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The four financial regulators are the Hong Kong Monetary Authority (HKMA), the Insurance Authority (IA), the Mandatory Provident Fund Schemes Authority (MPFA)and the Securities and Futures Commission (SFC).The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong’s securities and futures markets.HKEX is the operator of the central securities and derivatives marketplace and the front-line regulator of listed issuers. HKEX carries out regulation of listed issuers and any relevant party in accordance with the Listing Rules.
| Emblem of the Hong Kong SAR | |
| Agency overview | |
|---|---|
| Headquarters | 14th floor, High Block, Queensway Government Offices, 66 Queensway, Hong Kong |
| Minister responsible | Ms. Ada Chung Lai Ling, J.P., Registrar of Companies |
| Parent agency | Financial Services and the Treasury Bureau |
Who are the regulators in Hong Kong?
The four financial regulators are the Hong Kong Monetary Authority (HKMA), the Insurance Authority (IA), the Mandatory Provident Fund Schemes Authority (MPFA)and the Securities and Futures Commission (SFC).
Who does the SFC regulate?
The Securities and Futures Commission (SFC) is an independent statutory body set up in 1989 to regulate Hong Kong’s securities and futures markets.
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Is HKEX a regulator?
HKEX is the operator of the central securities and derivatives marketplace and the front-line regulator of listed issuers. HKEX carries out regulation of listed issuers and any relevant party in accordance with the Listing Rules.
What is Hong Kong companies Ordinance?
Hong Kong Companies Ordinance (Companies Act) is an official document stating the legal limits within which companies may do their business in Hong Kong.
Is Hong Kong regulated?
The principal regulator of Hong Kong’s securities and futures markets is the Securities and Futures Commission (SFC), which is an independent statutory body established in 1989 by the Securities and Futures Commission Ordinance (SFCO).
Who regulates asset managers in Hong Kong?
A Hong Kong manager of non-retail funds is required to be licensed by the SFC to conduct Type 9 regulated activity in asset management, and is thereby subject to regulation by the SFC in its business of managing the non-retail funds.
What does the SFC do?
The SFC administers the licensing requirements and conducts ongoing supervision of licensed intermediaries. We set the standards of conduct for intermediaries, including, among others, the requirement that recommendations made are suitable for their prospective clients.
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Why is SFC important?
The State Finance Corporations (SFCs) are an integral part of institutional finance structure of a country. Where SEC promotes small and medium industries of the states. Besides, SFC help in ensuring balanced regional development, higher investment, more employment generation and broad ownership of various industries.
What is SFC type?
SFC license types for regulated activities
Type 1 – Dealing in securities. Type 2 – Dealing in futures contracts. Type 3 – Leveraged foreign exchange trading. Type 4 – Advising on securities.
What is the difference between HKEX and SEHK?
Hong Kong Exchanges and Clearing Limited (HKEX)
Under the reform, The Stock Exchange of Hong Kong Limited (SEHK), Hong Kong Futures Exchange Limited (HKFE) demutualised and together with Hong Kong Securities Clearing Company Limited (HKSCC), merged under a single holding company, HKEX.
Who owns Hong Kong Exchanges and Clearing?
| 香港聯合交易所 | |
|---|---|
| Logo of Hong Kong Exchanges and Clearing, owner of SEHK | |
| Owner | Hong Kong Exchanges and Clearing |
| Key people | Nicolas Aguzin (CEO) Laura Cha (Chairman) |
| Currency | Hong Kong dollar |
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What is Hkats?
HKATS is a transaction-based trading system. Trading on HKATS can be conducted through OMnet Application Programme Interface (OAPI) and/or HKATS Online (a browser based frontend application).
What is Company ordinance?
The Companies Ordinance 1984 is a broad piece of Pakistani legislation that, according to its own preamble, is “An Ordinance to consolidate and amend the law relating to companies and certain other associations“.
Which of the following document regulates the manner in which the company’s affairs will be managed?
Articles of association form a document that specifies the regulations for a company’s operations and defines the company’s purpose.
What is a deed Hong Kong?
The new CO provides that a Hong Kong company may execute a document as a deed by:- (a) affixing its common seal (if adopted) in accordance with its Articles; or (b) signing the document by any two directors or any one director plus the company secretary or if the company has only one director, by that director; or (c) …
Is HKMA a government department?
The Hong Kong Monetary Authority (HKMA) is Hong Kong’s central banking institution. It is a government authority founded on 1 April 1993 when the Office of the Exchange Fund and the Office of the Commissioner of Banking merged. The organisation reports directly to the Financial Secretary.
What HKMA reporting?
What is HKMA Reporting? HKMA Reporting refers to the requirement put in place by the Hong Kong Monetary Authority and the Securities & Futures Commission of Hong Kong for firms to submit details of their derivatives transactions to the HKMA trade repository.
How does HKEX make money?
Cash trading currently accounts for about 60% of HKEX’s trading fees and tariffs, according to Citi. Meanwhile, HKEX makes just 7% of its revenue from selling information such as market data and indices, according to consultancy Quinlan & Associates, compared with 28% for rivals in North America.
Are PE funds regulated?
PE funds are generally viewed by sophisticated regulatory systems as high-risk investments, and consequently, marketing rules tend to restrict participation in PE funds to high net worth individuals and institutional investors.
Can funds be regulated?
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The Rule, which was first proposed in December 2018, is intended to provide regulated funds with investment flexibility, while at the same time protecting investors against concerns potentially raised by fund of funds arrangements.
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What is asset management in accounting?
Asset management is the practice of increasing total wealth over time by acquiring, maintaining, and trading investments that have the potential to grow in value. Asset management professionals perform this service for others. They may also be called portfolio managers or financial advisors.
Why do you want to join SFC?
“The SFC gives you a wide exposure to the market, constant training to keep up-to-date with market trends and development to prepare for new challenges.” Working at the SFC gives me a wide exposure to different groups of clientele varying in sizes and scopes.
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