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Securities and Futures Ordinance (CAP 571): Commentary and Annotations

Securities and Futures Ordinance (CAP 571): Commentary and Annotations

Author: Laurence Li
Publisher: Sweet & Maxwell Hong Kong
ISBN: 9789626614495
Published In: October 2015
Format: Hardback (2 volumes) , 1700 pages
Jurisdiction: Hong Kong ? Disclaimer:
Countri(es) stated herein are used as reference only

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A concise reference guide with section by section analysis of the complex rules and concepts contained in the Securities and Futures Ordinance (Cap.571). It contains reference materials and application the (new) Companies Ordinance (Cap.622) and of the Securities and Futures (Amendment) Ordinance 2014, which just came into effect this July 2015, providing for the regulatory framework for the over-the-counter (OTC) derivatives market.

The book analyzes these reforms and amendments to the Ordinance with references to the most recent codes, guidelines and circulars, and acts as a comprehensive and practical guide that provides a better understanding to all 409 sections as well as the Schedules of the Ordinance.

These new provisions enacted by the 2014 Amendment Ordinance and analyzed in this book include:

(i) changes in relation to notice and report requirements under the SFO to be filed electronically;

(ii) the SFC’s enhanced enforcement powers regarding market misconduct offences; and

(iii) the Court’s new power to make disgorgement orders in respect to market misconduct offences.
All 409 Sections and Schedules of the Ordinance.
General Editor:

Mr. Laurence Li, Barrister, Temple Chambers

Mr Laurence Li was Director of Corporate Finance at the Securities and Futures Commission (SFC) from April 2001 to March 2005 in charge of the Dual Filing regime, which provides for statutory regulation of listed companies and listing applications.

List of Distinguished Contributors:
- Mr. Martin Rogers, Partner, Davis Polk and Wardwell
- Mr. Eric Yung, Securities and Futures Commission
- Ms. Jill Wong, Partner, Howse Williams Bowers
- Mr. Sherman Yan, Managing Partner, ONC Lawyers
- Mr. Philson Ho, Partner, So Lung & Associates
- Mr. Kevin Lam, Partner, Kennedys Law LLP
- Ms. Janice Goh, Senior Associate, Clifford Chance
- Mr. Clinton Tsang, Senior Associate, King & Wood Mallesons
- Mr. Peter So, Senior Associate, Deacons
- Ms. Melody Chan, Associate, Robertsons
- Ms. Ling Ling Ng, Solicitor of the High Court of Hong Kong SAR
- Mr. Simson Chu, Esq
- Mr. Antonio M. Da Roza, Barrister, Liberty Chambers, Assistant Professor, Hong Kong University Faculty of Law
- Ms. Queenie Lau, Barrister, Temple Chambers
- Ms. Eva Sit, Barrister, Temple Chambers
- Ms. Elizabeth Cheung, Barrister, Temple Chambers
- Mr. Abraham Chan, Barrister, Temple Chambers
- Mr. Wilson Leung, Barrister, Temple Chambers
- Mr. Julian Lam, Barrister, Temple Chambers
- Mr. Norman Nip, Barrister, Sir Oswald Cheung’s Chambers