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|
|31 Dec 2021||G.N. 8121 / 2021||Notice Specifying Licensing Forms to be Submitted under Part V of the Securities and Futures Ordinance (Chapter 571) and Securities and Futures (Licensing and Registration) (Information) Rules (Chapter 571S)|
|G.N. 8120 / 2021||Notice Specifying Electronic Licensing Forms to be Submitted under Part V of the Securities and Futures Ordinance (Chapter 571) and Securities and Futures (Licensing and Registration) (Information) Rules (Chapter 571S)|
|17 Dec 2021||G.N. 7820 / 2021||Notice under s.402 of SFO specifying electronic form of financial return to be submitted under s.56 of the Securities and Futures (Financial Resources) Rules|
|26 Nov 2021||G.N. 7322 / 2021||Restriction Notice against Get Nice Securities Limited under s.204 and s.205 of SFO|
|G.N. 7321 / 2021||Restriction Notice against Emperor Securities Limited under s.204 and s.205 of SFO|
|19 Nov 2021||G.N. 7177 / 2021||Notice under s.402 of SFO specifying form to be used for the purpose of submission to the Commission|
|G.N. 7176 / 2021||Notice under s.399 of SFO publishing amended Code on Pooled Retirement Funds|
|5 Nov 2021||G.N. 6935 / 2021||Notice under s.399 of SFO publishing the revised Guidelines to capital market intermediaries involved in placing activities for GEM stocks|
|G.N. 6932 / 2021||Notice under ss.169 and 399 of SFO publishing amendments to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission|
|30 Sep 2021||G.N. 6057/2021||Notice under s.399(1) of SFO and s.7(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 under s.399(1) of SFO publishing revised Prevention of Money Laundering and Terrorist Financing Guideline issued by the Securities and Futures Commission for Associated Entities|
|20 Aug 2021||G.N. 5070/2021||Notice under s.399 of SFO publishing amendments to the Fund Manager Code of Conduct|
|30 Jul 2021||G.N. 4570/2021||Notice under s.208(1) of SFO regarding withdrawal of restriction notice issued under sections 204 and 205 of SFO dated 19/09/2016 to BOCI Securities Limited|
|G.N. 4559/2021||Notice under s.216(3) of SFO regarding appointment of chairmen of the Securities and Futures Appeals Tribunal|
|G.N. 4558/2021||Notice under s.251(3) of SFO regarding appointment of chairmen of the Market Misconduct Tribunal|
|2 Jul 2021||G.N. 3971/2021||Notice under s.240(9b) of SFO publishing audited financial statements of Investor Compensation Fund|
|G.N. 3970/2021||Notice under s.88(4) of SFO publishing the audited financial statements of Investor Compensation Company Limited|
|25 Jun 2021||G.N. 3778/2021||Notice under s.399 of SFO publishing the revised Guidelines on Competence, Guidelines on Continuous Professional Training, and Fit and Proper Guidelines|
|28 May 2021||G.N. 3127/2021||Restriction Notice against Sun Growth Securities Limited under s.205 of SFO together with Statement of Reasons|
|G.N. 3126/2021||Restriction Notice against Caitong International Securities Co., Ltd under s.204 and s.205 of SFO|
Last update: 23 Jan 2020