Modifications or waivers
Section 134 of the Securities and Futures Ordinance (SFO) empowers us to grant a modification or waiver to certain persons, including intermediaries, in respect of the requirements of specified provisions of the SFO and of any provision of rules we made under the SFO, upon application in the prescribed manner and payment of the prescribed fee.
Below are the lists / notices in relation to the modifications or waivers granted or revoked.
Currently applicable modifications or waivers of statutory requirements (including conditions)
- Securities and Futures (Financial Resources) Rules
- Securities and Futures (Professional Investor) Rules
- Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
Revoked modifications or waivers of statutory requirements (effective 4 May 2012)
- Securities and Futures (Financial Resources) Rules
- Securities and Futures (Professional Investor) Rules
- Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
Last update: 7 Aug 2012