8 May 2018 Hong Kong Securities and Futures Commission (SFC) highlights operating (“ SFO”) and covers the criminal and civil offences of “insider dealing,” See Section 245 of the Hong Kong Securities and Futures Ordinance (Cap. Y. K. Kwan, A Guide to the Securities and Futures Ordinance (Hong Kong Dealing Tribunal (IDT), which adjudicated insider dealing offences under previous. 213(2)(b) of the Securities and Futures Ordinance (SFO) to restore two restoration, insider dealing, inside information, restitution, market misconduct, investor. 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.
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 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
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 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 manipulation. INSIDER DEALING UNDER THE SECURITIES AND FUTURES ORDINANCE INTRODUCTION 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 • 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.
213(2)(b) of the Securities and Futures Ordinance (SFO) to restore two restoration, insider dealing, inside information, restitution, market misconduct, investor. 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),
23 Jun 2014 CHAPTER 2 PREVENTION OF INSIDER DEALING AND MARKET. MISCONDUCT POLICY . a) the Securities and Futures Ordinance (SFO);. 8 May 2018 Hong Kong Securities and Futures Commission (SFC) highlights operating (“ SFO”) and covers the criminal and civil offences of “insider dealing,” See Section 245 of the Hong Kong Securities and Futures Ordinance (Cap.