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;
Sample 1Sample 2Sample 3
Securities and Futures Commission means the Securities and Futures Commission of Hong Kong;
Sample 1Sample 2
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);
Sample 1

Examples of Securities and Futures Commission in a sentence

  • Is the Issuer or our Guarantor regulated by the Hong Kong Monetary Authority referred to in Rule 15A.13(2) or the Securities and Futures Commission referred to in Rule 15A.13(3)?We are a Financial Institution in the meaning of the Luxembourg Law of 5 April 1993 on the Financial Sector (as amended) relating to the financial sector.

  • The Issuer is not regulated by the Hong Kong Monetary Authority referred to in Rule 15A.13(2) or the Securities and Futures Commission referred to in Rule 15A.13(3).

  • The Listing Rules permit companies whose primary listing is on the Stock Exchange to repurchase their shares on the Stock Exchange and any other stock exchange on which the securities of the company are listed and such exchange is recognised by the Securities and Futures Commission of Hong Kong subject to certain restrictions.

  • Yours faithfully, For and on behalf ofGram Capital Limited Graham Lam Managing Director Note: Mr. Graham Lam is a licensed person registered with the Securities and Futures Commission and a responsible officer of Gram Capital Limited to carry out Type 6 (advising on corporate finance) regulated activity under the SFO.

  • The Listing Rules permit companies whose primary listings are on the Stock Exchange to repurchase their securities on the Stock Exchange and any other stock exchange on which securities of the company are listed and such exchange is recognised by the Securities and Futures Commission of Hong Kong subject to certain restrictions.

  • Where a Fund is authorised for public offer in Hong Kong, the Hong Kong Securities and Futures Commission (“HKSFC”) requires the Unit Trust to classify the Fund on the basis of its expected maximum net derivative exposure (“NDE”).

  • Yours faithfully,For and on behalf ofGram Capital Limited Graham LamManaging Director Note: Mr. Graham Lam is a licensed person registered with the Securities and Futures Commission and a responsible officer of Gram Capital Limited to carry out Type 6 (advising on corporate finance) regulated activity under the SFO.

  • Connected Persons of the Manager are those as defined in the Code on Unit Trusts and Mutual Funds established by the Securities and Futures Commission of Hong Kong (the “SFC Code”).

  • Is the Issuer or our Guarantor regulated by the Hong Kong Monetary Authority referred to in Rule 15A.13(2) or the Securities and Futures Commission referred to in Rule 15A.13(3)?The Issuer is subject to prudential supervision and regulated by the Swiss Financial Market Supervisory Authority (FINMA), while our Guarantor as the parent group company is subject to complementary, consolidated group supervision by FINMA.

  • In accordance with the Code of Conduct for Persons Licensed or Registered with the Securities and Futures Commission, the licensed representatives (and their associates) shall not deal or trade any financial instruments detailed in this report (i) in a manner contrary to this research report; (ii) within 30 days prior to and 3 business days after the issue of this research report.


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)
Sample 1
Securities and Futures Commission or “SFC” means the Securities and Futures Commission of Hong Kong;
Sample 1
Securities and Futures Commission the Securities and Futures Commission of Hong Kong.
Sample 1

Related to Securities and Futures Commission

  • Securities and Futures Ordinance means the Securities and Futures Ordinance (Cap. 571) 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 regulatory authorities in each of the Qualifying Jurisdictions;

  • 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

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

  • Public or private safety agency means a unit of state or local government, a special purpose district, or a private firm, which provides or has the authority to provide firefighting, police, ambulance, emergency medical services or hazardous materials response.

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