Government notices

The table contains notices and other materials published by the SFC in the Government Gazette under various provisions of the Securities and Futures Ordinance (SFO). Gazettal began shortly before the commencement of the SFO in April 2003.

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Date Gazette No. Section No. and Description
31 Dec 2020 G.N. 7632/2020 Notice under s.209(3) of SFO refusing withdrawal of Restriction Notices against China Gather Wealth Financial Company Limited and Power Securities Company Limited under s.204 and s.205 of SFO
G.N. 7631/2020 Restriction Notice against CNI Securities Group Limited under s.204 and s.205 of SFO
24 Dec 2020 G.N. 7508/2020 Notice under ss.169 and 399 of SFO publishing amendments to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
4 Dec 2020 G.N. 7127/2020 Notice under rule 3(3) of Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules revoking designation of financial services provider and under rule 3(1) of Securities and Futures (OTC Derivative Transactions - Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules regarding designation of financial services providers
G.N. 7082/2020 Notice under s.399 of SFO publishing amendments to the Code on Real Estate Investment Trusts
6 Nov 2020 G.N. 6370/2020 Notice of Appointment of Members of Process Review Panel for the Securities and Futures Commission
11 Sep 2020 G.N. 5068/2020 Restriction Notice against Shenwan Hongyuan Securities (H.K.) Limited under s.204 and s.205 of SFO
G.N. 5067/2020 Notice under s112ZR of SFO publishing amendments to the Code on Open-Ended Fund Companies
21 Aug 2020 G.N. 4652/2020 Restriction Notice against Power Securities Company Limited under s.204 and s.205 of SFO
G.N. 4651/2020 Restriction Notice against China Gather Wealth Financial Company Limited under s.204 and s.205 of SFO
G.N. 4650/2020 Restriction Notice against Zhongcai Securities Limited under s.204 and s.205 of SFO together with Statement of Reasons
G.N. 4649/2020 Restriction Notice against Gary Cheng Securities Limited under s.204 and s.205 of SFO together with Statement of Reasons
14 Aug 2020 G.N. 4559/2020 Notice under s.402(1) of SFO specifying forms for the purpose of lodging claims for compensation from the Investor Compensation Fund pursuant to the Securities and Futures (Investor Compensation-Claims) Rules
10 Jul 2020 G.N. 3803/2020 Notice under s.216(3) of SFO regarding appointment of chairman of the Securities and Futures Appeals Tribunal
G.N. 3802/2020 Notice under s.251(3) of SFO regarding appointment of chairman of the Market Misconduct Tribunal
26 Jun 2020 G.N. 3463/2020 Notice under s.76(1) of Schedule 10 of SFO and s.52(9) of repealed SO declaring interest rate for deposit under s.52(1) & (1A) of repealed SO
G.N. 3462/2020 Notice under s.76(1) of Schedule 10 of SFO and s.33(8) of repealed CTO declaring interest rate for deposit under s.31 of repealed CTO
G.N. 3461/2020 Notice under s.240(9b) of SFO publishing audited financial statements of Investor Compensation Fund
G.N. 3460/2020 Notice under s.88(4) of SFO publishing the audited financial statements of Investor Compensation Company Limited
19 Jun 2020 G.N. 3284/2020 Notice under ss.169 and 399 of SFO and for the purposes of paragraph 50 of Part III of Schedule 10 to the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission publishing list of jurisdictions with comparable OTCD margin requirements and specified conditions
Showing 1 - 20 of 1748

Last update: 23 Jan 2020

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