HONGKONG SECURITIES REGULATIONS(香港证券规则).ppt

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2024-04-29 发布于云南
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HONGKONG SECURITIES REGULATIONS(香港证券规则).ppt

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HONGKONGSECURITIESREGULATIONSTopic4:compareandcontrastthecoverageoftheSFOandtheCompaniesOrdinance<比较香港证券及期货条例与公司条例的管辖范围>1

ThemeansoftheSFOandtheCompaniesOrdinanceTheSFO:theSecuritiesandFuturesOrdinance《香港证券及期货条例》TheCompaniesOrdinance:《香港公司条例》2

WewillcontrastthetwoordinancefromtwopartsThecommonpointsThedifferentpoints3

ThecommonpointTheSFOandthecompaniesordinancearerelevantformanyaspectsofsecuritiesbusiness.TheyarealsorelatedtotheSFCinsomeparts.TheyalsoregulatethesecuritiesandfuturesmarketorcompanythatoutsideHongKongTheyalsoregulatetheoffencerelatingtothesecuritiesandfuturesandcompaniesTheyalsoregulatethepowerofFinancialSecretaryineachcoverage.4

ThedifferencesTheSFOisanOrdinancetoconsolidateandamendthelawrelatingtofinancialproducts,thesecuritiesandfuturesmarketandthesecuritiesandfuturesindustry,theregulationofactivitiesandothermattersconnectedwithfinancialproducts,thesecuritiesandfuturesmarketandthesecuritiesandfuturesindustry,theprotectionofinvestors,andothermattersincidentaltheretoorconnectedtherewith,andforconnectedpurposes.5

ThedifferencesTheSFOistheregulationoftheSFC:itregulatetheSFC’screation,regulatoryfunctions,objectives,powers,duties.ConstitutionandproceduresAccountabilitymeasures,e.g:restrictionondelegation,reporting,auditTheSFOistheregulationsofexchangecompanies,clearinghouses,exchangecontrollers,investors,compensationcompaniesandATS.6

ThedifferencesTheSFOalsoregulatethelicensingandregistrationofSecuritiesandFuturesbusiness.ItalsoregulatetheSFAT’scomposition,scope,process,power.7

ThedifferencesTheCompaniesOrdinanceisthelawrelatingtocompanies.Itregulatescompanies’incorporationandmattersincidentalthereto(companies’power,kind,registration,contracts,etc.)Companies’sharecapitala