Securities and futures keeping of records rules
Securities and Futures (Keeping of Records) Rules under Cap. 571O, section 151. Recently, as an increasingly prevalent trend of use of external electronic data foreign institutional investors in China's securities and futures markets and (7) failing to comply with relevant rules in record-keeping of remittances of funds. 1 Feb 2018 The Securities and Futures (Keeping of Record) Rules (SFO Record Keeping Rules) also set out specific requirements for certain types of The I.M satisfies the Securities and Futures Commission's (SFC) Guidance to the Keeping of Records Rules, intermediaries are required to keep records In December 2017, the Securities and Futures Commission (SFC) and the China Rules regarding reporting, record-keeping, clearing and margining are
The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market.
On October 25, 2001, the Securities and Exchange Commission ("SEC" or "Commission") adopted amendments to Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 ("Exchange Act") to clarify and expand record keeping requirements in connection with purchase and sale documents, customer records, associated person records, customer complaint records, and certain other matters. 1 Hong Kong's Securities and Futures Commission (SFC) issued a circular on 31 October 2019 clarifying its expectations of the SFC-licensed corporations utilsing electronic data storage providers to store or process records electronically. (D) A record of any denial of membership or registration, and of any disciplinary action taken, or sanction imposed, upon the associated person by any federal or state agency, or by any national securities exchange or national securities association, the Securities and Futures Ordinance Securities and Futures (Keeping of Records) Rules This paper sets out the proposals of the Securities and Futures Commission (SFC) to prescribe the records that intermediaries and their associated entities must keep for the purposes of section 151 of the Securities and Futures Ordinance (SFO) (5 of 2002). Proposal 2.
18 May 2018 Registrar must keep records and maintain register of open-ended (Made by the Securities and Futures Commission under section 112ZK.
27 Nov 2019 Hong Kong's Securities and Futures Commission (SFC) issued a Records at an SFC-approved record keeping address in Hong Kong.
SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES (Made by the Securities and Futures Commission under section 147(1) of the Securities and Futures Ordinance ([ ] of 2002)) PART 1 PRELIMINARY 1. Commencement These Rules shall come into operation on the day appointed for the commencement of Part VI of the Securities and Futures
The Commodity Futures Modernization Act of 2000 amended the Securities Exchange Act of 1934 to require NFA to "have rules that ensure that members and natural persons associated with members meet such standards of training, experience, and competence necessary to effect transactions in security futures products and are tested for their knowledge If a customer declines to provide the information set forth in Section (c) of this Rule, the Member or Associate shall make a record that the customer declined, except that such a record need not be made in the case of a non-U.S. customer unless such customer trades security futures products. It is anticipated that the SFO will not come into force until early 2003, possibly the first or second quarter when the Securities and Futures Commission (“the SFC”) and the Hong Kong Monetary Authority (“the HKMA”) have finalized all the corresponding subsidiary legislation, rules and code of conduct which will, as a whole, govern the financial sector in Hong Kong.
15 Feb 2017 3. General record keeping requirements for intermediaries. (1). An intermediary shall, in relation to the businesses which constitute any regulated
accordance with Rule 26(3) of the Reporting Rules; -“Reporting Rules” means the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules; -“SFC” refers to the Securities and Futures Commission; -“SFO” refers to the Securities and Futures Ordinance (Chapter 571, Laws of Hong Kong); “Securities, Futures and Fund Management”), and any reference in these Regulations to a numbered form shall be construed as a reference to the current version of the form bearing the corresponding number which is displayed at that website. (2) Any document required to be lodged with the Authority
Securities and Futures (Client Money) Rules (Client Money Rules);. c. Securities and Futures (Keeping of Records) Rules (Keeping of Records Rules); and. d. 1 Nov 2019 Yesterday, the Hong Kong Securities and Futures Commission (SFC) records or documents they are required to keep under the Securities