Securities and Futures Ordinance (CAP 571): Commentary and Annotations, 2025 Edition (e-Book)
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Securities and Futures Ordinance (CAP 571): Commentary and Annotations, 2025 Edition (e-Book)

By Laurence Li SC
Sweet & Maxwell Hong Kong February 2025

Specifications

ISBN-13
9789888590254
Publisher
Sweet & Maxwell Hong Kong
Publication
February 2025
Format
e-Book , 1400 pages
Jurisdiction
Hong Kong ? Countri(es) for reference only

Details

Remarks: PRINT version is also available. Please click here to purchase the PRINT version.


Over the past five years since the previous edition, the legal landscape around the Securities and Futures Ordinance (SFO) has been particularly active, keeping legal professionals engaged with numerous cases and enforcement actions. A search of the Judiciary's website reveals 191 judgments related to the SFO, and the Securities and Futures Commission has issued 313 enforcement news items during this period. These developments are reflected in the current edition, with many of these matters involving the General Editor and the expert contributors of this title. 

The 2025 Edition of Securities and Futures Ordinance (Cap.571) continues to be a valuable resource for those engaged in this dynamic and rapidly evolving area of law. 

Table of Contents

PART I PRELIMINARY

PART II SECURITIES AND FUTURES COMMISSION

PART III EXCHANGE COMPANIES, CLEARING HOUSES, EXCHANGE CONTROLLERS, INVESTOR COMPENSATION COMPANIES, AND AUTOMATED TRADING SERVICES

PART IIIA OTC DERIVATIVE TRANSACTIONS

PART IV OFFERS OF INVESTMENTS

PART IVA OPEN-ENDED FUND COMPANIES

PART V LICENSING AND REGISTRATION

Part VI CAPITAL REQUIREMENTS, CLIENT ASSETS, RECORDS AND AUDIT RELATING TO INTERMEDIARIES

PART VII BUSINESS CONDUCT, ETC. OF INTERMEDIARIES

PART VIII SUPERVISION AND INVESTIGATIONS

Part IX DISCIPLINE, ETC.

PART X POWERS OF INTERVENTION AND PROCEEDINGS

PART XI SECURITIES AND FUTURES APPEALS TRIBUNAL

PART XII INVESTOR COMPENSATION

PART XIII MARKET MISCONDUCT TRIBUNAL

PART XIV OFFENCES RELATING TO DEALINGS IN SECURITIES AND FUTURES CONTRACTS, ETC.

PART XIVA DISCLOSURE OF INSIDE INFORMATION

PART XV DISCLOSURE OF INTERESTS

PART XVI MISCELLANEOUS

PART XVII REPEALS AND RELATED PROVISIONS

 

About the Author

General Editor
Laurence Li SC
Temple Chambers

Laurence Li SC is a leading practitioner in securities law and financial law.  He has appealed in many of the landmark cases in this area of law in Hong Kong, before all levels of the court and also all the expert tribunals and committees in this field.  In the recent proposals to amend the Securities and Futures Ordinance, the SFC referred to three securities court cases as reasons or justifications for the proposed amendments.  Laurence Li SC appeared in all those cases.

Contributors

Melody Chan
Associate, CMS Hasche Sigle, Hong Kong LLP

Byron Chiu  
Temple Chambers

Philson Ho
Principal, Philson Ho & Associates, Solicitors

Queenie Lau SC
Temple Chambers

John Leung
Temple Chambers

Linh Lieu

Harrison Miao
Temple Chambers

Ling Ling Ng

Norman Nip SC
Rede Chambers

Martin Rogers
Partner, Davis Polk & Wardwell

Natalie So
Temple Chambers

Clinton Tsang
Partner, Kwok Yih & Chan

Jill Wong
Partner, Reed Smith Richards Butler

Sherman Yan
Managing Partner, ONC Lawyers

Eric Yung
Senior Counsel, Legal Services, Securities and Futures Commission

 
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