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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
23 Feb 2024 G.N. 906 of 2024 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
G.N. 905 of 2024 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
19 Jan 2024 G.N. 279 of 2024 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
15 Dec 2023 G.N. 7526 of 2023 Restriction Notice against China International Capital Corporation Hong Kong Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons
24 Nov 2023 G.N. 7041 of 2023 Restriction Notice against Profitech Securities Limited under section 205 of SFO together with Statement of Reasons
6 Oct 2023 G.N. 5981 of 2023 Restriction Notice against China Prospect Securities Limited under sections 204 and 205 of SFO together with Statement of Reasons
29 Sep 2023 G.N. 5778 of 2023 Notice under s.399(1) of SFO publishing the revised Codes on Takeovers and Mergers and Share Buy-backs
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
Showing 1 - 20 of 1854

Last update: 23 Jan 2020

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