Securities & Futures Commission of Hong Kong

SFO subsidiary legislation amendment history

 Securities and Futures (Unsolicited Calls-Exclusion) Rules (Cap.571A)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Unsolicited Calls-Exclusion) Rules L.N. 185 of 2002 (Originally) The area of which sections 174(3)(a), 174(3)(d) and 174 of SFO do not apply to any solicited calls

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 Securities and Futures (Recognized Counterparty) Rules (Cap.571B)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Recognized Counterparty) Rules L.N. 186 of 2002 (Originally) Stating the definition of 'recognized counterparty' referred to in section 1 of Part 1 of Schedule 1 of SFO

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Rectification of Errors Order 2004 L.N. 29 of 2004 Amendment to column 3 of item 8 of Schedule 1 of the Rules

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 Securities and Futures (Registration of Commission Disciplinary Orders) Rules (Cap.571C)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Registration of Commission Disciplinary Orders) Rules

L.N. 187 of 2002 (Originally)

For the purpose of making an application of an order pursuant to sections 194(5) and 196(5) of SFO, the Commissioner shall produce the Registrar of High Court a notice

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 Securities and Futures (Professional Investor) Rules (Cap.571D)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Professional Investor) Rules L.N. 188 of 2002 (Originally) Stating the definition of 'professional investor' referred to in section 1 of Part 1 of Schedule 1 of SFO

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Professional Accountants (Amendment) Ordinance 2004

Ord. No.23 of 2004 Consequential amendment by Schedule 2 of Ord. No.23 of 2004, "a professional accountant" in section 3(b)(i) of the Rules be substituted by " a certified public account" PDF

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Securities and Futures (Professional Investor) (Amendment) Rules 2011 L.N. 135 of 2011 Amendments to section 3 of the Rules

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 Securities and Futures (Leveraged Foreign Exchange Trading-Exemption) Rules (Cap.571E)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Leveraged Foreign Exchange Trading-Exemption) Rules L.N. 189 of 2002 (Originally) Stating the definition of "leveraged foreign exchange trading" referred to in Part 2 of the Schedule 5 of SFO

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 Securities and Futures (Leveraged Foreign Exchange) (Arbitration) Rules (Cap.571F)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Leveraged Foreign Exchange) (Arbitration) Rules L.N. 190 of 2002 (Originally) Establishment of a panel to be known as arbitration panel to resolve any dispute that required to be settled by arbitration pursuant to section 118(1)(b) of SFO

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 Securities and Futures (Exempted Instruments-Information) Rules (Cap.571G)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Exempted Instruments-Information) Rules L.N. 191 of 2002 (Originally) Referring section 110(1) of SFO, how the information be submitted in respect of advertisement, invitation or documents

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 Securities and Futures (Client Securities) Rules (Cap.571H)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Client Securities) Rules L.N. 201 of 2002 (Originally) For the purpose of 6(1)(c), 7(2) or 7(3), 8(2) and 9(2) of SFO, stating the requirements of a client's standing authority

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Companies (Amendment) Ordinance 2004 Ord. No.30 of 2004 Consequential amendments to the Rules, the definition of "approved custodian", by repealing "overseas" be substituted by "non-Hong Kong" PDF

Securities and Futures (Client Securities) (Amendment) Rules 2006

L.N. 118 of 2006

Section 7(2)(b) of the Rules is amended by adding "Subject to Section 8A"

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 Securities and Futures (Client Money) Rules (Cap.571I)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Client Money) Rules L.N. 202 of 2002 (Originally) The definition of client's money and should be maintained in Hong Kong one or more segregated account(s)

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 Securities and Futures (Associated Entities-Notice) Rules (Cap.571J)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Associated Entities-Notice) Rules L.N. 203 of 2002 (Originally) Particulars to be notified on becoming associated entity was listed out in the Rules

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 Securities and Futures (Registration of Appeals Tribunal Orders) Rules (Cap.571K)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Registration of Appeals Tribunal Orders) Rules L.N. 205 of 2002 (Originally) Stating notice to be given to the Registrar of the High Court for the registration of the order pursuant to section 226 of SFO

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 Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules (Cap.571L)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules L.N. 206 of 2002 (Originally) Stating notice to be given to the Registrar of the High Court for the registration of the order pursuant to section 264(1) of SFO

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 Securities and Futures (Collective Investment Schemes) Rules (Cap.571M)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Collective Investment Schemes) Rules L.N. 207 of 2002 (Originally) The definition of "Collective Investment Scheme" (other than the definition of securities as in section 1, Part 1 of Schedule 1 to SFO)

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 Securities and Futures (Financial Resources) Rules (Cap.571N)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Financial Resources) Rules L.N. 209 of 2002 (Originally) Set out the accounting treatment and financial resources requirements

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Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments to the Rules in respect of para.(b), para.(j), sections 46(2)(a), 53(2)(b), 56(1) and 60(4)

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Electronic Transactions (Amendment) Ordinance 2004 Ord. No. 14 of 2004 Consequential amendments to the Rules in respect of "digital signature" PDF

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Securities and Futures (Financial Resources) (Amendment) Rules 2006

L.N. 117 of 2006

Several amendments made to the Rules in respect of Securities margin financing, Financial resources requirements and 'Haircut percentage'

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Securities and Futures (Financial Resources) (Amendment) Rules 2008 L.N. 92 of 2008 Amendments made to the Rules in respect of 'Licensing corporations'

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Securities and Futures (Financial Resources) (Amendment) Rules 2011 L.N. 29 of 2011 Amendments to section 2, 5, 56 and Schedule 1 of the Rules

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 Securities and Futures (Keeping of Records) Rules (Cap.571O)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Keeping of Records) Rules

L.N. 210 of 2002 (Originally)

Stating the particulars of record keeping

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Interpretation and General Clauses Ordinance

L.N. 45 of 2003

“證券抵押品” be substituted by “客戶抵押品” in section 1(e) of the Schedule of the Rules

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 Securities and Futures (Account and Audit) Rules (Cap.571P)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Account and Audit) Rules L.N. 211 of 2002 (Originally) Stating the financial statement and other documents that a licensed corporation shall prepare in respect of each financial year

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Interpretation and General Clauses Ordinance

L.N. 45 of 2003

“報表” be substituted by “申請表” in sections 3(1)(b) and 4 (1)(d) and “本身的衍生工具持倉量” be substituted by “衍生工具自營交易持倉的情況” in section 3(1)(b)(viii) of the Rules

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 Securities and Futures (Contract, Notes, Statement of Account and Receipts) Rules (Cap.571Q)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Contract, Notes, Statement of Account and Receipts) Rules L.N. 212 of 2002 (Originally) Stating the preparation and provision of contract notes, receipts and the information required in all statement of account

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Interpretation and General Clauses Ordinance

L.N. 45 of 2003

Several amendments made to the Rules including but not limited to:-
“保證金比率” by repealing everything after “百分率是” and substituting “中介人的客戶被容許以該特定種類的證券抵押品向該中介人借貸(或以其他方式自該中介人取得其他方式的財務通融)的上限

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Rectification of Errors Order 2004 L.N. 29 of 2004 The word "subsection" in section 11(6) of the Rules be repealed and substituted by "subsections"

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Securities and Futures (Contract, Notes, Statement of Account and Receipts) (Amendment) Rules 2006

L.N. 119 of 2006

Amendments to section 11 of the Rules

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Amendment to section 11 (preparation and provision of monthly statements of account) of the Rules

PDF

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 Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules (Cap.571R)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules L.N. 213 of 2002 (Originally) List out the classes of transactions that section 170(3)(e) and the classes of persons that section 171 of SFO not to be applied

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Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments to sections 3(2)(c) and 4(5) of the Rules

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Rail Merger Ordinance

Ord. No. 11 of 2007

Consequential amendments to section 2 of the Rules that “香港鐵路有限公司” be substituted by “地鐵有限公司”

PDF

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 Securities and Futures (Licensing and Registration (Information)) Rules (Cap.571S)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Licensing and Registration (Information)) Rules L.N. 214 of 2002 (Originally) Information to be provided with the Commissioner and contained in annual report and the particulars to be entered in register of licensed persons and licensed institutions

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Bankruptcy (Amendment) Ordinance 2005 Ord. No.18 of 2005 Consequential amendments to section 1(k), Part 2 in Schedule 1 of the Rules that repeal "receiver" and be substituted by "provisional trustee" PDF

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Companies Ordinance

Ord. No.28 of 2012

Consequential amendments to section 2(e), Part 1 in Schedule 1 of the Rules

PDF

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 Securities and Futures (Investor Compensation-Claims) Rules (Cap.571T)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Investor Compensation-Claims) Rules L.N. 215 of 2002 (Originally) Stating the submission and the process of claims

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Deposit Protection Scheme Ordinance Ord. No. 7 of 2004 Compensation be paid out of the Investment Compensation Fund pursuant to section 236 and Part XII of SFO, such person is not entitled to compensation under the Deposit Protection Scheme Ordinance PDF

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Insurance Companies (Amendment) Ordinance 2015

Ord. No. 12 of 2015

Consequential amendment to section 2 of the Rules

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Section 3 (information to be provided with applications to Commission) and Schedule 4 (particulars to be contained in register) have been amended

PDF

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 Securities and Futures (Miscellaneous) Rules (Cap.571U)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Miscellaneous) Rules L.N. 216 of 2002 (Originally) Stating miscellaneous matter including, service of documents on Commission,

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Interpretation and General Clauses Ordinance L.N. 45 of 2003 return of license

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Electronic Transactions (Amendment) Ordinance 2004 Ord. No. 14 of 2004 Amendments in respect of section 2(1)(b) of the Rules PDF

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Professional Accountants (Amendment) Ordinance 2004

Ord. No. 23 of 2004

Consequential amendments to the Rules in respect of the service of the documents on the Commission

PDF

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Companies Ordinance

Ord. No. 28 of 2012

Consequential amendments to section 5(1)(c) of the Rules

PDF

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Section 3 (licence or certificate of registration to be exhibited) and section 4 (return of licence or certificate of registration) have been amended

PDF

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 Securities and Futures (Stock Market Listing) Rules (Cap.571V)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Stock Market Listing) Rules L.N. 217 of 2002 (Originally) Stating the requirements for Listing applications

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 Securities and Futures (Price Stabilizing) Rules (Cap.571W)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Price Stabilizing) Rules L.N. 218 of 2002 (Originally) Particulars of market misconduct and stabilizing actions

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Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments in respect of section 12(1)(c) of the Rules

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Securities and Futures (Price Stabilizing) (Amendment) Rules 2003 L.N. 266 of 2003 Amendments to the Rules by adding overseas stabilization

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Securities and Futures (Price Stabilizing) (Amendment) Rules 2004 L.N. 180 of 2004 Amendments to section 3(d)(ii)A(II) of the Rules

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Companies (Amendment) Ordinance 2004 Ord. No. 30 of 2004 Consequential amendments to section 2(1) of the Rules PDF

Companies Ordinance

Ord. No. 28 of 2012

Consequential amendments to section 2(1) and section 3 of the Rules

PDF

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 Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap.571X)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules L.N. 219 of 2002 (Originally) Stating the exclusions, notifications and the records to be kept as required in this Rules

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 Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap.571Y)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Contracts Limits and Reportable Positions) Rules L.N. 220 of 2002 (Originally) Stating the Restrictions on numbers of contracts held or controlled, prescribed time and the notice of reportable position

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2003

L.N. 84 of 2003

Amendments to Schedule 1 and Schedule 2 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2003 L.N. 221 of 2003 Amendments to the Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2004

L.N. 35 of 2004

Amendments to section 6(2)(b) and section 7 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2004 L.N. 66 of 2004 Amendments to Schedule 1 and Schedule 2 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2005 L.N. 69 of 2005 Amendments to Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2005 L.N. 232 of 2005 Amendments to Schedule 1 and Schedule 2 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2007 L.N. 18 of 2007 Amendments to Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2007 L.N. 198 of 2007 Amendments to section 4(4) of the Rules

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Interpretation and General Clauses Ordinance L.N. 223 of 2007 Time extended for amending the Rules under L.N.198 of 2007

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) (No.2) Rules 2007 L.N. 241 of 2007 Amendments to the Rules by adding new sections 4(7)(a), 4(8) and 4(10)

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2008 L.N. 74 of 2008 Amendments to Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2009 L.N. 159 of 2009 Amendments to Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2011 L.N. 117 of 2011 Amendments to Schedule 1 and Schedule 2 of the Rules

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 4 of the Rules

PDF

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2013

L.N. 13 of 2013

Amendments to Schedule 1 of the Rules

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Securities and Futures (Contracts Limits and Reportable Positions) (Amendment) Rules 2015

L.N. 228 of 2015

Amendments to section 2 (interpretation), Schedule 1 and Schedule 2 of the Rules

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 Securities and Futures (Levy) Order (Cap.571Z)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Levy) Order L.N. 221 of 2002 (Originally) Levy payable in respect of sale and purchase of securities and futures contracts

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Securities and Futures (Reduction of Levy) Order 2006 L.N. 142 of 2006 Amendments on percentage of the Levy

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Securities and Futures (Levy) (Amendment) Order 2008 L.N. 121 of 2008 Amendments on sections 2, 4, 6, 7 and 10 of the Order

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Securities and Futures (Levy) (Amendment) Order 2010 L.N. 56 of 2010 Amendments on percentage of the Levy

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Securities and Futures (Levy) (Amendment) Order 2011 L.N. 115 of 2011 Amendments to the Order by adding Part 4

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Securities and Futures (Levy) (Amendment) Order 2014

L.N. 74 of 2014

Amendments to sections 4, 9, 10, 13 & 15 of the Order

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Section 2A (Rounding of Levy amounts) is added into the Order. Also sections 10 and 13 have been ameded

PDF

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 Securities and Futures (Levy) Rules (Cap.571AA)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Levy) Rules L.N. 222 of 2002 (Originally) Information in respect of payment of the Levy

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Securities and Futures (Levy) (Amendment) Rules 2011 L.N. 116 of 2011 Amendments to the sections 2-10 and 12 of the Rules

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 10 of the Rules

PDF

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 Securities and Futures (Investor Compensation-Levy) Rules (Cap.571AB)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Investor Compensation-Levy) Rules L.N. 223 of 2002 (Originally) Levy payable in respect of the sale and purchase of securities and future contracts and the manner of payment

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Securities and Futures (Investor Compensation-Levy) (Amendment) Rules 2005 L.N. 108 of 2005 Amendments to section 2, 3, 8 and 20. The Rules is also amended by adding Part V – No Payment of Levy under Exemption Notice

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Securities and Futures (Investor Compensation-Levy) (Amendment) Rules 2008 L.N. 122 of 2008 Amendments to section 2, 4, 6, 7 and 10. The Rules is also amended by adding new section 7A

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 20 of the Rules

PDF

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Section 2A (Rounding of Levy amounts) is added into the Rules

PDF

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 Securities and Futures (Investor Compensation-Compensation Limits) Rules (Cap.571AC)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Investor Compensation-Compensation Limits) Rules L.N. 224 of 2002 (Originally) Stating the limits on amount of compensation

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 Securities and Futures (Transfer of Functions-Investor Compensation Company) Order (Cap.571AD)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Transfer of Functions-Investor Compensation Company) Order L.N. 225 of 2002 (Originally) Set out the functions of the Commissioner be transferred to Investor Compensation Company

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 2 of the Rules

PDF

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 Securities and Futures (Transfer of Function-Stock Market Exchange Company) Order (Cap.571AE)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Transfer of Function-Stock Exchange Company) Order L.N. 227 of 2002 (Originally) Set out the functions of the Commissioner be transferred to Stock Exchange Company

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 3 of the Rules

PDF

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 Securities and Futures (Fees) Rules (Cap.571AF)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Fees) Rules L.N. 228 of 2002 (Originally) Stating the fees for offering documents, application to takeovers panel and takeovers appeal committee and the time for payment

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Rectification of Errors Order 2004 L.N. 29 of 2004 Amendments to Schedule 2 of the Rules, repeal "0.1%" and be substituted by "0.01%"

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 4, section 5, section 7, section 8 and Schedule 1 of the Rules

PDF

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Securities and Futures (Amendment) Ordinance 2015

Ord. No. 19 of 2015

Amendments (relating to the fees prescribed for purpose of section 395 of the Ordinance) to Schedule 1 and Schedule 3 of the Rules

PDF

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Securities and Futures (Fees) (Amendment) Rules 2016

L.N. 32 of 2016

Amendments to section 3, Schedule 1 and Schedule 3 of the Rules to prescrible the application fee payable to the Securities and Futures Commission by a person seeking to be designated as a central counterparty under section 101J of the Ordinance and to requir a designated central counterparty to pay an annual fee to the Securities and Futures Commission for the designation, and prescribe the annual fee payable 

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 Securities and Futures (Disclosure of Interests-Exclusion) Regulation (Cap.571AG)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Disclosure of Interests-Exclusion) Regulation

L.N. 229 of 2002 (Originally)

Prescribed interests and short positions to be disregarded for notification and the requirements

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Companies Ordinance

Ord. No. 28 of 2012

Amendments to section 2 of the Rules

PDF

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 Securities and Futures (Offences and Penalties) Regulation (Cap.571AH)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Offences and Penalties) Regulation L.N. 230 of 2002 (Originally) Stating the penalties if a person commits an offence stated in Cap.571U

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Securities and Futures (Offences and Penalties) Regulation

L.N. 45 of 2012

Schedule of the Regulsation has been amended by adding:- "5. Rule 4(2) of the Securities and Futures (Short Position Reporting) Rules - On conviction on indictment, a fine at level 6 and imprisonment for 2 years; On summary conviction, a fine at level 3 and imprisonment for 6 months."

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 Securities and Futures (Insurance) Rules (Cap.571AI)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Insurance) Rules L.N. 11 of 2003 (Originally)

Stating the duty of specified licensed corporations to take out and maintain insurance

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Interpretation and General Clauses Ordinance L.N. 45 of 2003 Amendments to section 4 and section 5 of the Rules

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Insurance Companies (Amendment) Ordinance 2015

Ord. No. 12 of 2015

Consequential amendment to section 2 of the Rules

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 Securities and Futures (Short Position Reporting) Rules (Cap.571AJ)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Short Position Reporting) Rules

L.N. 48 of 2012

A person has a reportable short position if the person has a net short position value in shares that is equal to or more than the threshold specified in subrule 2(b)

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Securities and Futures (Short Position Reporting) (Amendment) Rules 2016

L.N. 39 of 2016

Amendments to Rules 2-5, Rule 7 and Schedule 1 of the Rules to expand the scope of securities in respect of which positions must be reported

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 Securities and Futures (Futures Contracts) Notice (Cap.571AK)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Futures Contracts) Notice

L.N. 81 of 2012

Stating the structured product to be regarded as futures contracts

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 Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules (Cap.571AL)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules

L.N. 96 of 2015

The Rules impose on prescribed persons (licensed corporations, authorized financial institutions, approved money brokers and others) by section 101B of the SFO, obligation to report specific OTC derivative transactions to the Monetary Authority, and also the record keeping obligation (the obligation to keep records relating to specified OTC derivative transactions) imposed on prescribed persons by section 101E of the SFO

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PDF (10.2011)

PDF (07.2012)

PDF (07.2014)

PDF (11.2014)

PDF (07.2012)

PDF (09.2013)

PDF (11.2014)

PDF (05.2015)

Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) Rules

L.N. 29 of 2016

Commencement Notice of the Rules

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Securities and Futures (OTC Derivative Transactions - Reporting and Record Keeping Obligations) (Amendment) Rules 2016

L.N. 30 of 2016

Rules 2A, 25A, 25B and 33 are newly added and Rules 2, 3, 7, 8, 10-13, 16, 23-26, 28, 29, 32 and Schedule of the Rules are amended

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 Securities and Futures (Stock Markets, Futures Markets and Clearing Houses) Notice (Cap.571AM)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (Stock Markets, Futures Markets and Clearing Houses) Notice

L.N. 97 of 2015

The Notice prescribes certain stock markets, futures markets and clearing houses for section 1B(2)(c) of Part 1 of Schedule 1 to the SFO

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 Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules (Cap.571AN)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules

L.N. 28 of 2016

For the purposes of the clearing obligation (the obligation to clear specified OTC derivative transactions with a designated central counterparty) and the record keeping obligation (to keep records relating to specified OTC derivative transactions) imposed on prescribed persons by sections 101C and 101E of the SFO, The Rules is to specify (1) the transactions that are subject to the obligations; (2) the circumstances relating to the transactions in which the obligations apply to prescribed persons; and (3) the circumstances in which SFC may designate persons as central counterparties under section 101J(1) of the SFO and procedural matters relating to the designations

The Rules come into operation on 1 September 2016

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 Securities and Futures (OTC Derivative Transactions Reporting Obligation - Fees) Rules (Cap.571AO)

Amended by

Gazette

Description

Legislative Council Brief

Consultation Paper

Consultation Conclusions

Securities and Futures (OTC Derivative Transactions Reporting Obligation - Fees) Rules

L.N. 31 of 2016

The Rules require the payment of a fee to the Monetary Authority for using the electronic system operated by or on behalf of Monetary Authority for submitting reports on certain OTC derivative transactions

The Rule also empower the Monetary Authority to waive the payment of a fee or reduce or refund a fee

The Rules come into operation on 1 May 2016

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To view the current and previous versions of the amended provisions of the Securities and Futures Ordinance (SFO) and its subsidiary legislation, please refer to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government.

Disclaimer: How content is arranged in HKeL is solely the remit of DoJ. The SFC has no control over and takes no responsibility for the availability and searchability of such information.

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