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 |
|---|---|---|
| 11 Sep 2020 | G.N. 5068/2020 | Restriction Notice against Shenwan Hongyuan Securities (H.K.) Limited under s.204 and s.205 of SFO |
| G.N. 5067/2020 | Notice under s112ZR of SFO publishing amendments to the Code on Open-Ended Fund Companies | |
| 21 Aug 2020 | G.N. 4652/2020 | Restriction Notice against Power Securities Company Limited under s.204 and s.205 of SFO |
| G.N. 4651/2020 | Restriction Notice against China Gather Wealth Financial Company Limited under s.204 and s.205 of SFO | |
| G.N. 4650/2020 | Restriction Notice against Zhongcai Securities Limited under s.204 and s.205 of SFO together with Statement of Reasons | |
| G.N. 4649/2020 | Restriction Notice against Gary Cheng Securities Limited under s.204 and s.205 of SFO together with Statement of Reasons | |
| 14 Aug 2020 | G.N. 4559/2020 | Notice under s.402(1) of SFO specifying forms for the purpose of lodging claims for compensation from the Investor Compensation Fund pursuant to the Securities and Futures (Investor Compensation-Claims) Rules |
| 10 Jul 2020 | G.N. 3803/2020 | Notice under s.216(3) of SFO regarding appointment of chairman of the Securities and Futures Appeals Tribunal |
| G.N. 3802/2020 | Notice under s.251(3) of SFO regarding appointment of chairman of the Market Misconduct Tribunal | |
| 26 Jun 2020 | G.N. 3463/2020 | Notice under s.76(1) of Schedule 10 of SFO and s.52(9) of repealed SO declaring interest rate for deposit under s.52(1) & (1A) of repealed SO |
| G.N. 3462/2020 | Notice under s.76(1) of Schedule 10 of SFO and s.33(8) of repealed CTO declaring interest rate for deposit under s.31 of repealed CTO | |
| G.N. 3461/2020 | Notice under s.240(9b) of SFO publishing audited financial statements of Investor Compensation Fund | |
| G.N. 3460/2020 | Notice under s.88(4) of SFO publishing the audited financial statements of Investor Compensation Company Limited | |
| 19 Jun 2020 | G.N. 3284/2020 | Notice under ss.169 and 399 of SFO and for the purposes of paragraph 50 of Part III of Schedule 10 to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission publishing list of jurisdictions with comparable OTCD margin requirements and specified conditions |
| G.N. 3283/2020 | 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 | |
| 9 Apr 2020 | G.N. 1702/2020 | Restriction Notice against Agg. Asset Management Limited under s.204 of SFO |
| 14 Feb 2020 | G.N. 818/2020 | Notice under s.95(3) of SFO regarding authorization of ATS provider |
| 24 Jan 2020 | G.N. 472/2020 | Restriction Notice against China Fund Securities Limited under s.204 and s.205 of SFO together with Statement of Reasons |
| 27 Dec 2019 | G.N. 8292/2019 | Notice under s.402(1) of SFO specifying forms to be used for the purpose of lodging claims for compensation from the Investor Compensation Fund pursuant to the Securities and Futures (Investor Compensation—Claims) Rules |
| 20 Dec 2019 | G.N. 8150/2019 | Notice under s.95(3) of SFO regarding authorization of ATS provider |
Last update: 23 Jan 2020