What Hong Kong Securities and Futures Ordinance (SFO) Cap. 571 - Licensing and Market Conduct requires
The Hong Kong Securities and Futures Ordinance (SFO, Cap. 571) is the primary statute governing securities and futures markets in Hong Kong. It requires intermediaries to be licensed under one of ten Regulated Activities (RAs) by the Securities and Futures Commission (SFC), prohibits insider dealing (Parts XIII-XIV), prohibits market misconduct (false trading, price rigging, stock market manipulation), mandates short position reporting above 0.02% of outstanding shares or HKD 30 million, and regulates collective investment schemes (funds). The SFC supervises licensed intermediaries through ongoing supervision, inspections, and enforcement. Hong Kong Exchanges and Clearing Limited (HKEX) is the recognised exchange operator.
Pillar: Banking & Global Finance · Authority: Securities and Futures Commission; Hong Kong SAR Government · Version: 1.1.1 · Last updated:
Primary source: https://www.elegislation.gov.hk/hk/cap571
SHA-256 integrity: 2db5f4aa67527fc0d5704bb5ef4218dcd1649571d1a5bb416e2b9906d4ccc12e
Primary Citations — 5 traced to source
- §§114-116 (licensing and registered institutions), Part XIII (market misconduct - civil), Part XIV (criminal market misconduct), §104 (CIS authorisation), Schedule 1 (Professional Investor definition) — Securities and Futures Ordinance (SFO) - Cap. 571, Laws of Hong Kong
- Para 5.1-5.4 (suitability assessment); Para 7 (client money segregation); Para 8 (conflict of interest); Para 15 (complex product enhanced obligations); Professional Investor opt-out procedures — SFC Code of Conduct for Licensed Corporations and Registered Institutions (2023 update)
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