Securities and futures commission annual report

<p>Founded in 1973, OCC is the largest clearing organization in the world for equity derivatives.</p>

The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body An executive committee led by a chief executive officer (CEO) reports to the board and the board chairman and he runs the agency on a.

Mason Futures Limited is licensed by the Securities and Futures Commission to carry on Type 2 and 5 regulated activity in Hong Kong.

As an environmentally friendly. Three Decades of Change and Commitment, PDF. Message from Chairman and CEO. Markets are very different today than they were when. No Further Action. PRP. Process Review Panel for the Securities and Futures. Commission. RO. Responsible Officer. SFC. Securities and Futures Commission.

Mason Global Capital. Securities and Futures Commission, Hong Kong (Mr. Agnes Ng, Senior. The first reporting period for. This is a draft which may be subject to change upon the Securities. and Futures ( Short Position Reporting) Rules coming into effect. Short Position Reporting.

Chairman Message 1.

Please select year. Please select one, 2020, 2019, 2018, 2017, 201, 2015, 2014, 2013, 2012, 2011, 2010. Collapse All. Securities and Futures Commission Financial Reporting Council Mainland China, China Banking and Insurance Regulatory Commission, MoU. Apart from information on the website, hard copies of FRC annual reports are. Report Requirements for Futures Commission Merchants,. Securities and Futures Ordinance Part XV - Disclosure of Interests Account opening Regulatory requirements Acceptable account opening approaches List of eligible jurisdictions for remote onboarding of overseas individual clients Anti-money laundering and counter-financing of terrorism Legal and regulatory requirements Circulars. We seek to do so as early as possible when we become aware of potentially serious disclosure, conduct or public interest issues in listing applications and with listed companies.

Under section 181 of the Securities and Futures Ordinance, brokers are required to provide transaction-related information requested by the SFC.

SFC Securities and Futures Commission SFO Securities and Futures Ordinance. I am delighted to have had the. Operating under the jurisdiction of the U.S. Securities and Exchange Commission (SEC) and the U.S. Commodity Futures Trading Commission (CFTC), OCC pleased to share with you our 2018 annual report. In this report, you. Securities and Futures Commission. Annual Report. for 2017-18.

Table of Contents. Abbreviations used in this Report. Message from the Chairman. Executive Summary Securities and Futures (Stock Market Listing) Rules. Message from the Chairman. Time flies. SFC Annual Report 2017-18: Message from Chairman and CEO: Carlson Tong: Chairman: the Securities and Futures (Stock Market Listing) Rules (SMLR), we now raise objections to listings or capital In particular, our cooperation with the China Securities Regulatory Commission (CSRC) enables us to manage common risks. The strength of our.