Chapter Number and Title of Enactment
|
Chapter: | 571 | Title: | Securities and Futures Ordinance |  | |
: If this pencil mark appears at the beginning of a provision, that provision is subject to amendments that are already in operation but have not yet been incorporated in its text.
| Cap 571 | Long title | |
| Cap 571 Part I | Preliminary | |
| Cap 571 s 1 | Short title | |
| Cap 571 s 2 | Interpretation | |
| Cap 571 Part II | Securities and Futures Commission | |
| Cap 571 Part II Division 1 | The Commission | |
| Cap 571 s 3 | Securities and Futures Commission | |
| Cap 571 s 4 | Regulatory objectives of Commission | |
| Cap 571 s 5 | Functions and powers of Commission | |
| Cap 571 s 6 | General duties of Commission | |
| Cap 571 s 7 | Advisory Committee | |
| Cap 571 s 8 | Commission may establish committees | |
| Cap 571 s 9 | Staff of Commission | |
| Cap 571 s 10 | Delegation and sub-delegation of Commission's functions | |
| Cap 571 s 11 | Directions to Commission | |
| Cap 571 s 12 | Commission to furnish information | |
| Cap 571 Part II Division 2 | Accounting and financial arrangements | |
| Cap 571 s 13 | Financial year and estimates | |
| Cap 571 s 14 | Appropriation | |
| Cap 571 s 15 | Accounts and annual report | |
| Cap 571 s 16 | Auditors and audit | |
| Cap 571 s 17 | Investment of funds | |
| Cap 571 Part III | EXCHANGE COMPANIES, CLEARING HOUSES, EXCHANGE CONTROLLERS, INVESTOR COMPENSATION COMPANIES AND AUTOMATED TRADING SERVICES | |
| Cap 571 Part III Division 1 | Interpretation | |
| Cap 571 s 18 | Interpretation of Part III | |
| Cap 571 Part III Division 2 | Exchange companies | |
| Cap 571 s 19 | Recognition of exchange company | |
| Cap 571 s 20 | Transactions that may be conducted on recognized stock market and recognized futures market | |
| Cap 571 s 21 | Duties of recognized exchange company | |
| Cap 571 s 22 | Immunity, etc. | |
| Cap 571 s 23 | Rules by recognized exchange company | |
| Cap 571 s 24 | Approval of rules or amendments to rules of recognized exchange company | |
| Cap 571 s 25 | Transfer and resumption of functions of Commission | |
| Cap 571 s 26 | Appointment of chief executive of recognized exchange company requires approval of Commission | |
| Cap 571 s 27 | Production of records, etc. by recognized exchange company | |
| Cap 571 s 28 | Withdrawal of recognition of exchange company and direction to cease to provide facilities or services | |
| Cap 571 s 29 | Direction to cease to provide facilities or services in emergencies | |
| Cap 571 s 30 | Contravention of notice constitutes offence | |
| Cap 571 s 31 | Prevention of entry into closed trading markets | |
| Cap 571 s 32 | Publication of directions | |
| Cap 571 s 33 | Appeals | |
| Cap 571 s 34 | Restriction on use of titles relating to exchanges, markets, etc. | |
| Cap 571 s 35 | Contract limits and reportable open position | |
| Cap 571 s 36 | Rules by Commission | |
| Cap 571 Part III Division 3 | Clearing houses | |
| Cap 571 s 37 | Recognition of clearing house | |
| Cap 571 s 38 | Duties of recognized clearing house | |
| Cap 571 s 39 | Immunity, etc. | |
| Cap 571 s 40 | Rules by recognized clearing houses | |
| Cap 571 s 41 | Approval of rules or amendments to rules of recognized clearing house | |
| Cap 571 s 42 | Production of records, etc. by recognized clearing house | |
| Cap 571 s 43 | Withdrawal of recognition of clearing house and direction to cease to provide facilities | |
| Cap 571 s 44 | Appeals | |
| Cap 571 s 45 | Proceedings of recognized clearing house take precedence over law of insolvency | |
| Cap 571 s 46 | Supplementary provisions as to default proceedings | |
| Cap 571 s 47 | Duty to report on completion of default proceedings | |
| Cap 571 s 48 | Net sum payable on completion of default proceedings | |
| Cap 571 s 49 | Disclaimer of property, rescission of contracts, etc. | |
| Cap 571 s 50 | Adjustment of prior transactions | |
| Cap 571 s 51 | Right of relevant office-holder to recover certain amounts arising from certain transactions | |
| Cap 571 s 52 | Application of market collateral not affected by certain other interests, etc. | |
| Cap 571 s 53 | Enforcement of judgments over property subject to market charge, etc. | |
| Cap 571 s 54 | Law of insolvency in other jurisdictions | |
| Cap 571 s 55 | Clearing participant to be party to certain transactions as principal | |
| Cap 571 s 56 | Property deposited with recognized clearing house | |
| Cap 571 s 57 | Preservation of rights, etc. | |
| Cap 571 s 58 | Amendment of Schedule 3 | |
| Cap 571 Part III Division 4 | Exchange controllers | |
| Cap 571 s 59 | Recognition of exchange controller | |
| Cap 571 s 60 | Interest of recognized exchange controller in recognized exchange company or recognized clearing house cannot be increased or decreased except with approval of Commission | |
| Cap 571 s 61 | Person not to become minority controller of exchange controller, etc. without approval of Commission | |
| Cap 571 s 62 | Exemption from section 59(1) and revocation of exemption | |
| Cap 571 s 63 | Duties of recognized exchange controller | |
| Cap 571 s 64 | Immunity, etc. | |
| Cap 571 s 65 | Establishment and functions of Risk Management Committee | |
| Cap 571 s 66 | Rules by recognized exchange controllers | |
| Cap 571 s 67 | Approval of rules or amendments to rules of recognized exchange controller | |
| Cap 571 s 68 | Transfer and resumption of function of the Commission | |
| Cap 571 s 69 | Chairman of recognized exchange controller | |
| Cap 571 s 70 | Appointment of chief executive or chief operating officer of recognized exchange controller requires approval of Commission | |
| Cap 571 s 71 | Production of records, etc. by recognized exchange controller | |
| Cap 571 s 72 | Withdrawal of recognition of exchange controller | |
| Cap 571 s 73 | Appeals | |
| Cap 571 s 74 | Provisions applicable where recognized exchange controller, etc. seeks to be listed corporation | |
| Cap 571 s 75 | Commission may give directions to recognized exchange controller where it is satisfied that conflict of interest exists, etc. | |
| Cap 571 s 76 | Fees to be approved by Commission | |
| Cap 571 s 77 | Financial Secretary may appoint not more than 8 persons to board of directors of HKEC | |
| Cap 571 s 78 | Amendment of Schedule 3 | |
| Cap 571 Part III Division 5 | Investor compensation companies | |
| Cap 571 s 79 | Recognition of investor compensation company | |
| Cap 571 s 80 | Transfer and resumption of functions of Commission | |
| Cap 571 s 81 | Immunity, etc | |
| Cap 571 s 82 | Rules by recognized investor compensation company | |
| Cap 571 s 83 | Approval of rules or amendments to rules of recognized investor compensation companies | |
| Cap 571 s 84 | Production of records, etc. by recognized investor compensation company | |
| Cap 571 s 85 | Withdrawal of recognition of investor compensation company | |
| Cap 571 s 86 | Appeals | |
| Cap 571 s 87 | Subrogation of recognized investor compensation company to rights, etc. of claimant on payment from compensation fund | |
| Cap 571 s 88 | Financial statements of a recognized investor compensation company | |
| Cap 571 s 89 | Employees of and delegations by a recognized investor compensation company | |
| Cap 571 s 90 | Further activities of recognized investor compensation company | |
| Cap 571 Part III Division 6 | General-Exchange companies, clearing houses, exchange controllers and investor compensation companies | |
| Cap 571 s 91 | Supply of information | |
| Cap 571 s 92 | Additional powers of Commission-restriction notices | |
| Cap 571 s 93 | Additional powers of Commission-suspension orders | |
| Cap 571 s 94 | Application of Companies Ordinance | |
| Cap 571 Part III Division 7 | Automated trading services | |
| Cap 571 s 95 | Authorization for providing automated trading services | |
| Cap 571 s 96 | Application for authorization | |
| Cap 571 s 97 | Conditions for authorization | |
| Cap 571 s 98 | Withdrawal of authorization | |
| Cap 571 s 99 | Commission to maintain register of authorized automated trading services | |
| Cap 571 s 100 | Rules by Commission | |
| Cap 571 s 101 | Providing automated trading services without authorization | |
| Cap 571 Part IV | Offers of Investments | |
| Cap 571 Part IV Division 1 | Interpretation | |
| Cap 571 s 102 | Interpretation of Part IV | |
| Cap 571 Part IV Division 2 | Regulation of offers of investments, etc. | |
| Cap 571 s 103 | Offence to issue advertisements, invitations or documents relating to investments in certain cases | |
| Cap 571 s 104 | Commission may authorize collective investment schemes | |
| Cap 571 s 104A | Commission may authorize structured products | |
| Cap 571 s 105 | Commission may authorize issue of advertisements, invitations or documents | |
| Cap 571 s 106 | Withdrawal of authorization under section 104, 104A or 105, etc.* | |
| Cap 571 s 107 | Offence to fraudulently or recklessly induce others to invest money | |
| Cap 571 s 108 | Civil liability for inducing others to invest money in certain cases | |
| Cap 571 s 109 | Offence to issue advertisements relating to carrying on of regulated activities, etc. | |
| Cap 571 Part IV Division 3 | Miscellaneous | |
| Cap 571 s 110 | Submission of information to Commission | |
| Cap 571 s 111 | Service of notices, etc. on approved persons | |
| Cap 571 s 112 | Amendment of Schedule 4 | |
| Cap 571 Part V | Licensing and Registration | |
| Cap 571 s 113 | Interpretation of Part V | |
| Cap 571 s 114 | Restriction on carrying on business in regulated activities, etc. | |
| Cap 571 s 115 | Application of section 114 in relation to conduct or activities outside Hong Kong | |
| Cap 571 s 116 | Corporations to be licensed for carrying on regulated activities | |
| Cap 571 s 117 | Grant of temporary licences to corporations for carrying on regulated activities | |
| Cap 571 s 118 | Licensing conditions in certain cases | |
| Cap 571 s 119 | Registered institutions | |
| Cap 571 s 120 | Representatives to be licensed | |
| Cap 571 s 121 | Temporary licences for representatives | |
| Cap 571 s 122 | Approval and transfer of accreditation | |
| Cap 571 s 123 | Commission to be notified, etc. if licensed representative ceases to act for principal | |
| Cap 571 s 124 | Duplicate licence, etc. | |
| Cap 571 s 125 | Requirement for executive officers | |
| Cap 571 s 126 | Approval of responsible officers | |
| Cap 571 s 127 | Variation of regulated activity specified in licence or certificate of registration | |
| Cap 571 s 128 | Applicant to provide information | |
| Cap 571 s 129 | Determination of "fit and proper" | |
| Cap 571 s 130 | Suitability of premises for keeping records or documents | |
| Cap 571 s 131 | Restriction on substantial shareholding, etc. | |
| Cap 571 s 132 | Approval to become or continue to be substantial shareholder | |
| Cap 571 s 133 | Commission's power to give directions | |
| Cap 571 s 134 | Modification or waiver of requirements | |
| Cap 571 s 135 | Events to be reported by licensed persons and registered institutions | |
| Cap 571 s 136 | Commission to maintain register of licensed persons and registered institutions | |
| Cap 571 s 137 | Publication of names of licensed persons and registered institutions | |
| Cap 571 s 138 | Annual fee and return | |
| Cap 571 s 139 | Prohibition of use of certain titles | |
| Cap 571 s 140 | Procedural requirements | |
| Cap 571 s 141 | Service of notices, etc. on licensed persons | |
| Cap 571 s 142 | Amendment of Schedule 5 | |
| Cap 571 s 143 | Amendment of Schedule 6 | |
| Cap 571 Part VI | CAPITAL REQUIREMENTS, CLIENT ASSETS, RECORDS AND AUDIT RELATING TO INTERMEDIARIES | |
| Cap 571 Part VI Division 1 | Interpretation | |
| Cap 571 s 144 | Interpretation of Part VI | |
| Cap 571 Part VI Division 2 | Capital requirements | |
| Cap 571 s 145 | Financial resources of licensed corporations | |
| Cap 571 s 146 | Failure to comply with financial resources rules | |
| Cap 571 s 147 | Monitoring compliance with financial resources rules | |
| Cap 571 Part VI Division 3 | Client assets | |
| Cap 571 s 148 | Client securities and collateral held by intermediaries and their associated entities | |
| Cap 571 s 149 | Client money held by licensed corporations and their associated entities | |
| Cap 571 s 150 | Claims and liens not affected | |
| Cap 571 Part VI Division 4 | Records | |
| Cap 571 s 151 | Keeping of accounts and records by intermediaries and their associated entities | |
| Cap 571 s 152 | Provision of contract notes, receipts, statements of account and notifications by intermediaries and their associated entities | |
| Cap 571 Part VI Division 5 | Audit | |
| Cap 571 s 153 | Auditor to be appointed by licensed corporations and associated entities of intermediaries | |
| Cap 571 s 154 | Notification of proposed change of auditors by licensed corporations and associated entities of intermediaries | |
| Cap 571 s 155 | Notification of end of financial year by licensed corporations and associated entities of intermediaries, etc. | |
| Cap 571 s 156 | Audited accounts, etc. to be submitted by licensed corporations and associated entities of intermediaries | |
| Cap 571 s 157 | Auditors of licensed corporations or associated entities of intermediaries to lodge report with Commission, etc. in certain cases | |
| Cap 571 s 158 | Immunity in respect of communication with Commission, etc. by auditors of licensed corporations or associated entities of intermediaries | |
| Cap 571 s 159 | Power of Commission to appoint auditors for licensed corporations and their associated entities | |
| Cap 571 s 160 | Power of Commission to appoint auditors for licensed corporations and their associated entities on application | |
| Cap 571 s 161 | Auditors appointed under section 159 or 160 to report to Commission | |
| Cap 571 s 162 | Powers of auditors appointed under section 159 or 160 | |
| Cap 571 s 163 | Offence to destroy, conceal, or alter accounts, records or documents, etc. | |
| Cap 571 Part VI Division 6 | Miscellaneous | |
| Cap 571 s 164 | Restriction on receiving or holding of client assets | |
| Cap 571 s 165 | Associated entities | |
| Cap 571 s 166 | Use of incriminating evidence in proceedings | |
| Cap 571 Part VII | BUSINESS CONDUCT, ETC. OF INTERMEDIARIES | |
| Cap 571 Part VII Division 1 | Interpretation | |
| Cap 571 s 167 | Interpretation of Part VII | |
| Cap 571 Part VII Division 2 | Business conduct | |
| Cap 571 s 168 | Business conduct of intermediaries and their representatives | |
| Cap 571 s 169 | Codes for business conduct of intermediaries and their representatives | |
| Cap 571 Part VII Division 3 | Restriction on short selling, etc. | |
| Cap 571 s 170 | Short selling restricted | |
| Cap 571 s 171 | Requirements to confirm short selling order | |
| Cap 571 s 172 | Requirements to disclose short sales | |
| Cap 571 Part VII Division 4 | Other requirements | |
| Cap 571 s 173 | Requirements for options trading | |
| Cap 571 s 174 | Certain agreements not to be made during unsolicited calls | |
| Cap 571 s 175 | Requirements for offers by intermediaries or representatives for Type 1, Type 4 or Type 6 regulated activity | |
| Cap 571 s 176 | Certain representations prohibited | |
| Cap 571 Part VII Division 5 | Miscellaneous | |
| Cap 571 s 177 | Amendment of Schedule 7 | |
| Cap 571 Part VIII | Supervision and Investigations | |
| Cap 571 Part VIII Division 1 | Interpretation | |
| Cap 571 s 178 | Interpretation of Part VIII | |
| Cap 571 Part VIII Division 2 | Powers to require information, etc. | |
| Cap 571 s 179 | Power to require production of records and documents concerning listed corporations, etc. | |
| Cap 571 s 180 | Supervision of intermediaries and their associated entities | |
| Cap 571 s 181 | Information relating to transactions | |
| Cap 571 Part VIII Division 3 | Powers of investigations | |
| Cap 571 s 182 | Investigations | |
| Cap 571 s 183 | Conduct of investigations | |
| Cap 571 s 184 | Offences in relation to investigations | |
| Cap 571 Part VIII Division 4 | Miscellaneous | |
| Cap 571 s 185 | Application to Court of First Instance relating to non-compliance with requirements under section 179, 180, 181 or 183 | |
| Cap 571 s 186 | Assistance to regulators outside Hong Kong | |
| Cap 571 s 187 | Use of incriminating evidence in proceedings | |
| Cap 571 s 188 | Lien claimed on records or documents | |
| Cap 571 s 189 | Production of information in information systems, etc. | |
| Cap 571 s 190 | Inspection of records or documents seized, etc. | |
| Cap 571 s 191 | Magistrate's warrants | |
| Cap 571 s 192 | Destruction of documents, etc. | |
| Cap 571 Part IX | Discipline, etc. | |
| Cap 571 Part IX Division 1 | Interpretation | |
| Cap 571 s 193 | Interpretation of Part IX | |
| Cap 571 Part IX Division 2 | Discipline, etc. | |
| Cap 571 s 194 | Disciplinary action in respect of licensed persons, etc. | |
| Cap 571 s 195 | Other circumstances for disciplinary actions in respect of licensed persons, etc. | |
| Cap 571 s 196 | Disciplinary action in respect of registered institutions, etc. | |
| Cap 571 s 197 | Other circumstances for disciplinary action in respect of registered institutions, etc. | |
| Cap 571 Part IX Division 3 | Miscellaneous | |
| Cap 571 s 198 | Procedural requirements in respect of exercise of powers under Part IX | |
| Cap 571 s 199 | Guidelines for performance of functions under section 194(2) or 196(2) | |
| Cap 571 s 200 | Effect of suspension under Part IX | |
| Cap 571 s 201 | General provisions relating to exercise of powers under Part IX | |
| Cap 571 s 202 | Requirement to transfer records upon revocation or suspension of licence or registration | |
| Cap 571 s 203 | Permission to carry on business operations upon revocation or suspension of licence or registration | |
| Cap 571 Part X | Powers of Intervention and Proceedings | |
| Cap 571 Part X Division 1 | Powers of intervention | |
| Cap 571 s 204 | Restriction of business | |
| Cap 571 s 205 | Restriction on dealing with property | |
| Cap 571 s 206 | Maintenance of property | |
| Cap 571 s 207 | Imposition of prohibition or requirement under section 204, 205 or 206 | |
| Cap 571 s 208 | Withdrawal, substitution or variation of prohibitions or requirements under section 204, 205 or 206 | |
| Cap 571 s 209 | General provisions relating to sections 204, 205, 206 and 208 | |
| Cap 571 s 210 | Cases of revocation or suspension of licensed corporations' licences | |
| Cap 571 s 211 | Application to Court of First Instance relating to non-compliance with prohibitions or requirements under section 204, 205, 206 or 208 | |
| Cap 571 Part X Division 2 | Other powers and proceedings | |
| Cap 571 s 212 | Winding-up orders and bankruptcy orders | |
| Cap 571 s 213 | Injunctions and other orders | |
| Cap 571 s 214 | Remedies in cases of unfair prejudice, etc. to interests of members of listed corporations, etc. | |
| Cap 571 Part XI | SECURITIES AND FUTURES APPEALS TRIBUNAL | |
| Cap 571 Part XI Division 1 | Interpretation | |
| Cap 571 s 215 | Interpretation of Part XI | |
| Cap 571 Part XI Division 2 | Securities and Futures Appeals Tribunal | |
| Cap 571 s 216 | Securities and Futures Appeals Tribunal | |
| Cap 571 s 217 | Applications for review of specified decisions | |
| Cap 571 s 218 | Proceedings before Tribunal | |
| Cap 571 s 219 | Powers of Tribunal | |
| Cap 571 s 220 | Use of incriminating evidence required by Tribunal | |
| Cap 571 s 221 | Contempt dealt with by Tribunal | |
| Cap 571 s 222 | Privileged information | |
| Cap 571 s 223 | Costs | |
| Cap 571 s 224 | Notification of Tribunal determinations | |
| Cap 571 s 225 | Form and proof of orders of Tribunal | |
| Cap 571 s 226 | Orders of Tribunal may be registered in Court of First Instance | |
| Cap 571 s 227 | Applications for stay of execution of specified decisions | |
| Cap 571 s 228 | Applications for stay of execution of decisions of Tribunal | |
| Cap 571 Part XI Division 3 | Appeals | |
| Cap 571 s 229 | Appeal to Court of Appeal | |
| Cap 571 s 230 | No stay of execution on appeal | |
| Cap 571 s 231 | No other right of appeal | |
| Cap 571 Part XI Division 4 | Miscellaneous | |
| Cap 571 s 232 | Time when specified decisions to take effect | |
| Cap 571 s 233 | Rules by Chief Justice | |
| Cap 571 s 234 | Amendment of Parts 2 and 3 of Schedule 8 | |
| Cap 571 Part XII | INVESTOR COMPENSATION | |
| Cap 571 s 235 | Interpretation of Part XII | |
| Cap 571 s 236 | Establishment of compensation fund | |
| Cap 571 s 237 | Money constituting the compensation fund | |
| Cap 571 s 238 | Management of compensation fund | |
| Cap 571 s 239 | Money to be kept in account | |
| Cap 571 s 240 | Accounts of compensation fund | |
| Cap 571 s 241 | Investment of moneys | |
| Cap 571 s 242 | Payments out of the compensation fund | |
| Cap 571 s 243 | Subrogation of the Commission to rights, etc. of claimant on payment from compensation fund | |
| Cap 571 s 244 | Rules by Chief Executive in Council and Commission | |
| Cap 571 Part XIII | Market Misconduct Tribunal | |
| Cap 571 Part XIII Division 1 | Interpretation | |
| Cap 571 s 245 | Interpretation of Part XIII | |
| Cap 571 s 246 | Interest in securities (insider dealing) | |
| Cap 571 s 247 | Connected with a corporation (insider dealing) | |
| Cap 571 s 248 | Connected with a corporation-possession of inside information obtained in privileged capacity (insider dealing)* | |
| Cap 571 s 249 | Dealing in listed securities or their derivatives (insider dealing) | |
| Cap 571 s 250 | Interest in securities and beneficial ownership, etc. (market misconduct other than insider dealing) | |
| Cap 571 Part XIII Division 2 | Market Misconduct Tribunal | |
| Cap 571 s 251 | Market Misconduct Tribunal | |
| Cap 571 s 252 | Market misconduct proceedings | |
| Cap 571 s 252A | Consent of Secretary for Justice for market misconduct proceedings | |
| Cap 571 s 253 | Powers of Tribunal | |
| Cap 571 s 254 | Further powers of Tribunal concerning evidence | |
| Cap 571 s 255 | Use of evidence received for purposes of market misconduct proceedings | |
| Cap 571 s 256 | Privileged information | |
| Cap 571 s 257 | Orders, etc. of Tribunal | |
| Cap 571 s 258 | Further orders in respect of officers of corporation | |
| Cap 571 s 259 | Interest on moneys payable under order referred to in section 257(1)(d) | |
| Cap 571 s 260 | Costs | |
| Cap 571 s 261 | Contempt dealt with by Tribunal | |
| Cap 571 s 262 | Report of Tribunal | |
| Cap 571 s 263 | Form and proof of orders of Tribunal | |
| Cap 571 s 264 | Orders of Tribunal may be registered in Court of First Instance | |
| Cap 571 s 265 | Applications for stay of execution of orders of Tribunal under section 257, 258, 259 or 260 | |
| Cap 571 Part XIII Division 3 | Appeals, etc. | |
| Cap 571 s 266 | Appeal to Court of Appeal | |
| Cap 571 s 267 | Powers of Court of Appeal on appeal | |
| Cap 571 s 268 | No stay of execution on appeal | |
| Cap 571 s 269 | Rules by Chief Justice | |
| Cap 571 Part XIII Division 4 | Insider dealing | |
| Cap 571 s 270 | Insider dealing | |
| Cap 571 s 271 | Insider dealing-certain persons not to be regarded as having engaged in market misconduct | |
| Cap 571 s 272 | Insider dealing-certain trustees and personal representatives not to be regarded as having engaged in market misconduct | |
| Cap 571 s 273 | Insider dealing-certain persons exercising right to subscribe for or acquire securities or derivatives not to be regarded as having engaged in market misconduct | |
| Cap 571 Part XIII Division 5 | Other market misconduct | |
| Cap 571 s 274 | False trading | |
| Cap 571 s 275 | Price rigging | |
| Cap 571 s 276 | Disclosure of information about prohibited transactions | |
| Cap 571 s 277 | Disclosure of false or misleading information inducing transactions | |
| Cap 571 s 278 | Stock market manipulation | |
| Cap 571 Part XIII Division 6 | Miscellaneous | |
| Cap 571 s 279 | Duty of officers of corporations | |
| Cap 571 s 280 | Transactions relating to market misconduct not void or voidable | |
| Cap 571 s 281 | Civil liability for market misconduct | |
| Cap 571 s 282 | Conduct not to constitute market misconduct | |
| Cap 571 s 283 | No further proceedings after Part XIV criminal proceedings | |
| Cap 571 s 284 | Market misconduct regarded as contravention of provisions of this Part | |
| Cap 571 Part XIV | Offences Relating to Dealings in Securities and Futures Contracts, etc. | |
| Cap 571 Part XIV Division 1 | Interpretation | |
| Cap 571 s 285 | Interpretation of Part XIV | |
| Cap 571 s 286 | Interest in securities (insider dealing offence) | |
| Cap 571 s 287 | Connected with a corporation (insider dealing offence) | |
| Cap 571 s 288 | Connected with a corporation-possession of inside information obtained in privileged capacity (insider dealing offence)* | |
| Cap 571 s 289 | Dealing in listed securities or their derivatives (insider dealing offence) | |
| Cap 571 s 290 | Interest in securities and beneficial ownership, etc. (market misconduct offences other than insider dealing offence) | |
| Cap 571 Part XIV Division 2 | Insider dealing offence | |
| Cap 571 s 291 | Offence of insider dealing | |
| Cap 571 s 292 | Insider dealing offence-general defences | |
| Cap 571 s 293 | Insider dealing offence-defences for certain trustees and personal representatives | |
| Cap 571 s 294 | Insider dealing offence-defences for certain persons exercising right to subscribe for or acquire securities or derivatives | |
| Cap 571 Part XIV Division 3 | Other market misconduct offences | |
| Cap 571 s 295 | Offence of false trading | |
| Cap 571 s 296 | Offence of price rigging | |
| Cap 571 s 297 | Offence of disclosure of information about prohibited transactions | |
| Cap 571 s 298 | Offence of disclosure of false or misleading information inducing transactions | |
| Cap 571 s 299 | Offence of stock market manipulation | |
| Cap 571 Part XIV Division 4 | Other offences | |
| Cap 571 s 300 | Offence involving fraudulent or deceptive devices, etc. in transactions in securities, futures contracts or leveraged foreign exchange trading | |
| Cap 571 s 301 | Offence of disclosure of false or misleading information inducing others to enter into leveraged foreign exchange contracts | |
| Cap 571 s 302 | Offence of falsely representing dealings in futures contracts on behalf of others, etc. | |
| Cap 571 Part XIV Division 5 | Miscellaneous | |
| Cap 571 s 303 | Penalties | |
| Cap 571 s 304 | Transactions relating to contravention of Divisions 2 to 4 not void or voidable | |
| Cap 571 s 305 | Civil liability for contravention of this Part | |
| Cap 571 s 306 | Conduct not to constitute offences | |
| Cap 571 s 307 | No further proceedings after Part XIII market misconduct proceedings | |
| Cap 571 Part XIVA | Disclosure of Inside Information | |
| Cap 571 Part XIVA Division 1 | Interpretation | |
| Cap 571 s 307A | Interpretation of Part XIVA | |
| Cap 571 Part XIVA Division 2 | Disclosure of Inside Information | |
| Cap 571 s 307B | Requirement for listed corporations to disclose inside information | |
| Cap 571 s 307C | Manner of disclosure | |
| Cap 571 s 307D | Exceptions to disclosure requirement | |
| Cap 571 s 307E | Waiver | |
| Cap 571 s 307F | Commission may make rules to prescribe circumstances in which disclosure requirement does not apply | |
| Cap 571 s 307G | Duty of officers of listed corporations | |
| Cap 571 Part XIVA Division 3 | Disclosure Proceedings in Market Misconduct Tribunal | |
| Cap 571 s 307H | Jurisdiction of Tribunal under this Part | |
| Cap 571 s 307I | Institution of disclosure proceedings | |
| Cap 571 s 307J | Object and conduct of disclosure proceedings | |
| Cap 571 s 307K | Right to be heard | |
| Cap 571 s 307L | Use of evidence received for purposes of disclosure proceedings | |
| Cap 571 s 307M | Privileged information | |
| Cap 571 s 307N | Orders of Tribunal | |
| Cap 571 s 307O | Notice and effect of orders of Tribunal | |
| Cap 571 s 307P | Costs | |
| Cap 571 s 307Q | Report of Tribunal | |
| Cap 571 s 307R | Form and proof of orders of Tribunal | |
| Cap 571 s 307S | Registration and filing of orders of Tribunal | |
| Cap 571 s 307T | Stay of execution of orders of Tribunal | |
| Cap 571 s 307U | Appeal to Court of Appeal | |
| Cap 571 s 307V | Powers of Court of Appeal on appeal | |
| Cap 571 s 307W | No stay of execution on appeal | |
| Cap 571 s 307X | Rules by Chief Justice | |
| Cap 571 Part XIVA Division 4 | Civil Liability for Breach of a Disclosure Requirement | |
| Cap 571 s 307Y | Interpretation and application | |
| Cap 571 s 307Z | Civil liability for breach of a disclosure requirement | |
| Cap 571 s 307ZA | Evidentiary provisions | |
| Cap 571 Part XV | Disclosure of Interests | |
| Cap 571 Part XV Division 1 | Preliminary | |
| Cap 571 s 308 | Interpretation of Part XV | |
| Cap 571 s 309 | Exemptions | |
| Cap 571 Part XV Division 2 | Disclosure of interests and short positions | |
| Cap 571 s 310 | Duty of disclosure: cases in which it may arise | |
| Cap 571 s 311 | Interests to be disclosed | |
| Cap 571 s 312 | Short positions to be disclosed | |
| Cap 571 s 313 | Circumstances in which duty of disclosure arises | |
| Cap 571 s 314 | Percentage level in relation to notifiable interests and short positions | |
| Cap 571 s 315 | Notifiable percentage level and specified percentage level | |
| Cap 571 s 316 | Notification of family and corporate interests and short positions | |
| Cap 571 s 317 | Agreement to acquire interests in particular listed corporation | |
| Cap 571 s 318 | Interests of parties to agreement | |
| Cap 571 s 319 | Duty of parties to agreement acting together to keep each other informed | |
| Cap 571 s 320 | Circumstances in which persons have interests in shares or short positions by attribution | |
| Cap 571 s 321 | Notification by agents | |
| Cap 571 Part XV Division 3 | Interests and short positions to be notified or disregarded | |
| Cap 571 s 322 | Interests and short positions to be taken into account for the purpose of notification | |
| Cap 571 s 323 | Interests and short positions to be disregarded for the purpose of notification | |
| Cap 571 Part XV Division 4 | Requirements for giving notification | |
| Cap 571 s 324 | Notification to be given | |
| Cap 571 s 325 | Time of notification | |
| Cap 571 s 326 | Particulars to be contained in notification | |
| Cap 571 s 327 | Duty to publish and notify Monetary Authority of information given under Division 4 | |
| Cap 571 s 328 | Offences for non-compliance with notification requirements | |
| Cap 571 Part XV Division 5 | Listed corporation's powers to investigate ownership | |
| Cap 571 s 329 | Power of listed corporation to investigate ownership of interests in its shares, etc. | |
| Cap 571 s 330 | Duty to notify relevant exchange company, Commission and Monetary Authority of information given under section 329 | |
| Cap 571 s 331 | Listed corporation to investigate ownership of interests in its shares, etc. on requisition by members | |
| Cap 571 s 332 | Listed corporation to report to members | |
| Cap 571 s 333 | Duty to deliver report prepared under section 332 to relevant exchange company, Commission and Monetary Authority | |
| Cap 571 s 334 | Offences for failure to provide information required by listed corporation | |
| Cap 571 s 335 | Inspection of reports | |
| Cap 571 Part XV Division 6 | Keeping of register | |
| Cap 571 s 336 | Register of interests in shares and short positions | |
| Cap 571 s 337 | Registration of interests and short positions disclosed under section 329 | |
| Cap 571 s 338 | Removal of entries from register | |
| Cap 571 s 339 | Otherwise, entries not to be removed from register | |
| Cap 571 s 340 | Inspection of register | |
| Cap 571 Part XV Division 7 | Disclosure of interests and short positions of directors and chief executives | |
| Cap 571 s 341 | Duty of disclosure by director and chief executive | |
| Cap 571 s 342 | Interests to be disclosed by director and chief executive | |
| Cap 571 s 343 | Short positions to be disclosed by director and chief executive | |
| Cap 571 s 344 | Notification of family and corporate interests and short positions by director and chief executive | |
| Cap 571 Part XV Division 8 | Interests and short positions to be notified by director and chief executive or disregarded | |
| Cap 571 s 345 | Interests and short positions to be taken into account for the purpose of notification by director and chief executive | |
| Cap 571 s 346 | Interests and short positions to be disregarded for the purpose of notification by director and chief executive | |
| Cap 571 Part XV Division 9 | Requirements for giving notification by director and chief executive | |
| Cap 571 s 347 | Notification to be given by director and chief executive | |
| Cap 571 s 348 | Time of notification by director and chief executive | |
| Cap 571 s 349 | Particulars to be contained in notification by director and chief executive | |
| Cap 571 s 350 | Duty to publish and notify Monetary Authority of information given under Division 9 | |
| Cap 571 s 351 | Offences for non-compliance with notification requirements by director and chief executive | |
| Cap 571 Part XV Division 10 | Keeping of register of directors' and chief executives' interests and short positions | |
| Cap 571 s 352 | Register of directors' and chief executives' interests and short positions | |
| Cap 571 s 353 | Removal of entries from register of directors' and chief executives' interests and short positions | |
| Cap 571 s 354 | Otherwise, entries not to be removed from register of directors' and chief executives' interests and short positions | |
| Cap 571 s 355 | Inspection of register of directors' and chief executives' interests and short positions | |
| Cap 571 Part XV Division 11 | Power to investigate listed corporation's ownership | |
| Cap 571 s 356 | Power to investigate ownership of listed corporation | |
| Cap 571 s 357 | Investigation of contraventions of sections 341 to 349 | |
| Cap 571 s 358 | Inspector's powers during investigation | |
| Cap 571 s 359 | Production of records and evidence to inspectors | |
| Cap 571 s 360 | Delegation of powers by inspectors | |
| Cap 571 s 361 | Obstruction of inspectors | |
| Cap 571 s 362 | Inspector's reports | |
| Cap 571 s 363 | Expenses of investigation of affairs of corporation | |
| Cap 571 s 364 | Power to obtain information as to those interested in shares, etc. | |
| Cap 571 s 365 | Privileged information | |
| Cap 571 Part XV Division 12 | Orders imposing restrictions on shares, etc. | |
| Cap 571 s 366 | Power of Court of First Instance to impose restrictions on shares, etc. in case of failure to provide information required by listed corporation | |
| Cap 571 s 367 | Power of Financial Secretary to impose restrictions on shares, etc. in case of conviction of offences for non-compliance of notification requirements | |
| Cap 571 s 368 | Power of Financial Secretary to impose restrictions on shares, etc. in connection with investigation | |
| Cap 571 s 369 | Consequence of order imposing restrictions | |
| Cap 571 s 370 | Offences for attempted evasion of restrictions | |
| Cap 571 s 371 | Relaxation and removal of restrictions | |
| Cap 571 s 372 | Further provisions on sale by court order of restricted shares, etc. | |
| Cap 571 Part XV Division 13 | Miscellaneous | |
| Cap 571 s 373 | Liability of members for offences by corporations | |
| Cap 571 s 374 | Method of giving notification and delivering report | |
| Cap 571 s 375 | Form of registers and indices | |
| Cap 571 s 376 | Regulations by Chief Executive in Council | |
| Cap 571 s 377 | Rules by Commission | |
| Cap 571 Part XVI | Miscellaneous | |
| Cap 571 Part XVI Division 1 | Secrecy, conflict of interests, and immunity | |
| Cap 571 s 378 | Preservation of secrecy, etc. | |
| Cap 571 s 379 | Avoidance of conflict of interests | |
| Cap 571 s 380 | Immunity | |
| Cap 571 s 381 | Immunity in respect of communication with Commission by auditors of listed corporations, etc. | |
| Cap 571 Part XVI Division 2 | General provisions regarding proceedings and offences | |
| Cap 571 s 382 | Obstruction | |
| Cap 571 s 383 | False or misleading representations in applications to Commission | |
| Cap 571 s 384 | Provision of false or misleading information | |
| Cap 571 s 385 | Power of Commission to intervene in proceedings | |
| Cap 571 s 386 | Proceedings not to be stayed | |
| Cap 571 s 387 | Standard of proof | |
| Cap 571 s 387A | Civil proceedings by Commission | |
| Cap 571 s 388 | Prosecution of certain offences by Commission | |
| Cap 571 s 389 | Limitation on commencement of proceedings | |
| Cap 571 s 390 | Liability of officers of corporations for offences by corporations, and of partners for offences by other partners | |
| Cap 571 s 391 | Civil liability for false or misleading public communications concerning securities and futures contracts | |
| Cap 571 Part XVI Division 3 | Power to make rules, and codes or guidelines, etc. | |
| Cap 571 s 392 | Financial Secretary to prescribe interests, etc. as securities, etc. | |
| Cap 571 s 393 | Financial Secretary to prescribe arrangements as collective investment schemes | |
| Cap 571 s 394 | Orders by Chief Executive in Council for levies | |
| Cap 571 s 395 | Rules by Chief Executive in Council for payment of fees | |
| Cap 571 s 396 | Reduction of levy | |
| Cap 571 s 397 | Rules by Commission | |
| Cap 571 s 398 | General provisions for rules by Commission | |
| Cap 571 s 399 | Codes or guidelines by Commission | |
| Cap 571 Part XVI Division 4 | Miscellaneous | |
| Cap 571 s 400 | Service of notices, etc. | |
| Cap 571 s 401 | Evidence regarding Commission's records or documents | |
| Cap 571 s 402 | General requirements for documents lodged with Commission | |
| Cap 571 s 403 | General provisions for approvals by Commission | |
| Cap 571 s 404 | Exclusions of provisions of Gambling Ordinance | |
| Cap 571 s 405 | Inland Revenue Ordinance not affected | |
| Cap 571 Part XVII | Repeals and Related Provisions | |
| Cap 571 s 406 | Repeals | |
| Cap 571 s 407 | Savings, transitional, consequential and related provisions, etc. | |
| Cap 571 s 408 | Provisions of Part XVII, etc. not to derogate from section 23 of Interpretation and General Clauses Ordinance | |
| Cap 571 s 409 | Amendment of Schedule 10 | |
| Cap 571 Sched 1 | Interpretation and General Provisions | |
| Cap 571 Sched 2 | Securities and Futures Commission | |
| Cap 571 Sched 3 | EXCHANGE COMPANIES, CLEARING HOUSES AND EXCHANGE CONTROLLERS | |
| Cap 571 Sched 4 | OFFERS OF INVESTMENTS | |
| Cap 571 Sched 5 | REGULATED ACTIVITIES | |
| Cap 571 Sched 6 | SPECIFIED TITLES | |
| Cap 571 Sched 7 | OFFERS BY INTERMEDIARIES OR REPRESENTATIVES FOR TYPE 1, TYPE 4 OR TYPE 6 REGULATED ACTIVITY UNDER SECTION 175 OF THIS ORDINANCE | |
| Cap 571 Sched 8 | SECURITIES AND FUTURES APPEALS TRIBUNAL | |
| Cap 571 Sched 9 | Market Misconduct Tribunal | |
| Cap 571 Sched 10 | Savings, Transitional, Consequential and Related Provisions, etc. |
Note: Please download Adobe Acrobat Reader
for viewing files in PDF format.