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
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
G.N. 3125/2021 Restriction Notice against Caitong International Securities Co., Ltd under s.204 and s.205 of SFO
G.N. 3124/2021 Restriction Notice against Pacific Foundation Securities Limited under s.204 and s.205 of SFO
G.N. 3123/2021 Restriction Notice against Yuanta Securities (Hong Kong) Company Limited under s.204 and s.205 of SFO
26 Mar 2021 G.N. 1655/2021 Restriction Notice against Yuzhou Financial Holdings Limited under s.204 and s.205 of SFO
G.N. 1654/2021 Restriction Notice against Sun International Securities Limited under s.204 and s.205 of SFO
G.N. 1653/2021 Restriction Notice against Sun Hung Kai Investment Services Limited under s.204 and s.205 of SFO
G.N. 1652/2021 Restriction Notice against Solomon Securities Limited under s.204 and s.205 of SFO
G.N. 1651/2021 Restriction Notice against Riches Depot Securities Co., Limited under s.204 and s.205 of SFO
G.N. 1650/2021 Restriction Notice against KGI Asia Limited under s.204 and s.205 of SFO
Showing 1 - 20 of 1800

Last update: 23 Jan 2020

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