Please enable JavaScript.
Coggle requires JavaScript to display documents.
SFC (provisions (about secrecy, immunity for auditors of listed…
SFC
provisions
about secrecy, immunity for auditors of listed corporations
reporting suspected fraud上 市 法 團 核 數 師 舉 報 涉 嫌 欺 詐 行 為 的 可 獲 豁 免
承 擔 法 律 責 任
-
the liability
of officers of corporations for offences committed by the corporations法 團 的 高 級 人 員 因 法 團 觸 犯 的
罪 行 而 須 負 上 的 法 律 責 任
private right of
action for false or misleading public communications及 對 虛 假 或 具 誤 導 性 的 公 開 通 訊 提 出 私 人 訴 訟 的 權 利
deals with
exchange companies, clearing houses, exchange controllers, investor
compensation companies and ATS
capital requirements, safeguarding of client assets, keeping of records and
provisions for accounts and audits; these are all supplemented by rules made by the SFC
-
-
empowered
-
intervene in the affairs by restricting their business activities and their power to deal with clients’ and their own assets, and also empowers it to require them to maintain property of a value to be specified by the SFC as appropriate
replaces
ten different ordinances that previously formed the
legal framework for securities, futures contracts and investment products.
authorisation
investments and the authorisation of CISs, structured products and
advertisements and other documents that contain an offer to the public.
-
-
constitution, objectives, functions, powers and duties
-