Securities & Futures Commission of Hong Kong

Exemptions granted under section 309(2)

Exemptions granted under section 309(2) of the Securities and Futures Ordinance (Cap. 571)

Exemptions granted in respect of corporations issuing securities listed on The Stock Exchange of Hong Kong Limited are set out below. These exemptions are granted to the corporations, their substantial shareholders, directors and chief executives from compliance with Part XV of the Securities and Futures Ordinance in respect of the obligations that derive from the listing by these corporations of their securities on the Stock Exchange of Hong Kong. This list is updated at the beginning of every month.

Guidelines setting out the basis on which exemptions are granted under s.309 of the SFO are published on the Part XV page of the SFC’s web site. The exemptions available fall into 3 categories, which are described in the Guidelines.

Category 1 partial exemptions for corporations whose shares are listed on the Stock Exchange of Hong Kong Limited and on another stock exchange

Name

SEHK stock codes

1. Manulife Financial Corporation

0945

2. Standard Chartered PLC

2888

3. Prudential plc

2378

4. Vale S.A. Common - DR

6210

5. Vale S.A. Class A Preferred - DR

6230

6. Glencore International plc

0805

7. Kazakhmys PLC

0847

8. CapitaMalls Asia Ltd.

6813

9. SBI Holdings, Inc. - DR

6488(only applies to SBI Holdings, Inc. and its substantial shareholders)

10. Coach, Inc. –RS

6388

 

Category 2 exemptions for corporations none of whose shares are listed on the Stock Exchange of Hong Kong Limited

 

Category 2 exemptions for corporations (none of whose shares are listed on the Stock Exchange of Hong Kong Limited) in respect of their structured products listed on The Stock Exchange of Hong Kong Limited

 

 
Period of exemption 
Name Commencing on Ending on
1. BOCI Aisa Limited 21 Dec, 2007 20 Dec, 2012
2. Barclays Bank PLC 21 Dec, 2007 20 Dec, 2012
3. BNP Paribas Arbitrage Issuance B.V. 21 Dec, 2007 20 Dec, 2012
4. Calyon Financial Products (Guernsey) Limited 21 Dec, 2007 20 Dec, 2012
5. China Merchants Securities (HK) Co., Limited 20 Feb, 2012 19 Feb, 2013
6. Citigroup Global Markets Holdings Inc. 15 Jun, 2009 14 Jun, 2012
7. Coö peratieve Centrale Raiffeisen-Boerenleenbank B.A. 21 Dec, 2007 20 Dec, 2012
8. Credit Suisse AG 21 Dec, 2007 20 Dec, 2012
9. Daiwa Capital Markets Hong Kong Limited 20 Jul, 2010 19 Jul, 2012
10. DBS Bank Ltd 21 Dec, 2007 20 Dec, 2012
11. Deutsche Bank AG 21 Dec, 2007 20 Dec, 2012
12. Fortis Bank S.A./N.V. 21 Dec, 2007 20 Dec, 2012
13. Goldman Sachs Structured Products (Asia) Limited 21 Dec, 2007 20 Dec, 2012
14. J.P. Morgan Structured Products B.V. 21 Dec, 2007 20 Dec, 2012
15. KBC Financial Products International Limited 21 Dec, 2007 20 Dec, 2012
16. Macquarie Bank Limited 1 Jan, 2008 21 Dec, 2007
17. Nomura International plc 10 Dec, 2009 9 Dec, 2012
18. SGA Société Générale Acceptance N.V. 21 Dec, 2007 20 Dec, 2012
19. Standard Bank Plc 21 Dec, 2007 20 Dec, 2012
20. Standard Chartered Bank 28 Jun, 2010 27 Jun, 2012
21. The Hongkong and Shanghai Banking Corporation Ltd 21 Dec, 2007 20 Dec, 2012
22. The Royal Bank of Scotland N.V. 21 Dec, 2007 20 Dec, 2012
23. UBS AG 21 Dec, 2007 20 Dec, 2012


Category 2 exemptions for corporations (none of whose shares are listed on the Stock Exchange of Hong Kong Limited) in respect of their debt securities issued under debt programmes and listed on The Stock Exchange of Hong Kong Limited

Exemptions granted in respect of a programme

Name Program

1. Asian Development Bank

Global Medium-Term Note Program

2. Bank of China (Hong Kong) Limited

US$ Denominated Medium Term Note Programme

3. Cathay Pacific MTN Financing Limited

US$2 billion Medium Term Note Programme

4. Cheung Kong Finance (MTN) Limited

US$2,000,000,000 Medium Term Note Programme

5. Cheung Kong Infrastructure Finance (BVI) Limited

US$2,000,000,000 Euro Medium Term Note Programme

6. Future Days Limited

US$3,000,000,000 Medium Term Note Programme

7. Henderson Land MTN Limited, Henderson Land MTN (S) Pte. Limited

US$3,000,000,000 Medium Term Note Programme

8. Henson Finance Limited

US$500 million fixed interest coupon guaranteed notes

9. HKCG (Finance) Limited

US$1,000,000,000 Medium Term Note Programme

10. Kowloon-Canton Railway Corporation

US$3,000,000,000 Medium Term Note Programme

11. MTR Corporation (C.I.) Limited

US$3 billion Medium Term Note Programme

12. Sino (MTN) Limited

US$1,000,000,000 Medium Term Note Programme

13. Sun Hung Kai & Co. (BVI) Limited

US$3,000,000,000 Medium Term Note Programme

14. Swire Pacific MTN Financing Limited

US$1,500,000,000 Medium Term Note Programme

15. The Hong Kong Mortgage Corporation Limited

US$3,000,000,000 Medium Term Note Programme

16. The Link Finance (Cayman) 2009 Limited

US$1 billion Guaranteed Euro Medium Term Note Programme

17. Urban Renewal Authority

US$1 billion Medium Term Note Programme

18. UniCredit Bank AG

US$5,000,000,000 Medium Term Note Programme

 

Exemptions granted in respect of a particular issue of debt security

 Name

Stock codes

1. Malaysia Sukuk Global Berhad Trust Certificates 2015

4321

2. Bank of China (Hong Kong) Limited

4316

3. Baosteel Group Corporation

86015

4. Baosteel Group Corporation

86016

5. Baosteel Group Corporation

86017

6. Baosteel Group Corporation

86018

7. Baosteel Group Corporation

86019

8. Baosteel Group Corporation

86020

9. Cherating Capital Ltd.

1519

10. China Overseas Finance (Cayman) II Limited

4503

11. China Overseas Finance (Cayman) IV Limited

4533

12. CLP Power Hong Kong Financing Ltd.

4306

13. CLP Power Hong Kong Financing Ltd.

4318

14. Fita International Ltd.

4315

15. Henson Finance Limited

4312

16. HKCG (Finance) Limited

4303

17. Hongkong Electric Finance Ltd.

4505

18. Hutchison Whampoa International (03/13) Limited

2565

19. ITNL Offshore Pte. Ltd.

86022

20. PHBS Limited

4325

21. PTT Public Company Limited

2527

22. Paka Capital Ltd.

1608

23. Paka Capital Ltd.

4540

24. Rainbow Days Ltd.

86004

25. Rainbow Days Ltd.

86005

26. Swire Pacific MTN Financing Limited

2543

27. Swire Pacific MTN Financing Limited

2544

28. Tesco PLC

86008

29. The Hongkong and Shanghai Banking Corporation Limited

2550

30. The Hongkong and Shanghai Banking Corporation Limited

2558

31. The Hongkong and Shanghai Banking Corporation Limited

4323

32. The Hongkong and Shanghai Banking Corporation Limited

4324

33. Wakala Global Sukuk Berhad

4518

34. Wakala Global Sukuk Berhad

4519

 

Category 3 exemptions for open-ended CIS in corporate form whose shares are listed on The Stock Exchange of Hong Kong Limited

 Name

Stock codes

1. db x-trackers FTSE Vietnam ETF

3087

2. db x-trackers FTSE China 25 ETF

3007

3. db x-trackers MSCI Brazil TRN Index ETF

3048

4. db x-trackers MSCI EM Asia TRN Index ETF

3035

5. db x-trackers MSCI Emerging Markets TRN Index ETF

3009

6. db x-trackers MSCI Korea TRN Index ETF

2848

7. db x-trackers MSCI Pacific ex-Japan TRN Index ETF

3043

8. db x-trackers MSCI Russia Capped Index ETF

3027

9. db x-trackers MSCI Taiwan TRN Index ETF

3036

10. db x-trackers MSCI USA TRN Index ETF

3020

11. db x-trackers MSCI World TRN Index ETF

3019

12. db x-trackers S&P CNX NIFTY ETF

3015

13. db x-trackers US Dollar Cash ETF

3011

14. db x-trackers CSI300 Banks Index ETF

3016

15. db x-trackers CSI300 Consumer Discretionary Index ETF

3025

16. db x-trackers CSI300 Energy Index ETF

3017

17. db x-trackers CSI300 Financials Index ETF

2844

18. db x-trackers CSI300 Health Care Index ETF

3057

19. db x-trackers CSI300 Index ETF

3049

20. db x-trackers CSI300 Industrials Index ETF

3005

21. db x-trackers CSI300 Materials Index ETF

3062

22. db x-trackers CSI300 Real Estate Index ETF

2816

23. db x-trackers CSI300 Transportation Index ETF

3063

24. db x-trackers CSI300 Utilities Index ETF

3052

25. db x-trackers MSCI China TRN Index ETF

3055

26. db x-trackers MSCI India TRN Index ETF

3045

27. db x-trackers MSCI Indonesia TRN Index ETF

3099

28. db x-trackers MSCI Malaysia TRN Index ETF

3082

29. db x-trackers MSCI Thailand TRN Index ETF

3092

30. db x-trackers II Australian Dollar Cash ETF

3026

3.7349 s