Securities and futures ordinance substantial shareholder
Securities and Futures Ordinance Part XV - Disclosure of Interests The overriding objective of Part XV of the Securities and Futures Ordinance is to enable those investing in listed corporations to obtain relevant information on a timely basis so they can make informed investment decisions. To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. from all or any of the provisions of Part XV the Securities and Futures Ordinance Securities and Futures Commission Guidelines for the Exemption of Listed Corporations and Other Persons from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) 1. Definitions Terms that are defined in section 308 of the SFO and Schedule 1 to the SFO have the same meaning in these Guidelines. In addition: “corporate insiders” means substantial shareholders, directors, shadow “Licensed Corporation” in this form refers to the corporation licensed under section 116(1) of the Ordinance of which you are a substantial shareholder. “Substantial shareholder” is defined under section 6 of Part 1 of Schedule 1 to the Ordinance. “You” in this form refers to the substantial shareholder making the notification. Shareholder Information. Securities and Futures Ordinance (SFO) The Securities and Futures Ordinance ("SFO"), which has come into effect on 1 April 2003, has widened the previous regime governing the disclosure of interests in Hong Kong listed securities, with the aim of promoting transparency in Hong Kong's securities markets. OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) (“SFO”) - DISCLOSURE OF INTERESTS (Published by the Securities and Futures Commission under section 5(4)(f) of the SFO) This outline is intended to be a practical guide to the situations in which a notice will have to be filed under Part XV of the SFO (“Part XV”).
OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) (“SFO”) - DISCLOSURE OF INTERESTS (Published by the Securities and Futures Commission under section 5(4)(f) of the SFO) This outline is intended to be a practical guide to the situations in which a notice will have to be filed under Part XV of the SFO (“Part XV”).
Broadly, sections 135, 136 and 137 of the SFA impose an obligation on a substantial shareholder of an SGX listed corporation to notify the corporation within two business days of his becoming a substantial shareholder in the corporation or of any change in percentage level of his shareholding or if he ceases to be a substantial shareholder.The Amendment Regulations provide that sections 135, 136 and 137 of the SFA apply to a person who is a substantial unitholder of an unlisted business (h) the intended substantial shareholder under subsection (7)(d). (9) Nothing in item 7 of Part 1 of Schedule 3, item 7 of Part 2 of Schedule 3, item 5 of Part 3 of Schedule 3, or item 2 of Part 4 of Schedule 3 shall require disclosure of information Securities and Futures (Licensing and Registration) (Information) Rules The Securities and Futures Commission (SFC) has issued a circular to licensed corporations on responsible officers and substantial shareholders (the Circular), reminding licensed corporations that it is not acceptable to hire responsible officers in name only, where the relevant persons do not in fact supervise the licensed corporation’s business. The Circular also informs prospective acquirers of licensed corporations that the assessment and vetting process for a new substantial Export XML (c) a registered business trust (as defined in the Business Trusts Act (Cap. 31A)) any or all of the units in which are listed for quotation on the official list of a securities exchange;
securities” and shares with non-detachable options, warrants or similar rights to subscribe or purchase shares attached “core connected person” (a) for a company other than a PRC issuer, or any subsidiary of a PRC issuer, means a director, chief executive or substantial shareholder of the company
After three years of public consultation, the Securities and Futures Ordinance (“ SFO”) six months been a director, an employee or a substantial shareholder. 22 Sep 2015 The Securities and Futures Commission has commenced its first set of results in significant pecuniary loss sustained by the shareholders of a 24 Mar 2019 and Futures Ordinance (Chapter 571 of the Laws of Hong Kong). Holdings Limited (“Viva China”), which is a substantial shareholder (as.
20 Mar 2019 On the other hand, the conduct of securities and futures business in Hong regulated under the Securities and Futures Ordinance (SFO), subject to The SFC further requires the substantial shareholders, directors, chief
To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page.
The overriding objective of Part XV of the Securities and Futures Ordinance is to Substantial shareholders - individuals and corporations who are interested in
“Licensed Corporation” in this form refers to the corporation licensed under section 116(1) of the Ordinance of which you are a substantial shareholder. “Substantial shareholder” is defined under section 6 of Part 1 of Schedule 1 to the Ordinance. “You” in this form refers to the substantial shareholder making the notification. Shareholder Information. Securities and Futures Ordinance (SFO) The Securities and Futures Ordinance ("SFO"), which has come into effect on 1 April 2003, has widened the previous regime governing the disclosure of interests in Hong Kong listed securities, with the aim of promoting transparency in Hong Kong's securities markets. OF THE SECURITIES AND FUTURES ORDINANCE (CAP. 571) (“SFO”) - DISCLOSURE OF INTERESTS (Published by the Securities and Futures Commission under section 5(4)(f) of the SFO) This outline is intended to be a practical guide to the situations in which a notice will have to be filed under Part XV of the SFO (“Part XV”). Securities and Futures Ordinance (with subsidiary legislation) We are directing you to the Hong Kong e-Legislation (HKeL) operated by the Department of Justice (DoJ) of the Hong Kong Special Administrative Region Government to view the full contents of the Securities and Futures Ordinance (SFO), including its subsidiary legislation. 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 Form 2 is for use by a corporation disclosing a notifiable interest in a Hong Kong listed corporation under Part XV of the Securities and Futures Ordinance (Cap.571)(“the Ordinance”). The substantial shareholder must file the notice with The Stock Exchange of Hong Kong Limited (“SEHK”) and the listed corporation concerned at the same Subdivision 2 Disclosure by substantial shareholders in corporation Division 3 — Hawking of Securities, Securities-based Derivatives Contracts and Units in Collective Investment Scheme This Act may be cited as the Securities and Futures Act.
20 Mar 2019 On the other hand, the conduct of securities and futures business in Hong regulated under the Securities and Futures Ordinance (SFO), subject to The SFC further requires the substantial shareholders, directors, chief the Securities and Futures Ordinance (SFO) which are set out in the Securities and Futures. (Accounts intermediaries in relation to their receipt and holding of client assets. Significant findings from the audit (HKSA 260 paragraph 16); and. After three years of public consultation, the Securities and Futures Ordinance (“ SFO”) six months been a director, an employee or a substantial shareholder. 22 Sep 2015 The Securities and Futures Commission has commenced its first set of results in significant pecuniary loss sustained by the shareholders of a