Chapter Number and Title of Enactment

Chapter:

571Title:Securities and Futures Ordinance

Download CAP 571 Securities and Futures Ordinance [format: PDF].

: 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.

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




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