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| SFC Welcomes Re-appointment of Non-Executive Directors (in PDF) | |
| Disclosure of Dealings in Relevant Securities in SmarTone (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| Disclosure of Dealings in Relevant Securities in SmarTone (in PDF) | |
| Securities and Futures Ordinance - Forms proposed for Disclosure of Interests (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SFC Prosecutes (1) Pong Kam Wah and (2) Sat Pal Khattar for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SFC Publishes December Issue of SFC Alert (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SFC Reprimands Tsui To Kwong for Breaching the Code of Conduct and the Internal Policies of His Employer (in PDF) | |
| SFC Reprimands Leung Wai Yip Ringo for Failings about Discretionary Agreements of Clients (in PDF) | |
| Guidelines for Exemptions from the Recognised Industry Qualification and Local Regulatory Framework Paper Requirements (in PDF) | |
| Disclosure of Dealings in Shares - Winton Holdings Bermuda Limited (Winton) (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SFC Invites Proposals for Making Videos on Regulatory Work (in PDF) | |
| Disclosure of Dealings in Shares - Winton Holdings Bermuda Limited (Winton) (in PDF) | |
| Press Release - Lee Ming-tee (in PDF) | |
| New Memorandum of Understanding between the SFC and the HKMA (in PDF) | |
| SFO Subsidiary Legislation Gazetted (in PDF) | |
| SFC Chairman's Remarks on the Securities and Futures Ordinance (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SFC Releases FAQs on Fund Authorisation and Standardised Compliance Forms via Website (in PDF) | |
| SFC Reprimands Pacific Sun Investment Management (H.K.) Ltd & Andrew Pieter Mantel for Breaches of the Financial Resources Rules and other Rules (in PDF) | |
| SFC Suspends Lou Tak Ki for Breaching a Licence Condition and Other Failings (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| SCEFI II Report (in PDF) | |
| Disclosure of Dealings in Shares - Winton Holdings Bermuda Limited (Winton) (in PDF) | |
| SFO Subsidiary Legislation Gazetted (in PDF) | |
| Disclosure of Dealings in Shares - Winton Holdings Bermuda Limited (Winton) (in PDF) | |
| December Issue of SFC Enforcement Reporter Published (in PDF) | |
| SFO Subsidiary Legislation Gazetted (in PDF) | |
| SFC Suspends Tsang Wa Wai William and Reprimands Masterlink Securities and Lip Siu Ming Nelson for Breaching the Code of Conduct and Improper Debt Collection (in PDF) | |
| SFC Reprimands Wing On Cheong Securities Company Limited for Failing to Properly Guard Against Unregistered Activities (in PDF) | |
| SFC Steps Up Investor Education on Hedge Funds (in PDF) | |
| SFC (1) Releases the Guidelines on Hedge Funds Reporting Requirements; (2) Announces the Authorization of Hedge Funds; and (3) Issues a Circular to Registered Persons Regarding the Marketing of Hedge Funds (in PDF) | |
| Revised Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements (in PDF) | |
| Court Dismisses the Appeal by China United Holdings Limited (in PDF) | |
| SFC Prosecutes Heng Hian Mok for Short Selling (in PDF) | |
| SFC Reprimands South China Securities Limited (in PDF) | |
| SFC Suspends the Registrations of Chan Shek Hong Raymond for Unregistered Portfolio Management and Breaching the Code of Conduct (in PDF) | |
| SFC Suspends Ngan Hei Wah's Registration for Negligently Inviting Clients to Invest in a Fraudulent Scheme (in PDF) | |
| Chairman's Speech at the World Congress of Accountants (in PDF) | |
| Consultation on Proposed Revisions to the Code of Conduct for Persons Registered with the SFC (in PDF) | |
| SFC Reprimands Shenyin Wanguo Securities (HK) Limited for Poor Handling of a Complaint and Internal Controls (in PDF) | |
| SFC Chairman's Views on Regulation of the Accounting Profession (in PDF) | |
| SFC Reprimands Lau Chi Keung (in PDF) | |
| SFC Publishes November Issue of SFC Alert (in PDF) | |
| SFC Chairman's Speech: Structure of the Brokerage Industry (in PDF) | |
| SFC Releases the Second Quarterly Report for the Financial Year 2002-2003 (in PDF) | |
| SFC Quarterly Bulletin (in PDF) | |
| Open Lecture by SFC Chairman (in PDF) | |
| SFC Issues a Circular to Registered Investment Advisers on Cold Calling (in PDF) | |
| Market Manipulator Sentenced to Community Service (in PDF) | |
| SFC Welcomes New Advisory Committee Member (in PDF) | |
| Takeovers and Mergers Panel Affirms Ruling by the Executive in relation to International Capital Network Holdings Limited (ICN) (in PDF) | |
| New SFC Forum to Strengthen Ties with Brokers (in PDF) | |
| Press Release - Pacific Pearl Securities Limited (in PDF) | |
| SFC Successfully Prosecutes Top New Finance Ltd and Wu Kezhong (in PDF) | |
| Voluntary Conditional Cash Offer for Paul Y - ITC Construction Holdings Limited by Hollyfield Group Limited (in PDF) | |
| Monthly Enforcement Newsletter to Reinforce Regulatory Messages (in PDF) | |
| SFC Successfully Prosecutes Daniel Hung for Market Manipulation (in PDF) | |
| Mr Eric Cheng's Opening Remarks at LegCo Panel on Financial Affairs (in PDF) | |
| SFC Chairman's speech: "Information, Disclosure and Corporate Governance Lessons from last year" (in PDF) | |
| SFC Prosecutes Lam Kin Hing, Kenneth for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| SFC Revokes the Registration of Chan Hing Fung Katie for Misappropriation and Deception (in PDF) | |
| SFC Reprimands Vermont Securities for Regulatory Breaches (in PDF) | |
| SFC Reprimands Ricofull Securities Limited for Internal Control Failings (in PDF) | |
| SFC Publishes October Issue of SFC Alert (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Financial Resources) Rules and Revised Draft Rules (in PDF) | |
| Head of Enforcement Visits CSRC (in PDF) | |
| New Exemptions for Sections 80 and 80B of the Securities Ordinance - Securities (Miscellaneous)(Amendment) Rules 2002 (in PDF) | |
| Disclosure of Dealings in Relevant Securities in Panda-Recruit Limited (Panda-Recruit) (in PDF) | |
| SFC Clarifies Media Reports (in PDF) | |
| SFC Successfully Prosecutes Hong Kong Real Estate Exchange Co. Ltd. for Possession and Issuance of Unauthorized Investment Advertisements and Promotional Documents (in PDF) | |
| SFC Invites Teachers to Join Workshops (in PDF) | |
| Court Dismisses Appeals Against Prison Sentences for Market Manipulation (in PDF) | |
| HK to Stay at the Forefront of International Fund Management (in PDF) | |
| SFC Takes Part in Regional Internet Surf Day (in PDF) | |
| SFC Welcomes Expert Group on Review of Regulatory Structure (in PDF) | |
| Speech on "Post-Enron Impact on Regulation of Financial Markets" - SFC Chairman: We will Pursue those who Break the Securities Laws (in PDF) | |
| Voluntary Conditional Cash Offer for China Motor Bus Company, Limited by Asia Time Investments Limited (in PDF) | |
| Chairman's Opening Remarks at LegCo Panel on Financial Affairs (in PDF) | |
| SFC Revokes Tam Hau Lok for Lacking in Financial Integrity (in PDF) | |
| Voluntary Conditional Cash Offer for China Motor Bus Company, Limited by Asia Time Investments Limited (in PDF) | |
| Joint Press Release - SFC Approves HKSI's New Licensing Examination (in PDF) | |
| The SFC Publishes September Issue of SFC Alert (in PDF) | |
| SFC Explains SDIO Action (in PDF) | |
| SFC Prosecutes Hung Siu Lin Katherine for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| SFC Reprimands Cheung Yuk Sheung and Kwan Wing On for breaching the Code of Conduct and the Internal Rules of their Employers (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Fees) Rules (in PDF) | |
| SFC Suspends Lo Kwok Sun for Not Promptly Executing Clients' Trades (in PDF) | |
| SFC and HKU Jointly Organise a General Education Course on Personal Financial Management (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Insurance) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Offences and Penalties) Regulations (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Intermediary Information) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Securities and Futures (Miscellaneous) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Securities and Futures Ordinance (Amendment of Schedule 8) Order (in PDF) | |
| SFC Successfully Prosecutes Hong Kong Characteristic Medicine (International Group) Co. for Contravening the Protection of Investors Ordinance (in PDF) | |
| SFC Welcomes Panel of Inquiry Report (in PDF) | |
| SFC Publishes Updated Investor Leaflet on Equity-linked Instruments (in PDF) | |
| SFC Suspends the Registration of Chiu Chung Che, Francis (in PDF) | |
| SFC and Police Forge Closer Link to Combat Corporate Crimes (in PDF) | |
| SFC Consults the Public on Draft Hedge Funds Reporting Guidelines and Launches Programmes to Enhance Investors' Understanding of Hedge Funds (in PDF) | |
| More Ways to Comply with Competence and CPT Requirements (in PDF) | |
| Proposed subscription and placing of new shares in Companion Building Material International Holdings Limited ("Companion") and the application for the granting of whitewash waiver - Disclosure of dealings in shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| SFC Prosecutes China United Holdings Limited for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Voluntary Conditional Cash Offer for China Motor Bus Company, Limited by Asia Time Investments Limited (in PDF) | |
| SFC Prosecutes Mr Chow Wai Wai John for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Internal Staff Training Made Easier (in PDF) | |
| Voluntary Conditional Cash Offer for China Motor Bus Company, Limited by Asia Time Investments Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Voluntary Conditional Cash Offer for China Motor Bus Company, Limited by Asia Time Investments Limited (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Matsunichi Communication Holdings Limited (Formerly Known as Emperor Technology Venture Limited) by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| SFC Takes Disciplinary Actions against Polaris Securities (Hong Kong) Limited, Tsoi Kap and Choi Kwok Ip (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| SFC Suspends Young Ping Chiu Antonio Henrique's Registration for His Failure to Verify a Client's Identity and for Exposing Clients and His Employer to Unnecessary Risks (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| SFC Publishes August Issue of SFC Alert (in PDF) | |
| SFC Extends the Consultation Period for the Draft Securities and Futures (Amendment of Schedule 8) Order (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| The SFC Releases the First Quarterly Report for the Financial Year 2002-2003 (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| SFC Welcomes the Re-appointment of Mr Raymond Kwok as the Commission's Non-Executive Director (in PDF) | |
| SFC Prosecutes Founder Holdings Limited for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| SFC Suspends Mr Poon Kwok Hoi for Facilitating Potentially Illegal or Improper Client Trades (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Draft Securities and Futures (Amendment of Schedule 8) Order (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited (Companion) and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Conditional Cash Offer for All Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Chairman's Statement on HKEx's Delisting Consultation (in PDF) | |
| SFC Suspends the Registration of Mr Wu Ka Leung (in PDF) | |
| SFC Broadcasts the Final Episode of "Invest with Your Heads Up" on RoadShow Media - "Too Good to Be True" (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Proposed Licensing Fees under the Securities and Futures (Fees) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Fees) Rules (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on behalf of Jade Forest Limited (in PDF) | |
| Conditional Cash Offer for all Shares in Emperor Technology Venture Limited by Somerley Limited on Behalf of Jade Forest Limited (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Draft Securities and Futures (Offences and Penalties) Regulations (in PDF) | |
| Falls in Low Priced Stocks in Hong Kong (in PDF) | |
| SFC Alerts Brokers of Frauds and Calls for Better Internal Control (in PDF) | |
| Research Paper on Quality of Market and the Case for More Effective Delisting Mechanism (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Stock Market Listing Rules and Transfer of Functions Order (in PDF) | |
| Chairman's Remarks on Measures to Improve Quality of the Hong Kong Market (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| SFC Suspends the Registration of Ms Chiang Yuk Oi (in PDF) | |
| SFC Broadcasts Episode 11 of "Invest with Your Heads Up" on RoadShow Media - "Borrowed but Never Returned" (in PDF) | |
| Disclosure of Dealings in Relevant Securities in Global China Technology Group Limited ("Global China") (in PDF) | |
| SFC has Obtained an Injunction on Law Siu Kong (in PDF) | |
| Securities and Futures Ordinance - Consultation on Draft Securities and Futures (Intermediary Information) Rules (in PDF) | |
| SFC Appoints Administrators of Lawsons Securities Company (in PDF) | |
| SFC Revokes the Registration of Mrs Leung Lam Yuen Ching Juanita Under the Securities Ordinance for Misappropriation (in PDF) | |
| SFC Publishes July Issue of SFC Alert (in PDF) | |
| 1. SFC Successfully Prosecutes Mr Ho Sze Man for Contravening the Protection of Investors Ordinance; 2. SFC Prosecutes Mr Zhong Jianqiu for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Disclosure of Interests - Exclusions) Regulation (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusion on the Securities and Futures (Short Selling Exemption and Stock Lending) Rules (in PDF) | |
| Securities and Futures Ordinance - Revised Draft Rules and Consultation Conclusions (i) Securities and Futures (Client Securities) Rules; (ii) Securities and Futures (Client Money) Rules; (iii) Securities and Futures (Accounts and Audit) Rules; (iv) Securities and Futures (Keeping of Records) Rules (in PDF) | |
| Takeovers and Mergers Panel Decision Regarding China Motor Bus Co Ltd as to Whether a Concert Party had been Formed (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules (in PDF) | |
| SFC Successfully Prosecutes Joyplace Inc. and Mr Lin Chih Cheih Sidney for Contravening the Protection of Investors Ordinance (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Securities and Futures (Price Stabilizing) Rules (in PDF) | |
| SFC Broadcasts Episode 9 of "Invest with Your Heads Up" on RoadShow Media - "Keep Your Personal Information to Yourself" (in PDF) | |
| Prosperous Securities Limited (in PDF) | |
| Proposed subscription and placing of new shares in Companion Building Material International Holdings Limited ("Companion") and the application for the granting of whitewash waiver - Disclosure of dealings in shares in Companion (in PDF) | |
| Proposed subscription and placing of new shares in Companion Building Material International Holdings Limited ("Companion") and the application for the granting of whitewash waiver - Disclosure of dealings in shares in Companion (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Miscellaneous) Rules (in PDF) | |
| SFC Broadcasts Episode 8 of "Invest with Your Heads Up" on RoadShow Media - "Genuine or Forged?" (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| SFC Introduces New Client Identification Procedure for Registered Persons (in PDF) | |
| Fund Management Activities Survey 2001 (in PDF) | |
| SFC Committed to Ensuring a Robust Trading System in Hong Kong (in PDF) | |
| SFC to Study Hay Group Report (in PDF) | |
| SFC Consults the Public on Draft Securities and Futures (Insurance) Rules (in PDF) | |
| SFC Broadcasts Episode 7 of "Invest with Your Heads Up" on RoadShow Media - "Care to Pay" (in PDF) | |
| Market Manipulators Sentenced to Community Service (in PDF) | |
| The Enforcement Philosophy and Processes of the SFC (in PDF) | |
| SFC Media Sharing Session on Enforcement (in PDF) | |
| SFC Prosecutes March Match Limited for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| SFC Broadcasts Episode 6 of "Invest with Your Heads Up" on RoadShow Media - "Don't Ignore The Auditor's Circular" (in PDF) | |
| SFC Publishes June Issue of SFC Alert (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Consults the Public on Draft Securities and Futures (Financial Resources) Rules (in PDF) | |
| Working Group on Review of Financial Regulatory Framework for Intermediaries (in PDF) | |
| Addendum to the Guidance Note for Short Selling Reporting and Stock Lending Record Keeping Requirements (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Chairman's Speech at ICAC Conference (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| Shareholders Group (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Suspends the Registration of Mr Tam Po Kwok (in PDF) | |
| Proposed Subscription and Placing of New Shares in Companion Building Material International Holdings Limited ("Companion") and the Application for the Granting of Whitewash Waiver - Disclosure of Dealings in Shares in Companion (in PDF) | |
| SFC Broadcasts Episode 5 of "Invest with Your Heads Up" on RoadShow Media - "Pooling Risk of Margin Accounts" (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Successfully Prosecutes Mr Lau Hing Nam and Mr Wong Kwing Ming George (in PDF) | |
| SFC Sanctions Mr Chan Kin Sun, Ms Cheng Kwan Ying Jennifer, Ms Za Ah Fong, Ms Chan Lai Lan, Ms Chan Lai Lai Karen, Ms Cheng Mei Ying Michelle and Mr Yu Wing Keung (collectively referred to as the "Chan Family") (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Issues Restriction Notice on Lawsons Securities Company (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusion on the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (in PDF) | |
| SFC Successfully Prosecutes GlobaLinkAsia.com Ltd for Contravening the Securities Ordinance and the Protection of Investors Ordinance (in PDF) | |
| Consultation Conclusions on the Securities and Futures (Levy) Order and the Securities and Futures (Levy) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on Proposed Rules Relating to the Registration of Orders in the Court of First Instance (in PDF) | |
| Securities and Futures Ordinance - Consultation on Draft Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules (in PDF) | |
| Consultation Conclusions on the i) Securities and Futures (Investor Compensation - Levy) Rules, ii) Securities and Futures (Investor Compensation - Compensation Limits) Rules, iii) Securities and Futures (Transfer of Functions - Investor Compensation Company) Order, and iv) Securities and Futures (Investor Compensation - Claims) Rules (in PDF) | |
| SFC Releases Consultation Conclusions on the Draft Securities and Futures (Professional Investor) Rules (in PDF) | |
| SFC Broadcasts Episode 4 of "Invest with Your Heads Up" on RoadShow Media - Over-trust Breeds Betrayal (in PDF) | |
| Possible Fund Raising Exercise of Skynet (International Group) Holdings Limited (Skynet) Which may Involve Placing of New Shares in Skynet and, if Proceeded with, may or may not Result in a Possible Change in the Controlling Shareholder of Skynet - Disclosure of Dealings in Shares in Skynet (in PDF) | |
| Lawsons Securities Company (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Gold Purchase) Notice (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| Consultation Conclusions for the Proposed Amendments to the Financial Resources Rules (in PDF) | |
| SFC Website Update e-mail Alert Service (in PDF) | |
| SFC Revokes the Registration of Ms Chan Siu Ping (in PDF) | |
| SFC Welcomes Appointment of Advisory Committee Members (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| Securities and Futures Ordinance - Consultation Conclusions on the Draft Securities and Futures (Associated Entities) Rules (in PDF) | |
| SFC Reprimands Mr Ho Chi Man (in PDF) | |
| SFC Broadcasts Episode 3 of "Invest with Your Heads Up" on RoadShow Media (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| 1. SFC Suspends the Licence of Mr Tse Hon Pan; 2. SFC Suspends the Registration of Mr Ng Kwun Wing (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Short Selling Exemption and Stock Lending) Rules (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Reprimands Harris Fraser (International) Limited and its Supervisory Director, Ms Ng Yuen Yee, Halena (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Broadcasts Episode 2 of "Invest with Your Heads Up" on Roadshow Media Misery of Sharing an Account (in PDF) | |
| SFC Releases Hedge Funds Application Checklist (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Disclosure of Interests - Exclusions) Rules (in PDF) | |
| SFC Releases Annual Report 2001-2002, A Book Titled Securities Regulation in Hong Kong and Regulatory Handbook (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| SFC Broadcasts Investor Video Programmes on Buses and Publishes New Educational Cartoon Leaflet (in PDF) | |
| Chairman's Letter to Investors (in PDF) | |
| SFC Welcomes Process Review Panel Report (in PDF) | |
| SFC Prosecutes Mr Zhang Daxiang and Best Fortune Capital Ltd for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on Behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of ImGO Limited - Disclosure of Dealings in Relevant Securities of ImGO Limited (in PDF) | |
| SFC Quarterly Bulletin (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| 1. SFC Suspends the Registrations of Mr Yeung Ching Kwong; 2. SFC Reprimands Mr Ho Kit Chai (in PDF) | |
| SFC Appoints Administrators of Teil Stock Investment Company (in PDF) | |
| Possible Mandatory Cash Offer by BOCI Asia Limited on behalf of Global Town Limited to Acquire the Whole of the Issued Share Capital of imGO Limited - Disclosure of Dealings in Relevant Securities of imGO Limited (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Proposed Stock Market Listing Rules and Transfer of Functions Order (in PDF) | |
| SFC Releases Hedge Funds Guidelines (in PDF) | |
| SFC Welcomes Appointment of Takeovers Panel and Takeovers Appeal Committee Members (in PDF) | |
| Special Securities and Futures Ordinance Section on SFC Website (in PDF) | |
| SFC Releases the Consultation Conclusion on the Securities and Futures (Recognized Counterparty) Rules (in PDF) | |
| SFC Releases the Consultation Conclusion on the Securities and Futures (Contracts Limits and Reportable Limits) Rules (in PDF) | |
| SFC Releases the Consultation Conclusion on the Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules (in PDF) | |
| Consultation Conclusions on the Draft Securities and Futures (Information) Rules (in PDF) | |
| SFC Reprimands Sun Growth Securities Limited, its Dealing Directors Mr Ng Kei Choy Stephen and Mr Kao Wing Lun and its Representative Mr Lau Yee Tak (in PDF) | |
| SFC Releases Consultation Conclusion on the Draft Securities and Futures (Licensed Persons and Registered Institutions) Rules (in PDF) | |
| SFC Suspends the Registration of Ms Ng Yin Hing Under the Securities Ordinance (in PDF) | |
| SFC Prosecutes Yung Kwok Kee Billy for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| SFC Issues Disciplinary Fining Guidelines (in PDF) | |
| SFC Prosecutes Ng Cheong Lam and Wong Chung Pak Thomas for Contravening the Securities (Disclosure of Interests) Ordinance (in PDF) | |
| SFC Revokes the Registration of Mr Fung Hing Chiu, Herman (in PDF) | |
| SFC Extends the Consultation Period for the Securities and Futures (Contracts Limits and Reportable Positions) Rules and the Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules (in PDF) | |
| SFC Revokes the Registration of Mr Ngai Tsz Keung (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Levy) Order and the Securities and Futures (Levy) Rules (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Contracts Limits and Reportable Positions) Rules (in PDF) | |
| Consultation Conclusion on Proposed New Investor Compensation Arrangements (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Leveraged Foreign Exchange Trading - Arbitration) Rules (in PDF) | |
| SFC Publishes Derivation Table for the Securities and Futures Ordinance (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Proposed Investor Compensation Rules and Order (in PDF) | |
| Securities and Futures Ordinance - Consultation on Proposed Rules Relating to the Registration of Orders in the Court of First Instance (in PDF) | |
| SFC Suspends the Registrations and Licence of Mr Chan Sheung Chi, Steven (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Gold Purchase) Notice (in PDF) | |
| Hong Kong Joins New IOSCO High Level Group (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Associated Entities) Rules (in PDF) | |
| SFC Reduces the SDIO Waiver Fee on Derivative Warrants (in PDF) | |
| Revised Provisions for Guaranteed Funds in the Code on Unit Trusts and Mutual Funds (in PDF) | |
| Win Cash Prizes in New SFC-RTHK Investor Knowledge Competition (in PDF) | |
| SFC Reprimands Mr Pang Wing Kin (in PDF) | |
| Securities and Futures Ordinance - Consultation on the Securities and Futures (Information) Rules (in PDF) | |
| Immediate Custodial Sentence for Market Manipulators (in PDF) | |
| SFC Releases the Consultation Conclusion on the Securities and Futures (Unsolicited Calls - Exclusion) Rules (in PDF) | |
| Press Release (in PDF) | |
| SFC Suspends the Registrations of Tam Yui Man (in PDF) | |
| SFC Welcomes the Passage of the Securities and Futures Ordinance (in PDF) | |
| SFC Takes Action Against Hong Kong Forex Investment Limited (Formerly Tse's Forex Investment Company Limited) (HKFIL) (in PDF) | |
| Court Order to Continue the Administration of Ying Kit Stock Company (Ying Kit) (in PDF) | |
| SFC Consults the Public on Proposed Licensing Fees (in PDF) | |
| Mandatory Conditional Cash Offer for Symphony Holdings Limited by Well Success Investment Limited (in PDF) | |
| SFC Welcomes Budget Speech Proposals (in PDF) | |
| Mandatory Conditional Cash Offer for Symphony Holdings Limited by Well Success Investment Limited (in PDF) | |
| Reduction of SFC Levy and Compensation Fund Levy for Options on Stock Futures (in PDF) | |
| SFC Consults the Public on Proposed Amendments to the Current Financial Resources Rules (in PDF) | |
| Opening Statement by Andrew Sheng at the LegCo Financial Affairs Panel Meeting (in PDF) | |
| SFC Suspends the Registration of TSANG Chi Ming (in PDF) | |
| (1) SFC Successfully Prosecutes LM Investment Management Hong Kong Ltd. and its Director Melanie Jane Nutbeam; (2) SFC Prosecutes Mr Ho To Yan for Contravening the Commodity Trading Ordinance and the Protection of Investors Ordinance (in PDF) | |
| SFC reinforces the message "When You Invest, Bank on Facts" with the launch of its API and eIRC (in PDF) | |
| SFC Successfully Prosecutes Asia Network Base (Hong Kong) Limited (ANBHK) and its Directors (in PDF) | |
| Mandatory Conditional Cash Offer for Symphony Holdings Limited by Well Success Investment Limited (in PDF) | |