Securities and Futures Commission definition

Securities and Futures Commission or "SFC" means the Securities and Futures Commission of Hong Kong and/or any successor or other agency or authority performing or assuming its functions or substantially similar functions;
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Securities and Futures Commission means the Securities and Futures Commission of Hong Kong;
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Securities and Futures Commission. ( 證 監 會 ) means the Securities and Futures Commission referred to in section 3(1) of the Securities and Futures Ordinance (Cap. 571);
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Examples of Securities and Futures Commission in a sentence

  • All listed ETFs on the HKEx securities market are authorised by the Securities and Futures Commission as collective investment schemes.

  • The Client declares that (1) the Client or its ultimate beneficial owner does not have any relationship with any staff of the Broker or directors of First Shanghai Investments Limited or its subsidiaries; and (2) the Client or its ultimate beneficial owner is not an employee of a licensed or registered corporation under the Securities and Futures Commission of Hong Kong, unless otherwise specifies below.

  • Any monies received by CIF from Client or from any other person (including the Clearing House) for the Account are held in the manner specified Schedule 3 and Schedule 4 of Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission (“Code of Conduct”) and Client authorizes CIF to apply any such monies in the manner under Schedule 3 and Schedule 4 of Code of Conduct.

  • For the purposes of these Procedures the following expressions shall have the following meanings: Commission means the executive and non-executive directors, including the chairman, of the SFC appointed pursuant to section 5 of the Securities and Futures Commission Ordinance (Cap.

  • Subject to obtaining authorisation from the Securities and Futures Commission of Hong Kong (“SFC”), a distribution reinvestment arrangement will be made available to Unitholders under which eligible Unitholders will be entitled to have a scrip distribution in lieu of a cash distribution.

  • XX will not hold Customer assets and has agreed to the Securities and Futures Commission of Hong Kong (the “SFC”) licensing condition prohibiting the holding of Customer assets and the Customer assets will be in the safe keeping of the Custodian.

  • An authorised exchange traded fund (“ETF”) is a fund authorised by the Securities and Futures Commission (SFC) that is traded on an exchange.

  • The requirements are set out in the Hong Kong Securities and Futures (Contracts Limits and Reportable Positions) Rules (the “Position Limits and LOPR Rules”), as amended from time to time, made by the Securities and Futures Commission (“SFC”) under the Securities and Futures Ordinance.

  • Level applicable to client’s accounts Certain prescribed limits and reporting level set by the Securities and Futures Commission ("SFC") under the Securities and Futures (Contracts Limits and Reportable Positions) Rules ("the Rules") made pursuant to Section 35 (1) of the Securities and Futures Ordinance will directly affect my/our Account(s) – these are summarized below.

  • The Hong Kong Securities and Futures Commission and HKEx (collectively "the Regulators") may require us to provide, normally within two business days of receipt of their request, identity details of (i) the ultimate person(s) for whom we process a Transaction; and (ii) the intermediate person(s) who give(s) Instructions in relation to that Transaction.


More Definitions of Securities and Futures Commission

Securities and Futures Commission or “SFC” “Securities and Futures Ordinance” or “SFO” the U.S. Securities and Exchange Commission the Securities and Futures Commission of Hong Kong the Securities and Futures Ordinance (Chapter 571 of the Laws of Hong Kong)
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Securities and Futures Commission or “SFC” means the Securities and Futures Commission of Hong Kong;
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Securities and Futures Commission the Securities and Futures Commission of Hong Kong.
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Related to Securities and Futures Commission

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571 of the Laws of Hong Kong);

  • Commodity Futures Trading Commission means the independent regulatory agency established by congress to administer the Commodity Exchange Act.

  • Securities Commission means the applicable securities commission or regulatory authority in each of the Qualifying Jurisdictions;

  • Securities Commissions means collectively, the applicable securities commission or securities regulatory authority in each of the Qualifying Jurisdictions;

  • Securities Trading Act means the Securities Trading Act of 2007 no.75 of the Relevant Jurisdiction.

  • Recognised Futures Exchange means an international futures exchange which is recognised by the SFC or which is approved by the Manager.

  • Canadian Securities Commissions means the securities commissions or similar securities regulatory authorities in each of the provinces and territories of Canada;

  • Commodity Exchange Act means the Commodity Exchange Act (7 U.S.C. § 1 et seq.), as amended from time to time, and any successor statute.

  • Securities Exchange Act means the Securities Exchange Act of 1934, as amended.

  • Commission means the Securities and Exchange Commission.

  • CFTC means the Commodity Futures Trading Commission.

  • Diocesan Schools Commission means the education service provided by the diocese, which may also be known, or referred to, as the Diocesan Education Service.

  • Finance commission means the Finance Commission of Texas.

  • Futures Exchange means the exchange or trading system with the highest trading volume of options or futures contracts relating to the Share. If options or futures contracts on the Share are not traded on any exchange, the Futures Exchange shall be the options or futures exchange with the highest amount of options or futures contracts relating to shares of companies having their residence in the country in which the Company has its residence. If there is no options or futures exchange in the country in which the Company has its residence on which options or futures contracts on shares are traded, the Calculation Agent will determine the Futures Exchange in its reasonable discretion (billiges Ermessen) (§ 317 BGB) and will make notification thereof in accordance with § 6 of the General Terms.

  • Securities and Exchange Commission means the United States Securities and Exchange Commission.

  • Securities Exchange Act of 1934 means the United States Securities Exchange Act of 1934, as from time to time amended.

  • securities regulatory authority or “SRA” means a body created by statute in any Canadian or foreign jurisdiction to administer securities law, regulation and policy (e.g. securities commission), but does not include an exchange or other self regulatory entity;

  • Financial Futures Contract means the firm commitment to buy or sell fixed income securities including, without limitation, U.S. Treasury Bills, U.S. Treasury Notes, U.S. Treasury Bonds, domestic bank certificates of deposit, and Eurodollar certificates of deposit, during a specified month at an agreed upon price.

  • Futures means a futures contract which gives the buyer the obligation to purchase a specific asset, and the seller to sell and deliver that asset at a specific future date, unless such contract is terminated prior to such date for any reason;

  • Securities Exchange means, at any time, the registered national securities exchange on which the Corporation’s equity securities are then principally listed or traded, which shall be the New York Stock Exchange or NASDAQ Global Market (or similar national quotation system of the NASDAQ Stock Market) (“NASDAQ”) or any successor exchange of either the New York Stock Exchange or NASDAQ.

  • Securities Act (Ontario) means the Securities Act, R.S.O. 1990, c. S.5, as amended, and the regulations thereunder, and any comparable or successor laws or regulations thereto;

  • Central Bank UCITS Regulations means the Central Bank (Supervision and Enforcement)

  • Central Bank Regulations means the Central Bank (Supervision and Enforcement) Act 2013 (Section 48(1)) (Undertakings for Collective Investment in Transferable Securities) Regulations, 2019, as may be amended from time to time;

  • ACNC Act means the Australian Charities and Not-for-profits Commission Act 2012 (Cth).

  • Nuclear Regulatory Commission (NRC) means the U.S. Nuclear Regulatory Commission or its duly authorized representatives.

  • Hague Securities Convention means The Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermediary (Concluded 5 July 2006), which became effective in the United States of America on April 1, 2017.