程序事宜的指引》 [證監會]

Guidelines on Competence [SFC]
《勝任能力的指引》 [證監會]

Guidelines on Continuous Professional Training [SFC]
《持續培訓的指引》 [證監會]

Guidelines on Disclosure of Fees and Charges Relating to Securities Services [SFC]
《與證券服務有關的費用及收費披露指引》 [證監會]

Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers [SFC]
《根據〈收購及合併守則〉獲豁免基金經理的資格的指引》 [證監會]

Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers [SFC]
《根據〈收購及合併守則〉獲豁免自營買賣商的資格的指引》 [證監會]

Guidelines on Hedge Funds Reporting Requirements [found in the Code on Unit Trusts and Mutual Funds, SFC]
《對沖基金匯報規定指引》 [載於證監會《單位信託及互惠基金守則》]

Guidelines on revised procedures for applications for Exempt Fund Manager status under the Code on Takeovers and Mergers [SFC]
《有關〈收購及合併守則〉下的獲豁免基金經理資格的經修訂程序的指引》 [證監會]

Guidelines on revised procedures for applications for Exempt Principal Trader status under the Code on Takeovers and Mergers [SFC]
《有關〈收購及合併守則〉下的獲豁免自營買賣商資格的經修訂程序的指引》 [證監會]

Guidelines on Transitional Arrangements [SFC]
《過渡安排指引》 [證監會]

Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance [SFC]
《根據〈公司條例〉作出股份及債權證要約時使用要約認知材料及簡明披露材料的指引》 [證監會]

Guidelines on using a "Dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) [SFC]
《有關採用"雙重招股章程"機制以進行根據〈公司條例〉 (第32章) 規定需發出招股章程的股份或債權證的同一計劃性要約的指引》 [證監會]

Guidelines on Waivers of Certain Licensing Fees [SFC]
《寬免繳付若干牌照費用的指引》 [證監會]

Hedge Funds Guidelines [found in the Code on Unit Trusts and Mutual Funds, SFC]
《對沖基金指引》 [載於證監會《單位信託及互惠基金守則》]

HKATS Trading Procedures [HKFE]
《HKATS電子交易系統交易程序》 [期交所]

Hong Kong Accounting Standards (HKAS) [HKICPA]
《香港會計準則》 [香港會計師公會]

Hong Kong Financial Reporting Standards (HKFRS) [HKICPA]
《香港財務報告準則》 [香港會計師公會]

Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR) [HKICPA]
《香港投資通函呈報準則》 [香港會計師公會]

How to Create a Clear Prospectus [SFC]
《如何撰寫清楚易明的章程》 [證監會]

How to Create Clear Announcements [SFC]
《如何撰寫清楚易明的公布》 [證監會]

Independent Commission Against Corruption Ordinance
《廉政公署條例》

Inland Revenue Ordinance
《稅務條例》

Insurance Companies Ordinance
《保險公司條例》

International Financial Reporting Standards (IFRS) [IASB]
《國際財務匯報準則》;《國際財務報告準則》 [國際會計準則委員會]

International Valuation Standards [IVSC]
《國際估值準則》;《國際估值標準》 [國際估值準則委員會]

Interpretation and General Clauses Ordinance
《釋義及通則條例》

Investment Company Act [US]
《投資公司法》 [美國]

Investment Services Directive (ISD) [EU]
《投資服務指令》 [歐盟]

Legal Practitioners Ordinance
《法律執業者條例》

Legal Tender Notes Issue Ordinance
《法定貨幣紙幣發行條例》

Licensing Information Booklet [SFC]
發牌資料冊 [證監會]

Limited Partnerships Ordinance
《有限責任合夥條例》

Magistrates Ordinance
《裁判官條例》

Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission
《適用於證券及期貨事務監察委員會持牌人或註冊人的管理、監督及內部監控指引》

Mandatory Provident Fund Schemes (Compensation Claims) Rules
《強制性公積金計劃 (補償申索) 規則》

Mandatory Provident Fund Schemes (Exemption) Regulation
《強制性公積金計劃 (豁免) 規例》

Mandatory Provident Fund Schemes (Fees) Regulation
《強制性公積金計劃 (費用) 規例》

Mandatory Provident Fund Schemes (General) Regulation
《強制性公積金計劃 (一般) 規例》

Mandatory Provident Fund Schemes Ordinance
《強制性公積金計劃條例》

Mandatory Provident Fund Schemes Rules
《強制性公積金計劃規則》

Mandatory Provident Fund Schemes (Winding Up) Rules
《強制性公積金計劃 (清盤) 規則》

Misrepresentation Ordinance
《失實陳述條例》

Model Code for Securities Transactions by Directors of Listed Companies [SEHK]
《上市公司董事進行證券交易的標準守則》 [聯交所]

Monetary Statistics Ordinance
《金融資料統計條例》

Money Changers Ordinance
《貨幣兌換商條例》

Money Lenders Ordinance
《放債人條例》

New Basel Capital Adequacy Standards [Basel Committee]
《新巴塞爾資本充足標準》 [巴塞爾委員會]

Non-Statutory Guidelines on Directors' Duties [CR]
《有關董事責任的非法定指引》 [公司註冊處]

Oaths and Declarations Ordinance
《宣誓及聲明條例》

Occupational Retirement Schemes Ordinance
《職業退休計劃條例》

Operational Clearing Procedures for Options Trading Exchange Participants [SEOCH]
《期權買賣交易所參與者結算運作程序》 [聯交所期權結算所]

Operational Trading Procedures for Options Trading Exchange Participants [SEHK]
《期權買賣交易所參與者交易運作程序》 [聯交所]

Options Clearing Rules [SEOCH]
《期權結算規則》 [聯交所期權結算所]

Options Trading Rules [SEHK]
《期權交易規則》 [聯交所]

Organized and Serious Crimes Ordinance
《有組織及嚴重罪行條例》

Personal Data (Privacy) Ordinance
《個人資料 (私隱) 條例》

Prevention of Bribery Ordinance
《防止賄賂條例》

Prevention of Money Laundering and Terrorist Financing Guidance Note issued by the Securities and Futures Commission
《證券及期貨事務監察委員會有關防止洗黑錢及恐怖分子籌資活動的指引》

Price Stabilizing Rules [UK]
《穩定價格規則》 [英國]

Principles for On-Going Disclosure and Material Development Reporting by Listed Entities [IOSCO]
《上市機構的持續披露和重大發展匯報原則》 [國際證監會組織]

Principles on Client Idenification and Beneficial Ownership for the Securities Industry [IOSCO]
《證券業有關識別客戶身分及實益擁有權的原則》 [國際證監會組織]

Principles on Outsourcing of Financial Services for Market Intermediaries [IOSCO]
《市場中介人外判金融服務的原則》 [國際證監會組織]

Professional Accountants Ordinance
《專業會計師條例》

Protection of Wages on Insolvency Ordinance
《破產欠薪保障條例》

Public Offering of Securities Regulations [UK]
《公開發售證券規例》 [英國]

Risk Management Guidelines for Derivatives [Basel Committee]
《衍生工具風險管理指引》 [巴塞爾委員會]

Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited (Growth Enterprise Market Listing Rules; GEM Listing Rules)
《香港聯合交易所有限公司創業板證券上市規則》 (《創業板上市規則》)

Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (Stock Exchange Listing Rules; Listing Rules)
《香港聯合交易所有限公司證券上市規則》 (《聯交所上市規則》;《上市規則》)

Rules of the Exchange [HKEx]
《交易所規則》 [香港交易所]

Rules of the High Court
《高等法院規則》

Rules on Corporate Governance Report [SEHK]
《企業管治報告規則》 [聯交所]

Rules, Regulations and Procedures [HKFE]
《規則、規例及程序》 [期交所]

Sarbanes-Oxley Act [US]
《薩班斯- 奧克斯萊法》 [美國]

Securities Act [US]
《證券法》 [美國]

Securities and Exchange Law [Taiwan]
《證券交易法》 [台灣]

Securities and Futures (Accounts and Audit) Rules
《證券及期貨 (帳目及審計) 規則》

Securities and Futures Act [Singapore]
《證券及期貨法》 [新加坡]

Securities and Futures (Associated Entities - Notice) Rules
《證券及期貨 (有聯繫實體- 通知) 規則》

Securities and Futures Bill
《證券及期貨條例草案》

Securities and Futures (Client Money) Rules
《證券及期貨 (客戶款項) 規則》

Securities and Futures (Client Securities) Rules
《證券及期貨 (客戶證券) 規則》

Securities and Futures (Collective Investment Schemes) Notice
《證券及期貨 (集體投資計劃) 公告》

Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
《證券及期貨 (成交單據、戶口結單及收據) 規則》

Securities and Futures (Contracts Limits and Reportable Positions) Rules
《證券及期貨 (合約限量及須申報的持倉量) 規則》

Securities and Futures (Disclosure of Interests - Exclusions) Regulation
《證券及期貨 (披露權益- 除外情況) 規例》

Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
《證券及期貨 (權益披露- 證券借貸) 規則》

Securities and Futures (Exempted Instruments - Information) Rules
《證券及期貨 (獲豁免的票據- 資料) 規則》

Securities and Futures (Fees) Rules
《證券及期貨 (費用) 規則》

Securities and Futures (Financial Resources) Rules
《證券及期貨 (財政資源) 規則》

Securities and Futures (Insurance) Rules
《證券及期貨 (保險) 規則》

Securities and Futures (Investor Compensation - Claims) Rules
《證券及期貨 (投資者賠償- 申索) 規則》

Securities and Futures (Investor Compensation - Compensation Limits) Rules
《證券及期貨 (投資者賠償- 賠償上限) 規則》

Securities and Futures (Investor Compensation - Levy) Rules
《證券及期貨 (投資者賠償- 徵費) 規則》

Securities and Futures (Keeping of Records) Rules
《證券及期貨 (備存紀錄) 規則》

Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
《證券及期貨 (槓桿式外匯交易- 豁免) 規則》

Securities and Futures (Leveraged Foreign Exchange Trading) (Arbitration) Rules
《證券及期貨 (槓桿式外匯交易) (仲裁) 規則》

Securities and Futures (Levy) Order
《證券及期貨 (徵費) 令》

Securities and Futures (Levy) Rules
《證券及期貨 (徵費) 規則》

Securities and Futures (Licensing and Registration) (Information) Rules
《證券及期貨 (發牌及註冊) (資料) 規則》

Securities and Futures (Miscellaneous) Rules
《證券及期貨 (雜項) 規則》

Securities and Futures (Offences and Penalties) Regulations
《證券及期貨 (罪行及罰則) 規例》

Securities and Futures Ordinance (SFO)
《證券及期貨條例》

Securities and Futures (Price Stabilizing) Rules
《證券及期貨 (穩定價格) 規則》

Securities and Futures (Professional Investor) Rules
《證券及期貨 (專業投資者) 規則》

Securities and Futures (Recognized Counterparty) Rules
《證券及期貨 (認可對手方) 規則》

Securities and Futures (Registration of Appeals Tribunal Orders) Rules
《證券及期貨 (登記上訴審裁處命令) 規則》

Securities and Futures (Registration of Commission Disciplinary Orders) Rules
《證券及期貨 (登記證監會紀律制裁命令) 規則》

Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules
《證券及期貨 (登記市場失當行為審裁處命令) 規則》

Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous) ) Rules
《證券及期貨 (賣空及證券借貸 (雜項) ) 規則》

Securities and Futures (Stock Market Listing) Rules
《證券及期貨 (在證券市場上市) 規則》

Securities and Futures (Transfer of Functions - Investor Compensation Company) Order
《證券及期貨 (職能的轉移- 投資者賠償公司) 令》

Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
《證券及期貨 (職能的轉移- 聯交所) 令》

Securities and Futures (Unsolicited Calls - Exclusion) Rules
《證券及期貨 (豁除某等未獲邀約的造訪) 規則》

Securities Exchange Act [US]
《證券交易所法》 [美國]

Securities Law of the People's Republic of China
《中華人民共和國證券法》

Securities Transfer Act [New Zealand]
《證券轉讓法》 [新西蘭]

SFC Code on MPF Products
《證監會強積金產品守則》

Stamp Duty (Jobbing Business) (Options Market Makers) Regulation
《印花稅 (證券經銷業務) (期權莊家) 規例》

Stamp Duty Ordinance
《印花稅條例》

Statements of Standard Accounting Practice (SSAP) [HKICPA]
《會計實務準則》 [香港會計師公會]

Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules [SFC]
《提高商號遵守〈證券及期貨 (客戶證券) 規則〉及〈證券及期貨 (客戶款項) 規則〉的能力的建議監控措施及程序》 [證監會]

Tax Reserve Certificates Ordinance
《儲稅券條例》

Telecommunications Ordinance
《電訊條例》

Terms and Conditions for Investor Participants [HKSCC]
《投資者戶口持有人規則》 [香港結算]

The Ombudsman Ordinance
《申訴專員條例》

Theft Ordinance
《盜竊罪條例》

Transfer of Businesses (Protection of Creditors) Ordinance
《業務轉讓 (債權人保障) 條例》

Trustee Ordinance
《受託人條例》

Trustees (Hong Kong Government Securities) Ordinance
《受託人 (香港政府證券) 條例》

Uncertificated Securities Regulations [UK]
《非憑證式證券規例》 [英國]

Unconscionable Contracts Ordinance
《不合情理合約條例》

United Nations (Anti-Terrorism Measures) Ordinance
《聯合國 (反恐怖主義措施) 條例 》

Whitewash Guidance Notes [found in the Codes on Takeovers, Mergers and Share Repurchases, SFC]
《清洗交易指引註釋》 [載於證監會《公司收購、合併及股份購回守則》]

 

Note: This part should not be considered an exhaustive list of securities and finance related legislation, code and guidelines, whether in Hong Kong or elsewhere.

The translations of terms in each category are presented in their general order of popularity, and do not reflect any preference on the part of the SFC. Choice of translation should always be made in the context of the term. 

"*" denotes defined terms under the Securities and Futures Ordinance and its subsidiary legislation.

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