Government notices
The table contains notices and other materials published by the SFC in the Government Gazette under various provisions of the Securities and Futures Ordinance (SFO). Gazettal began shortly before the commencement of the SFO in April 2003.
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| Date | Gazette No. | Section No. and Description |
|---|---|---|
| 1 Sep 2023 | G.N. 5199 of 2023 | Restriction Notice against Zinvest Global Limited under sections 204 and 205 of SFO together with Statement of Reasons |
| G.N. 5198 of 2023 | Restriction Notice against Valuable Capital Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 5197 of 2023 | Restriction Notice against Lee Go Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 5196 of 2023 | Restriction Notice against Grand China Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 5195 of 2023 | Restriction Notice against Futu Securities International (Hong Kong) Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 5194 of 2023 | Restriction Notice against Fulbright Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| 14 Jul 2023 | GN 4169 of 2023 | Notice under s.402 of SFO specifying paper licensing forms to be submitted under Part V of SFO and Securities and Futures (Licensing and Registration) (Information) Rules |
| GN 4168 of 2023 | Notice under s.402 of SFO specifying electronic licensing forms to be submitted under Part V of SFO and Securities and Futures (Licensing and Registration) (Information) Rules | |
| 16 Jun 2023 | GN 3559 of 2023 | Restriction Notice against Global Group Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons |
| 25 May 2023 | G.N. 3132 / 2023 | Notice under s.402 of SFO specifying revised electronic form for the purpose of submitting a financial return by a licensed corporation under s.56 of the Securities and Futures (Financial Resources) Rules |
| G.N. 3131 / 2023 | Notice under s.402 of SFO specifying revised form for the purpose of submitting an analysis of client assets for an associated entity of an intermediary under s.3 of the Securities and Futures (Account and Audit) Rules | |
| G.N. 3130 / 2023 | Notice under s.402 of SFO specifying additional paper forms for submitting licensing applications and notifications (only when WINGS is not in service) | |
| G.N. 3129 / 2023 | Notice under s.402 of SFO specifying additional electronic forms for submitting licensing applications and notifications | |
| G.N. 3121 / 2023 | Notice under s.399 of SFO and s.53ZTK of AMLO publishing the Guidelines for Virtual Asset Trading Platform Operators | |
| G.N. 3120 / 2023 | Notice under s.399(1) of SFO and s.7(1) and s.53ZTK(1) of Anti-Money Laundering and Counter-Terrorist Financing Ordinance publishing revised Guideline on Anti-Money Laundering and Counter-Financing of Terrorism (For Licensed Corporations and SFC-licensed Virtual Asset Service Providers), and under s.399(1) of SFO and s.53ZTK(1) of Anti-Money Laundering and Counter-Terrorist Financing Ordinance publishing revised Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities of Licensed Corporations and SFC-licensed Virtual Asset Service Providers | |
| G.N. 3115 / 2023 | Notice under section 53ZSS(1) of Part 5B of Anti-Money Laundering and Counter-Terrorist Financing Ordinance publishing the SFC Disciplinary Fining Guidelines | |
| 12 May 2023 | G.N. 2822 / 2023 | Restriction Notice against Valuable Capital Limited under sections 204 and 205 of SFO together with Statement of Reasons |
| G.N. 2821 / 2023 | Restriction Notice against Silverbricks Securities Company Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 2820 / 2023 | Restriction Notice against Lego Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons | |
| G.N. 2819 / 2023 | Restriction Notice against Imperium International Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons |
Last update: 23 Jan 2020