Consultation paper on proposals to amend the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission in relation to the establishment of the Financial Dispute Resolution Centre Ltd and the enhancement of the regulatory framework

Category A

Date Name
9 Jan 2012 ABN AMRO Clearing Hong Kong Limited ( 荷蘭銀行結算(香港)有限公司 )
6 Jan 2012 Celestial Securities Limited / Celestial Commodities Limited ( 時富證券有限公司 / 時富商品有限公司 )
9 Jan 2012 Clifford Chance on behalf of itself and 17 institutions ( 高偉紳律師行,並代表十七間機構作出回應 )
4 Jan 2012 CompliancePlus Consulting Limited ( 天智合規顧問有限公司 )
6 Jan 2012 Hong Kong Investment Funds Association ( 香港投資基金公會 )
20 Jan 2012 Hong Kong Securities Association Limited ( 香港證券業協會有限公司 )
9 Jan 2012 Hong Kong Securities Professionals Association ( 香港證券學會 )
6 Jan 2012 Hong Kong Telecommunications (HKT) Limited ( 香港電訊有限公司 )
5 Jan 2012 iFAST Financial (HK) Limited ( 奕豐金融(香港)有限公司 )
5 Jan 2012 Institute of Financial Planners of Hong Kong ( 香港財務策劃師學會 )
9 Jan 2012 ipac financial planning Hong Kong limited ( 安睿理財策劃(香港)有限公司 )
9 Jan 2012 Mazars Corporate Recovery & Forensic Services Limited ( 瑪澤企業重整及法証服務有限公司 )
9 Jan 2012 Standard & Poor's Hong Kong Limited
9 Jan 2012 Standard & Poor's Investment Advisory Services Hong Kong Limited
21 Dec 2011 Suen Chi Wai ( 孫志偉 )
9 Jan 2012 The Alternative Investment Management Association Limited (Hong Kong Branch) ( 另類投資管理協會(香港分部) )
6 Jan 2012 The Hong Kong Association of Banks ( 香港銀行公會 )
9 Jan 2012 The Law Society of Hong Kong ( 香港律師會 )

Category B

Date Name

Total number of comments received: 18
Total number of anonymous comments received: 0

Page last updated: 1 Aug 2012