Given the broader clientele coverage, the complexity of the business activities undertaken, and the need to have day-to-day dealings and communications with the exchanges, the SFC generally expects that an exchange participant of The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited to have at least two responsible officers locally available at all times to directly supervise its brokerage business. … If you continue to use this website, you are agreeing to their uses. The SFC has reiterated its statutory obligation under section 378 of the Securities and Futures Ordinance (SFO) to preserve secrecy in respect of information obtained during the performance of its regulatory functions including disclosures made to the SFC under the new Obligation and will treat such information … From time to time it may also cover other recent market developments. A corporation licensed with the Securities and Futures Commission (SFC) is required under section 4(3) of the Securities and Futures (Licensing) (Registration and Information) Rules, to notify the SFC within seven business days after the occurrence of various events, including “changes in the information in respect of any assets of the licensed corporation that is subject to any charge (including … All licensed persons and registered institutions should pay annual fees within one month after each anniversary date of their licences or registrations (section 138(2) of the SFO). Please refer to Do you need a licence or registration? Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. Licensed corporations and registered institutions are primarily responsible for designing and implementing a continuous education programme best suited to the training needs of the licensed representatives or relevant individuals they engage. The sensitivity of the information from the SFC layer raises a need for careful security considerations. Also, intermediaries are advised to discuss such activities with the SFC before the relevant business is conducted in Hong Kong by the intermediaries or their group entities. (c) when a person connected with the corporation and knowing that any information is inside information in relation to the corporation, discloses the information, directly or indirectly, to another person, knowing or having reasonable cause to believe that the other person will make use of the information for the purpose of dealing, or of counselling or procuring another person to deal, in the … Licensed corporations and individuals are required to confirm (when submitting their annual returns through the SFC Online Portal) whether they have complied with the relevant CPT requirements for the previous calendar year. Licensed corporations and registered institutions should keep sufficient records on the programmes and the CPT activities undertaken by the individuals for a minimum of 3 years and be made available for inspection upon request by the SFC or the HKMA. further information requested during the assessment process the number of applications we are processing at any particular time Source: The SFC Licencing Handbook –February 2019 The SFC provides the following estimate of application processing time. The State Finance Corporations (SFCs) are an integral part of institutional finance structure of a country. Learn more about our, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Securities and Futures Ordinance (with subsidiary legislation), Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, the Securities and Futures (Licensing and Registration) (Information) Rules, “Circular to Intermediaries Regarding Compliance with Notification Requirements”, "Guidelines on Continuous Professional Training". Licensed corporations and licensed individuals are required to submit annual returns to the SFC through the SFC Online Portal within one month after each anniversary date of their licences (section 138(4) of the SFO). sections 123 and 135) and the Securities and Futures (Licensing and Registration) (Information) Rules. In particular, it covers amendments to the Rules Governing the Listing of Securities on HKEx (Listing Rules) as well as announcements, guidance and enforcement-related news from HKEx and the Securities and Futures Commission (SFC). SFC has published Guidelines on Disclosure of Inside Information (“SFC Guidelines”) to assist listed companies to comply with the disclosure obligation. The SFC has the power to revoke or suspend your licence (in related to all or certain regulated activity(ies)) under section 195(1)(c) of the SFO, if you do not carry on all or some of the regulated activity(ies) for which you are licensed. Those online courses have to be of relevance to the licensees’ functions. Rules, (3) the financial information that it is nevertheless still able to report on, and (4) explain whether the accuracy, completeness and presentation of the financial information available is ... the overall objective of the Exchange and the SFC to minimize disruptions to trading while to provide guidance for the furtherance of its regulatory objectives, in relation to any matters pertaining to any of its functions, and. The SFC issues codes and guidelines to help industry participants comply with the laws. The SFO requires that there must be at least one responsible officer available at all times to supervise the licensed corporation’s business of carrying on a regulated activity. The annual fee amounts are shown in the table below. in relation to the operation of any provision of the SFO. The CPT requirement for a responsible officer is no different from that of a representative in terms of the number of CPT hours. SFC Status: Fall 2020 courses will be conducted under a flexible hybrid model, incorporating both in-person and online instruction. Section 4(2) of the Information Rules requires that certain changes in information (as specified in Part 1 of Schedule 3) that have previously been provided to the SFC in support of a licence application must be communicated to the SFC within seven days after the changes take place. At least 7 business days before the intended cessation of business, Ceased to act as a licensed representative, At least 7 business days before the intended change in business address, Change in director or his/her particulars, Change in complaints officer or his/her particulars, Change in emergency contact person or his/her particulars, Change in share capital or shareholding structure, Significant changes in nature of business carried on and types of services provided, Changes in Managers-In-Charge of Core Functions (MICs) (including any new appointment and cessation of appointment), Change in associated entity or its particulars, Change in insurance policy maintained under the Securities and Futures (Insurance) Rules, Give notice of a motion to change auditor in a general meeting, etc. The Circular makes a distinction between: The Scottish Funding Council (SFC) is the national, strategic body that is responsible for funding teaching and learning provision, research and other activities in Scotland's colleges and universities. For licensed individuals, notifications must be made through the SFC Online Portal. The SFC takes this information into account in its assessment of the corporation's … Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 Sequential Function Chart TM242 - Sequential Function Chart (SFC) 5 2 SEQUENTIAL FUNCTION CHART 2.1 General information Sequential Function Chart is a visual programming language that makes it possible to … Breach of a code of conduct provision may lead to disciplinary action. Visit SFCAthletics.com for more information. Securities and Futures Commission54/F, One Island East18 Westlands Road, Quarry Bay, Hong Kong, Tel +852 2231 1222 This requirement does not apply to an associated entity which is an authorized financial institution. See also “Circular to intermediaries on compliance with notification requirements”. If you have ceased to carry on all or any regulated activities for more than one month, you should return the licence certificate to the SFC for cancellation or amendment (as the case may be) within 37 days after the cessation unless the SFC has approved a longer period for such purpose (section 4 of the Securities and Futures (Miscellaneous) Rules). Individuals should also retain their own CPT compliance records for a minimum of 3 years. If your place of business consists of more than one floor in the same building, it may not be necessary to display your licence or certificate at each of the floors if all the floors share a common client reception area and your licence or certificate is displayed therein. However, in terms of the content, please refer to paragraphs 7.1 and 7.2 of the "Guidelines on Continuous Professional Training" for examples relevant to each level. Provided that there are independent assessments, such as evaluation or test results, and sufficient records to demonstrate fulfilment and duration of training, they can be counted towards acceptable CPT activities. Email enquiry@sfc.hk, We use cookies to improve the website performance and user experience. If a licensed corporation ceases carrying on all of the regulated activities for which it is licensed, it should submit to the SFC its audited accounts and other required documents, made up to the date of cessation, not later than four months after the date of the cessation. Failure to make full payment of the annual fee before the due date will attract a surcharge on the outstanding amount and possible suspension and revocation of a licence or registration (sections 138(3) and 195(4)(a) and (6) of the SFO). Further to paragraph 6.2 of the "Guidelines on Continuous Professional Training", the taking of online courses will be considered as self-study. The particulars required for notification are set out in sections 3 and 4 of the Securities and Futures (Associated Entities – Notice) Rules. When applying for a licence under section 116(1) of the SFO, a corporation is required to submit information on its human resources and organisational structure showing that it is capable of carrying on regulated activities competently (see section 3(1)(a) and Part 1 of Schedule 2 (items 11 and 12) of the Information Rules). Under the Securities and Futures Ordinance (SFO) (section 169), the SFC has specific power to publish codes of conduct for the purpose of giving guidance relating to the practices and standards with which intermediaries and their representatives are expected to comply. If you continue to use this website, you are agreeing to their uses. The Hong Kong Sponsor Due Diligence Guidelines have been developed as an initiative of Hong Kong sponsors for the purpose of promoting standards in the conduct of due diligence in respect of new Hong Kong listings of equity securities with a view to maintaining the integrity of the Hong Kong market and, in particular, to assuring the quality of information disclosed in listing documents. The changes include, among other things: In any event, if you intend to cease to carry on any regulated activities, you should notify the SFC as mentioned below, and should also request a revocation, under section 195(1)(d) of the SFO, of either (i) your licence (if all regulated activities under your licence are to be ceased) or (ii) the regulated activity(ies) to be ceased. The mapping and the rules information at the classifier component may reveal the traffic rules and the traffic mapped to the SFC. Details are set out in the table below. Do you need a licence or registration? Intermediaries are required to notify the SFC of its engagement in trading and asset management services involving virtual assets as well as robo-advisory financial services. An associated entity is also required to notify the SFC of its financial year end within one month after becoming an associated entity (section 155(1)(b) of the SFO). The SFC issued a reminder on 11 May 2015 to intermediaries as well as their substantial shareholders about compliance with the notification requirements under the Securities and Futures Ordinance, the Securities and Futures (Licensing and Registration) (Information) Rules (Information Rules… On the OTC derivatives front, the SFC will publish the draft amendment rules “once the drafting is completed”. The important point to note is that the training topics must be relevant to the functions to be performed by the person. Please click to enter the appropriate section below: To find out more about purchasing printed copies of the codes and guidelines in person, please click here. However, corporations that are licensed only for Type 4, Type 5, Type 6, Type 9 and/or Type 10 regulated activities and whose licences are subject to the condition that they shall not hold client assets, are only required to submit semi-annual financial resources returns (section 56 of the Securities and Futures (Financial Resources) Rules). Had the information been known to the investing public, it would have been likely to materially affect the share price of Company A. For details, please refer to the “Guidelines on Continuous Professional Training”. The SFC took the view that the information about the financial deterioration was specific information regarding Biostime, price sensitive and not generally known to the public at the material time. Learn more about our, To find out more about purchasing printed copies of the codes and guidelines in person, please, Academic and Accreditation Advisory Committee, Committee on Real Estate Investment Trusts, Share Registrars' Disciplinary Appeals Committee, Mainland-Hong Kong Mutual Recognition of Funds, Cooperative arrangements with the CSRC and Mainland exchanges, Cooperative arrangements with other Mainland regulators, Investigatory assistance and exchange of information, Public enquiries: Further guidance and sources of information, Companies (Winding Up and Miscellaneous Provisions) Ordinance exemptions, Guidelines on Disclosure of Inside Information, Disciplinary proceedings before the Takeovers Panel, Types of intermediary and licensed individual, Register of licensees & registered institutions, List of modifications or waivers of licensing requirements, List of jurisdictions with comparable OTCD margin requirements, List of publicly offered investment products, Specific information about unlisted structured investment products, List of recognised jurisdiction schemes and inspection regimes, List of registered open-ended fund companies, Register of Automated Trading Services Authorized Under Part III of the Securities and Futures Ordinance, List of Designated Central Counterparties for the Purposes of Mandatory Clearing Under Part IIIA of the Securities and Futures Ordinance, Aggregated reportable short positions of specified shares, Securities and Futures Ordinance (with subsidiary legislation), Companies (Winding Up and Miscellaneous Provisions) Ordinance (with subsidiary legislation), Securities and Futures Ordinance Part XV - Disclosure of Interests, List of eligible jurisdictions for remote onboarding of overseas individual clients, Anti-money laundering and counter-financing of terrorism, Other publications and information sources, Minimum information to be provided and warning statements, Open-ended Fund Company: The corporate investment fund vehicle in Hong Kong, High shareholding concentration announcements, The Investor Compensation Company Limited. 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