Subcommittee on draft subsidiary legislation to be made under the Securities and Futures Ordinance

Papers

Information paper on Securities and Futures Ordinance (Amendment of Schedule 10) Order 2002 (English version only) [CB(1)394/02-03(01)] Revised draft on "Securities and Futures (Contract Limits and Reportable Positions) Rules" (English version only) [CB(1)394/02-03(03)] Revised draft on "Securities and Futures (Levy) Order" and "Securities and Futures (Investor Compensation - Levy) Rules" (English version only) [CB(1)394/02-03(02)] Second Revised draft of the Securities and Futures (Licensing and Registration) (Information) Rules (English version only) [CB(1)363/02-03] Follow-up paper -- Second revised draft of the Securities and Futures (Insurance) Rules (English version only) [CB(1)563/02-03] (24 October 2002) Information paper provided by the Administration on "Securities and Futures (Accounts and Audit) Rules" [CB(1)2168/01-02(04)] (24 October 2002 and 9 July 2002) Information paper provided by the Administration on "Securities and Futures (Associated Entities) Rules" [CB(1)1877/01-02(03)] (24 October 2002 and 6 June 2002) Information paper provided by the Administration on "Securities and Futures (Client Money) Rules" [CB(1)2168/01-02(01)] (24 October 2002 and 9 July 2002) Information paper provided by the Administration on "Securities and Futures (Client Securities) Rules" [CB(1)2168/01-02(02)] (24 October 2002 and 9 July 2002) Information paper provided by the Administration on "Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules" [CB(1)1895/01-02(04)] (24 October 2002 and 7 June 2002) Information paper provided by the Administration on "Securities and Futures (Disclosure of Interests - Exclusions) Regulation" [CB(1)2252/01-02(01)] (24 October 2002 and 15 July 2002) Information paper provided by the Administration on "Securities and Futures (Financial Resources) Rules" [CB(1)2494/01-02(01)] (24 October 2002 and 7 October 2002) Information paper provided by the Administration on "Securities and Futures (Insurance) Rules" [CB(1)2490/01-02(02)] (24 October 2002 and 18 September 2002) Information paper provided by the Administration on "Securities and Futures (Investor Compensation - Levy) Rules"; "Securities and Futures (Investor Compensation - Compensation Limits) Rules"; "Securities and Futures (Investor Compensation - Claims) Rules"; and "Securities and Futures (Transfer of Functions - Investor Compensation Company) Order" [CB(1)1895/01-02(02)] (24 October 2002 and 7 June 2002) Information paper provided by the Administration on "Securities and Futures (Keeping of Records) Rules" [CB(1)2168/01-02(03)] (24 October 2002 and 9 July 2002) Information paper provided by the Administration on "Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules" [CB(1)2232/01-02(01)] (24 October 2002 and 15 July 2002) Information paper provided by the Administration on "Securities and Futures (Licensing and Registration) (Information) Rules" [CB(1)2490/01-02(01)] (24 October 2002 and 16 September 2002) Information paper provided by the Administration on "Securities and Futures (Professional Investor) Rules" [CB(1)1877/01-02(02)] (24 October 2002 and 6 June 2002) Information paper provided by the Administration on "Securities and Futures (Short Selling Exemption and Stock Lending) Rules" [CB(1)2232/01-02(02)] (24 October 2002 and 15 July 2002) Information paper provided by the Administration on "Securities and Futures (Unsolicited Calls - Exclusion) Rules" [CB(1)1564/01-02(01)] (24 October 2002 and 29 April 2002) Revised draft on "Securities and Futures (Accounts and Audit) Rules" [CB(1)84/02-03(04)] (24 October 2002) Revised draft on "Securities and Futures (Associated Entities) Rules" [CB(1)84/02-03(03)] (24 October 2002) Revised draft on "Securities and Futures (Client Money) Rules" [CB(1)46/02-03(01)] (24 October 2002) Revised draft on "Securities and Futures (Client Securities) Rules" [CB(1)46/02-03(02)] (24 October 2002) Revised draft on "Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules" [CB(1)84/02-03(01)] (24 October 2002) Revised draft on "Securities and Futures (Disclosure of Interests - Exclusions) Regulation" [CB(1)84/02-03(02)] (24 October 2002) Revised draft on "Securities and Futures (Financial Resources) Rules" (English version only) [CB(1)99/02-03(01)] (24 October 2002) Revised draft on "Securities and Futures (Insurance) Rules" (English version only) [CB(1)130/02-03(01)] (24 October 2002) Revised draft on "Securities and Futures (Investor Compensation - Claims) Rules" [CB(1)81/02-03(02)] (24 October 2002) Revised draft on "Securities and Futures (Keeping of Records) Rules" [CB(1)81/02-03(01)] (24 October 2002) Revised draft on "Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules" [CB(1)81/02-03(06)] (24 October 2002) Revised draft on "Securities and Futures (Licensing and Registration) (Information) Rules" [CB(1)81/02-03(03)] (24 October 2002) Revised draft on "Securities and Futures (Professional Investor) Rules" [CB(1)81/02-03(05)] (24 October 2002) Revised draft on "Securities and Futures (Short Selling Exemption and Stock Lending) Rules" [CB(1)84/02-03(05)] (24 October 2002) Revised draft on "Securities and Futures (Unsolicited Calls - Exclusion) Rules" [CB(1)81/02-03(04)] (24 October 2002) Follow-up paper -- New Memorandum of Understanding between the Securities and Futures Commission and the Stock Exchange of Hong Kong Limited (English version only) [CB(1)905/02-03] (20 September 2002) Information paper provided by the Administration on "Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2002" [CB(1)2518/01-02(03)] (20 September 2002) Information paper provided by the Administration on "Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002" [CB(1)2518/01-02(02)] (20 September 2002) Information paper provided by the Administration on "Securities and Futures (Stock Market Listing) Rules" and "Securities and Futures (Transfer of Functions - Stock Exchange Company) Order" [CB(1)2518/01-02(01)] (20 September 2002) Information paper provided by the Administration on "Securities and Futures (Fees) Rules" [CB(1)2506/01-02(01)] (18 September 2002) Information paper provided by the Administration on "Securities and Futures (Contracts Limits and Reportable Positions) Rules" [CB(1)2490/01-02(04)] (16 September 2002) Information paper provided by the Administration on "Securities and Futures (Miscellaneous) Rules" and "Securities and Futures (Offence and Penalty) Regulation" [CB(1)2490/01-02(03)] (16 September 2002) Information paper provided by the Administration on "Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules" [CB(1)2232/01-02(03)] (15 July 2002) Information paper provided by the Administration on "Securities and Futures (Price Stabilizing) Rules" [CB(1)2168/01-02(05)] (9 July 2002) Information paper provided by the Administration on "Securities and Futures (Leveraged Foreign Exchange Trading) (Arbitration) Rules" [CB(1)1895/01-02(03)] (7 June 2002) Information paper provided by the Administration on "Securities and Futures (Levy) Order" and "Securities and Futures (Levy) Rules" [CB(1)1895/01-02(01)] (7 June 2002) Information paper provided by the Administration on "Securities and Futures (Collective Investment Schemes) Notice" [CB(1)1877/01-02(01)] (6 June 2002) Information paper provided by the Administration on "Securities and Futures (Exempted Instruments - Information) Rules" [CB(1)1848/01-02(02)] (6 June 2002) Information paper provided by the Administration on "Securities and Futures (Registration of Commission Disciplinary Orders) Rules"; "Securities and Futures (Securities and Futures Appeals Tribunal - Registration of Orders) Rules"; and "Securities and Futures (Market Misconduct Tribunal - Registration of Orders) Rules" [CB(1)1848/01-02(01)] (6 June 2002) Paper prepared by the Secretariat on submission of the Subcommittee's report to the House Committee [CB(1)1896/01-02] (6 June 2002) Information paper provided by the Administration on "Securities and Futures (Licensed Persons and Registered Institutions) Rules" [CB(1)1564/01-02(02)] (29 April 2002) Information paper provided by the Administration on "Securities and Futures (Recognized Counterparty) Rules" [CB(1)1564/01-02(03)] (29 April 2002) Follow-up paper -- New Memorandum of Understanding between the Securities and Futures Commission and the Hong Kong Monetary Authority (English version only) [CB(1)554/02-03] (29 April 2002) Follow-up paper - A letter from Hon Henry WU King-cheong dated 15 March 2002 (English version only) [CB(1)1425/01-02] (28 March 2002) Proposed work plan for the Subcommittee [CB(1)1364/01-02(01)] (28 March 2002)

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