Web27 Mar 2024 · In August 2024, the SFC issued consultation conclusions on proposals to introduce an investor identification regime (HKIDR) at trading level for the securities … Web3 Jun 2011 · 28 Mar 2024. (updated. 23 Dec 2024) Frequently Asked Questions on Guidelines on Online Distribution and Advisory Platforms and Paragraph 5.5 of the Code of Conduct. [Guidance provided in these FAQs may also be relevant to offline transactions] 16 Nov 2024. Frequently Asked Questions on paragraphs 8.3 and 10.2 of the Code of …
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Web14 Feb 2024 · The investor identification regime (HKIDR) and the OTC Securities Transaction Reporting Regime (OTCR) will be implemented in the securities market in Hong Kong, allowing the Securities and Futures Commission (SFC) to identify investors placing orders and conducting certain OTC securities transactions through intermediaries (e.g. … Web4 Feb 2024 · Accordingly, our Intermediaries Division plays an important role in the SFC's mission of strengthening the integrity and soundness of the Hong Kong securities and futures markets through our licensing and intermediaries supervision functions. The Intermediaries Division is structured to align the coverage teams of both the Licensing … dew to the fact
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Web24 May 2011 · Prior to the introduction of the 50 person test, it had been generally accepted that the acceptable number of placees for the purposes of the SFO (and its predecessor, the Protection of Investors Ordinance) was between 20 and 30, lower than the benchmark limit of 50 which had generally been accepted for private placements in relation to the CO. WebReminder of Investor Protection Measures . Further to the Circular Issued by the Securities and Futures Commission “ (“SFC”) on Reminder of important obligations to ensure … Web28 Apr 2016 · On 25 September 2014, the Securities and Futures Commission (SFC) published the Consultation Conclusions on the Proposed Amendments to the Professional Investor Regime and Further Consultation on the Client Agreement Requirements, where the SFC proposed measures to reform the existing Professional Investor (PI) regime and the … dewtopiatm 20% acid night treatment