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關於 securities and futures ordinance ，我們在網路上蒐集到這些相關的討論、資訊與評價

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在securities and futures ordinance這個產品中，有2篇Facebook貼文，粉絲數超過4萬的網紅千頌C，也在其Facebook貼文中提到， SFC出咗聲明了，留意番呢兩段 //False trading is an offence under the market misconduct provisions of the Securities and Futures Ordinance (SFO). As the securitie...

securities and futures ordinance 在 千頌C Facebook 的最佳解答

千頌C By 千頌C

2020-09-11 19:29:48 有 4,436 人按讚
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SFC出咗聲明了，留意番呢兩段

//False trading is an offence under the market misconduct provisions of the Securities and Futures Ordinance (SFO). As the securities markets regulator in Hong Kong with a responsibility to investigate and enforce against breaches of the SFO, the SFC considers that it is in the public interest for it to clarify its position in relation to this matter.//

頌C翻譯機：
false trading係受證券及期貨條例監管，而呢條例嘅調查機構係我，唔係你班差佬。你唔識又踩過界，搞到我要出嚟澄清。

//Investigation into market misconduct offences, such as false trading, often involves complex questions of law and evidence, as well as the need for expert evaluation in relation to securities market functioning, trading methods and investor behaviour. The SFC is ready to respond to any requests made by the Police under the MOU for this type of assistance in relation to any potential offences under the SFO.//

頌C翻譯機：
調查呢類案，往往涉複雜搜證問題，特別係需要專家作出判斷！我就隨時ready幫你哋嘅，唔識你哋就問咗先，唔好衝出嚟柒。

Btw，英文⋯好長⋯太深⋯Popo唔識睇

【1951更新，有官方中文版啦】
https://www.sfc.hk/edistributionWeb/gateway/TC/news-and-announcements/news/doc?refNo=20PR88

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千頌C

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我係【收市閒情】主理人千頌C。講完。
【收市閒情】係一個收市後先會於蘋果財經「即時新聞」出現，以吹水為本?
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securities and futures ordinance 在 渾水財經Channel Facebook 的最佳解答

渾水財經Channel By 渾水財經Channel

2017-10-08 11:45:00 有 66 人按讚
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【畢打街閒人】金融監管底子裡的概念（渾水）

（原文刊於壹週刊印刷版，逢周三出）

市場傳聞港交所將會就股票實名制進行諮詢，金融界的朋友一聽到又有新監管措施就大感頭痛。頭痛一：股票實名制破壞私隱，而且減少市場流動資金的吸引力，簡單來講，就係飯碗問題。頭痛二：又諮詢，又有新例，剛剛才集了民氣推翻了「上市改革」，現在又來，好攰啊喂。

股票實名制之外，剛好今年九月，港交所又出了兩份新的諮詢文件，分別講明會加快除牌機制，以及限制新股印發。莫講話一般人不會花時間看諮詢文件，就連學者、股評人、金融圈中人都鮮有拿起一整份諮詢文件細閱當中條文。以限權正義之名推監管措施，往往很容易引起輿論支持和社會共鳴。正義啊，多少人借你之名做惡事啊？

以最新的限發新股諮詢文件為例，經濟右翼會反對，因為限發新股破壞營商自由。電視劇《大時代》的股票必勝法第一句都講過：「股市原意，乃讓集資投資有其地。」如果上市公司，上市而不能按章集資，那又是什麼玩法？除了股權被攤薄逾25%以上的集資要受限制外，今次限發新股其中一個重點是大比例發行新股要小股東授權。這項建議間接令《公司條例》（Company Ordinance）和上市規則（Listing rules）產生衝突。香港現時上市公司不一定以香港為註冊地，好比滙豐（5）、長和（1），其註冊地也會遷移改變，常見註冊地有開曼群島、英屬處女島、百慕達等。重點在於：不論在何管轄權（jurisdiction），一般大比例發行新股這類議案都要通過股東大會，而股東大會大多數按「少數服從多數」，除非公司章程（article of association）另有描述。

如果印發新股要小股東同意才能進行，那就違反世界通用的《公司條例》原則，違反一般典章文明契約原則。要知道，港交所的諮詢的本質是修改上市規則，如果跟公司法有衝突，那到底Ordinance大，還是rules比較大，這倒是有得爭論。

以現時的監管方向，這一種「Ordinance vs rules」的爭議近年愈來愈常見，港交所慣以「現金公司」（上市規則第14.82）限制新股配發，例如創業板公司同景新能源（8326）（前稱JC Group）在二○一五年11月30日宣布，公司已在周年股東大會通過一般性授權，將據股東會的一般授權發行新股。「一般性授權」是股東大會議案，屬Ordinance類的東西，最後公司被聯交所以「現金公司」否決了，「現金公司」就是上市規則，rules類的東西了。

聯交所限發新股的方式相對文明，證監會則比較過分。例如根據亞洲能源物流（351）今年5月公布，公司接獲證監會通知，反對讓根據配售事項將予發行及配發的股份上市。由於有關通知於新股東大會開始前數分鐘才傳達至公司，主席並無機會仔細閱讀，並向出席的股東提供完整的資料。雖然公司股東大會大多數表示支持議案，但因證監會的阻礙，新股卻無法完成配發。問題在於，亞洲能源由公布配股、印發通函、如期舉行股東大會等都是公開資料，按照現時「雙重存檔」制度，證監也知道公司每一步行為，然而證監會卻沒有預早出手，只有股東大會前數分鐘last minute才出手禁止，理由不充分，手段方式也更不合理。

現存監管金融市場的機構有「雪糕」（即廉政公署）、「建行」（商業罪惡調查科，英譯：CCB，跟建設銀行英文同音）、證監會和港交所。按一般法律常識去講，有能力提檢控的機構自然最有say，不過香港是法治社會，也講權力制衡（check and balance）。上市公司受多方條例限制，除了上面提過的公司條例和上市規則之外，聯交所有時也很狡猾，間中會出指引信（guidance letter）要求上市公司跟進，明明是guidance，本質上卻是強制性（compulsory），間接繞了圈子，避了修改上市規則的麻煩，直接在上市規則之上以指引方式加大己方權力，例如港交所限印200%紅股，權力本質就是來自指引信。

證監會的權力來源，常見的則來自《證券及期貨條例》（Securities & Futures Ordinance, SFO）和《公司收購、合併及股份回購守則》（Codes on Takeovers and Mergers and Share Buy-backs），SFO是ordinance，明顯有更強的約束力，但另一份只是守則（codes），到底權力又有幾大？很難說，因為這個概念本質問題，TVB正在跟證監對簿公堂，內容是關於公司公布回購後出了點事，還應否按《公司收購、合併及股份回購守則》的條文責任提出全購。今次案件內容太複雜，所以按下不表了，有空再談。

http://nextplus.nextmedia.com/news/latest/20171005/552636

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曾少不更事，做過投行資產管理部和三年上市公司執行董事，當時為全港最年輕的90後上市公司董事。 現在做專業投資者，搞基金、炒股票、處理創投項目、做公司顧問和寫點字，算是有點成績。 2020年8月曾低位撈中壹傳媒(282.HK)，其後公司股價2日內大升24倍，因而被Financial Times、Bloomberg、Reuters、Nikkei、Telegraph、Global Times等外媒、中港台媒體廣泛追訪報導。所有利潤已捐了給香港中文大學同學 金融暢銷著作《暗黑金融學》、《財經演員的自我修養》、《窮巴打富巴打》和《殼股財技》作家，講解香港股票上市、融資、炒作財技和潛規則。大學讀經濟，後來讀哲學，旁通一點歷史和社會科學。 想知多點金融投資，美股港股的學問，可以訂閱我《金融經濟精神食糧》 公開1000萬美股實戰倉操作，每日專業財金分析文章，每日金融財經Podcast，每週解答觀眾問題，100萬港股模擬倉投資部署，幫你補補腦 https://prime.fortuneinsight.com/web/muddydirtywater 每日金融Podcast、深度金融文章、外聘國際關係專家文章內容、特選國際刊物分析、每月閲讀企劃、平民化A I大數據分析和自己人群組互動，盡在Patreon: https://www.patreon.com/muddywaterfinance 我最新營運的網上書商店試業中 - 渾水書齋 http://gmart.girlsmood.com/web/store/muddydirtywater/ 對抗霸權，比自己一個更自由嘅選擇，立即加入Mewe一齊傾偈。 Muddy Water渾水財經Channel https://mewe.com/p/%25E6%25B8%25BE%25E6%25B0%25B4%25E8%25B2%25A1%25E7%25B6%2593channel 渾水財經Channel x Fortune Insight 獨家眾籌出版《港斃。港完：國際金融中心崩壞史》率先網上預訂：https://muddywater.fortuneinsight.com/web/ 你的支持，將會在香港金融史上烙下痕跡。 【對抗霸權】Mewe創作人互助計劃 https://mewe.com/p/%E6%B8%BE%E6%B0%B4%E8%B2%A1%E7%B6%93channel/show/5ffd7fee136ff678cbfd8190 請大家多啲分享，將我呢一個計劃推廣出去 免責聲明： 渾水清楚明示本專頁的內容概不構成任何投資意見或購買任何股票及金融產品的特定推薦意見，本專頁的內容亦並非就任何個別投資者的特定投資目標、財務狀況及個別需要而編製。投資者不應只按本專頁的內容進行投資。在作出任何投資決定前，投資者應考慮產品的特點、其本身的投資目標、可承受的風險程度及其他因素，並適當地尋求獨立的財務及專業意見。
我投資，我寫，故我在。
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securities and futures ordinance 在 Securities and Futures Ordinance (Cap. 571) Contents - Hong ... 的相關結果

Financial Secretary may appoint not more than 8 persons to board of directors of HKEC. 3-154. Last updated date. 1.11.2021. Securities and Futures Ordinance. ... <看更多>

securities and futures ordinance 在 SECURITIES AND FUTURES ORDINANCE 的相關結果

securities, futures contracts or leveraged foreign exchange trading . ... section 3 of that Ordinance as the Securities and Futures Commission shall. ... <看更多>

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#1. Securities and Futures Ordinance (Cap. 571) Contents - Hong ...

Financial Secretary may appoint not more than 8 persons to board of directors of HKEC. 3-154. Last updated date. 1.11.2021. Securities and Futures Ordinance.

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#7. Securities and Futures Commission - Wikipedia

A comprehensive Securities and Futures Ordinance (SFO) was implemented in 2003, which expanded the SFC's regulatory functions and powers.

#8. Securities and Futures Ordinance Definition: 194 Samples

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Amendments relating to Uncertificated Securities Market Regime. Division 1—Amendments to Securities and Futures Ordinance (Cap. 571).

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The Amendment Ordinance establishes a legal framework for the implementation of a complete uncertificated securities market (USM) regime and ...

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Under the SFO, the chairman is a This link will open in a new windowjudge. Its statutory purpose is to act as a safeguard to ensure that regulatory decisions ...

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SECURITIES AND FUTURES ORDINANCE (CAP. 571). SECURITIES AND FUTURES (FINANCIAL RESOURCES) RULES (CAP. 571N). *MONTHLY/SEMI-ANNUAL [1000] ...

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Securities and Futures (Professional Investor) Rules (Cap. ... of section 1 of Part 1 of Schedule 1 to the Securities and Futures Ordinance.

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predominantly in banking, securities or derivatives business, ... "OTC derivative product" under the Securities and Futures Ordinance (Cap.

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section 104 of the Securities and Futures Ordinance (Cap. 571) of Hong Kong. (www.assetmanagement.hsbc.com/hk-ABF). Stock Code : 2819.

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An interest in a CIS is regarded as "securities" as defined in the SFO. ... with the relevant requirements under the Securities and Futures Ordinance (SFO).

#61. Citigroup Global Markets Holdings Inc. - Raymond James

The securities offered by this pricing supplement are unsecured debt securities ... as defined in the Securities and Futures Ordinance (Cap.

#62. Changes in Directorate - HKEX Group

Kong Limited, the Securities and Futures Commission regulates Hong Kong Exchanges and Clearing ... of the Securities and. Futures Ordinance.

#63. Securities and Exchange Surveillance Commission

Please note that not all our press releases were translated in English. For details of our press releases, please visit “SESC Latest Topics” or our website ...

#64. Legal Library - Martindale-Hubbell

The main Hong Kong regulatory concern with a business trust arises from the fact that the Securities and Futures Ordinance came into force ...

#65. Hong Kong | Westlaw Asia

... Practical Guide To The Hong Kong Competition Ordinance · Principles and Practice of ... Annotated Legislation: Securities and Futures Ordinance (Cap.

#66. Securities & Exchange Commission of Pakistan (SECP)

The Securities and Exchange Commission of Pakistan is a regulator established with the objective of developing a modern and efficient corporate sector, ...

#67. The US Shale Boom In A Global Market Context

(the “SFO”) to “professional investors” as defined in clauses (a) to (h) of the definition thereof set out in Schedule 1 of the SFO. Any recipient in Hong ...

#68. March Breakdown - BMO Economics

and a registered institution with the Securities and Futures Commission (CE No. AAK809) under the Securities and Futures Ordinance (Chapter ...

#69. 424B2 1 dp124572_424b2-us2095040.htm PRICING ...

Callable Contingent Coupon Equity Linked Securities Linked to the Worst ... 571) of Hong Kong (the “Securities and Futures Ordinance”) and any rules made ...

#70. 2020-04-21 - HTIWarrants

... Securities and Futures Ordinance (Cap. 571). The contents of this material has not been reviewed or approved by the Securities and Futures Commission.

#71. Navigating financial crime risks in the time of crypto-assets

For example, broker/dealers of securities are regulated under the Securities and Futures Ordinance and subject to licensing by the ...

#72. UXXXXXX Commodities Regulatory Statement July 12, 2017

For security futures trades, if not already indicated on this statement, ... Fund established under the Hong Kong Securities and Futures Ordinance, ...

#73. re-election of directors, general mandates to issue shares and ...

the meaning of Part XV of the Securities Futures Ordinance) in the Shares. Save for the information disclosed above, the Board and Mr.

#74. Compliance VP/SVP - Control Room | eFinancialCareers

... Familiar with Securities and Futures Ordinance; Good team player with ability to work independently under pressure and time constraints; ...

#75. E215816A_Evergreen 1..3 - Irasia

Rules) under Part XIVA of the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong); and (2) Rule 13.51(5) of the Listing ...

#76. Connie Lee - Des Voeux Chambers

... the SFC in the first trial for reversing an IPO (over a HK$1 billion buy-back offer) under section 213 of the Securities and Futures Ordinance: SFC v.

#77. Securities and Futures Bureau, Financial Supervisory ...

Laws and Regulations · 1. Company Act · 2. Securities and Exchange Act · 3. Securities Investor and Futures Trader Protection Act · 4. Regulations Governing ...

#78. E_20211119_AO_Profit Warning - Asia Orient Holdings Limited

Provisions (as defined in the Listing Rules) of Part XIVA of the Securities and Futures Ordinance. (Chapter 571, Laws of Hong Kong).

#79. Monthly Report of Sustainability Assessments - Environment ...

Financial Reporting Council Ordinance (Chapter 588) ... The Bill seeks to amend the Securities and Futures Ordinance, the Companies ...

#80. Insights | MetLife Investment Management

under the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong S.A.R.) to carry on a business in Type 1 (dealing in securities), Type 4 (advising ...

#81. Definitions and Interpretation - SGX Rulebook

"admission", admission of securities to the Official List of the Exchange ... "SFA", the Securities and Futures Act (Chapter 289) of Singapore and any ...

#82. Corporate governance and responsible investing policy

Hong Kong Securities and Futures Ordinance (Cap. 571) (SFO) for carrying on Type 1 Dealing in Securities regulated activities and Type 9.

#83. 17805_E Seamless 3Q Ann.indd - Victory House

securities traded on the Main Board of the Stock Exchange and no ... section 352 of the SFO, to be entered in the register referred to ...

#84. CSOP iEdge S-REIT Leaders Index ETF to List on SGX

This material and the information contained in it are for professional investors as defined under the Securities and Futures Ordinance (Cap.

#85. Key Financial Regulators Worldwide [FCA, CySec & More]

The Commodities and Futures Trading Commission (CFTC) is an ... It derives its powers from the Securities and Futures Ordinance (SFO) and ...

#86. S&P 500 Bull and Bear 3X - SPXL SPXS - Direxion

Fund Symbol, Daily Target, Intra-day Value, Benchmark Index, Security ... within the meaning of the Hong Kong Securities and Futures Ordinance (Cap.

#87. The Stock Exchange has received a message from Asia ...

Information Provisions (as defined in the Listing Rules) of Part XIVA of the Securities and Futures. Ordinance (Chapter 571, Laws of Hong ...

#88. POSITIVE PROFIT ALERT

to Inside Information Provisions under Part XIVA of the Securities and Futures. Ordinance (Cap. 571 of the Laws of Hong Kong) and Rule ...

#89. Letter to Shareholders - 國票金控

For the domestic part, the government passed a special ordinance on epidemic ... which has led to significant growth in securities and futures profits The ...

#90. CHINA EVERGRANDE NEW ENERGY VEHICLE GROUP ...

subscribe for any securities of the Company. ... the Securities and Futures Ordinance (Chapter 571 of the Laws of.

#91. Market Monitor - 19 November 2021 - Columbia ...

We take all reasonable steps to ensure the security of the website and ... of Singapore under the Securities and Futures Act (Chapter 289), ...

#92. COP26: Investment in energy system should double to reach ...

BNP Paribas Securities Corp., a subsidiary of BNP Paribas, ... Type 4] under the Securities and Futures Ordinance Transitional Arrangements.

#93. Samuel Ngo | Lawyers | Jones Day

... China) in a section 329 inquiry and seeking a restraint order against the relevant shareholders under the Securities and Futures Ordinance, Cap 571.

#94. Form 424B2 GOLDMAN SACHS GROUP INC - StreetInsider

Neither the Securities and Exchange Commission nor any other regulatory body ... as defined in the Securities and Futures Ordinance (Cap.

#95. China New Economy Fund Limited

... to Chapter 21 of the Rules Governing the Listing of Securities on the Main Board of The Stock Exchange of Hong Kong Limited (the "Listing Rules").

#96. NCCPL: National Clearing company of Pakistan - Pakistan ...

... Tax Ordinance, 2001 · NCCPL Regulations · NCSS Procedures · Securities Act, ... NCCPL CKO Regulations, 2017 · CKO Rules, 2016 · Futures Market Act 2016.

#97. Merchant further charged by ICAC with conspiracy to defraud ...

... contrary to Section 25(1) of the Organized and Serious Crimes Ordinance. ... referred by the Securities and Futures Commission (SFC).

#98. Corporate Acquisitions and Mergers in Hong Kong - Google 圖書結果

Section 307B, Securities and Futures Ordinance. Sections 307B and 307D, Securities and Futures Ordinance. Section 307D, Securities and Futures Ordinance.