Securities and futures ordinance insider dealing
18 Sep 2009 (a) Mr David Tsien Pak Cheong was culpable of insider dealing, contrary to section 270(1)(c) of the Securities and Futures Ordinance (SFO), Young Bik Fung confirmed that insider dealing as well as other market misconduct could be regulated under the 300 of the Securities and Futures Ordinance. 25 Apr 2018 The Securities and Futures Commission (SFC) has been proactive in utilising section 213 of the Securities and Futures Ordinance (Cap. (MMT) had found the defendant had engaged in insider dealing contrary to the SFO. The Securities and Futures Ordinance (“SFO”) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. “Market misconduct” as regulated under Parts XIII and XIV comprises 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false and misleading information inducing transactions and stock market
4 May 2017 motive” to insider dealing under section 271(3) of the Securities and Futures Ordinance (“SFO”) has been examined by the Court of Appeal.
21 Feb 2019 In so doing, the CFA held that the phrase “transaction involving securities” in s. 300 of the Securities and Futures Ordinance (SFO) is to be given 17 Jul 2008 of insider dealing under the Securities and Futures Ordinance (SFO) Ms Vicky Hung Lai Mei pleaded guilty to four counts of insider trading 13 Sep 2013 regulatory mechanism for insider dealing in Hong Kong, and critically analyses the 7 Pt XIVA, Securities and Futures Ordinance, Cap571. The Market Misconduct Tribunal is an independent body in Hong Kong which is established under the Securities and Futures Ordinance (Cap. Market misconduct includes insider dealing, false trading, price rigging, stock market Insider dealing – whether s.213(2)(b) engaged – whether consent order to be made of sums to be paid to counterparty – Securities and Futures Ordinance ( Cap. 16 May 2019 The violation occurred while he was a registered representative with SFC under the Securities and Futures Ordinance to carry on Type 1 (dealing 21 Nov 2018 (CFA) curtailed the ambit of the “innocent purpose defence” to insider dealing under s271(3) of the Securities and Futures Ordinance (SFO).
• Securities and Futures Ordinance, Cap. 571 (“SFO”) as from 1st April 2003, as amended by Securities and Futures (Amendment) Ordinance 2012 • dual civil and criminal enforcement systems in respect of all types of market misconduct including insider dealing • protection against double jeopardy.
22 Jun 2017 Securities and Futures Ordinance, Cap. 571 (“SFO”) as C.f. previous s.9(1) Securities (Insider Dealing) Ordinance: “…a person…who is in The savings, transitional and supplemental arrangements are set out in ss. 77 to 81 in Part 1 of Schedule 10 to the Securities and Futures Ordinance (Cap. 571).). 11 Jan 2019 The appeal focused on the defence to insider dealing under Section 271(3) of the Securities and Futures Ordinance (SFO), which is sometimes
2 May 2003 The Securities and Futures Ordinance (SFO) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII
3.3 Major rules under the Securities and Futures Ordinance that are applicable to RIs. 4. Regulatory requirements for providing automated trading services and other electronic customer assets;. • prohibition on insider dealing; and. 14 Aug 2015 the Securities and Futures Ordinance came into force in 2003. It concludes that prospectus misstatements, insider dealing, and price rigging. 18 Sep 2009 (a) Mr David Tsien Pak Cheong was culpable of insider dealing, contrary to section 270(1)(c) of the Securities and Futures Ordinance (SFO), Young Bik Fung confirmed that insider dealing as well as other market misconduct could be regulated under the 300 of the Securities and Futures Ordinance. 25 Apr 2018 The Securities and Futures Commission (SFC) has been proactive in utilising section 213 of the Securities and Futures Ordinance (Cap. (MMT) had found the defendant had engaged in insider dealing contrary to the SFO. The Securities and Futures Ordinance (“SFO”) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII and XIV respectively) in respect of all types of market misconduct. “Market misconduct” as regulated under Parts XIII and XIV comprises 6 offences: insider dealing, false trading, price rigging, disclosure of information about prohibited transactions, disclosure of false and misleading information inducing transactions and stock market
2 May 2003 The Securities and Futures Ordinance (SFO) which came into effect on 1 April 2003 establishes dual civil and criminal regimes (under Parts XIII
of market misconduct under the Securities and Futures Ordinance including below with some enforcement cases information: - insider dealing. - false trading.
Provision Content. Tick the provision(s) to be printed from TOC: Printing Tips: HTML printing: To print individual / selected provisions, please first tick the provision(s) to be printed from the TOC panel and then click . To print the whole chapter, please click at the bottom of the TOC panel and then click . An Ordinance to consolidate and amend the law relating to financial products, the securities and futures market and the securities and futures industry, the regulation of activities and other matters connected with financial products, the securities and futures market and the securities and futures industry, the protection of investors, and other