Securities and futures keeping of records rules
Securities and Futures (Keeping of Records) Rules (Made by the Securities and Futures Commission under section 151 of the Securities and Futures Ordinance (Cap. 571)) PART 1 Preliminary 1. Commencement These Rules shall come into operation on the day appointed for the commencement of the Securities and Futures Ordinance (Cap. 571). 2. Interpretation The Commodity Futures Modernization Act of 2000 amended the Securities Exchange Act of 1934 to require NFA to "have rules that ensure that members and natural persons associated with members meet such standards of training, experience, and competence necessary to effect transactions in security futures products and are tested for their knowledge If a customer declines to provide the information set forth in Section (c) of this Rule, the Member or Associate shall make a record that the customer declined, except that such a record need not be made in the case of a non-U.S. customer unless such customer trades security futures products. It is anticipated that the SFO will not come into force until early 2003, possibly the first or second quarter when the Securities and Futures Commission (“the SFC”) and the Hong Kong Monetary Authority (“the HKMA”) have finalized all the corresponding subsidiary legislation, rules and code of conduct which will, as a whole, govern the financial sector in Hong Kong. Futures (Keeping of Records) Rules (Cap. 571O), in respect of a client who is a professional investor, an intermediary shall (in relation to the businesses which constitute any regulated activities for which it is licensed or registered) keep records showing particulars sufficient to establish that the client is a professional investor.
22 Oct 2019 The Hong Kong Securities and Futures Commission (SFC) has Audit) Rules and the Securities and Futures (Keeping of Records) Rules.
27 Dec 2018 Definition of Record. Q4: The Rules require an intermediary and an associated entity to keep records of any authority/direction given by clients. the draft Securities and Futures (Keeping of Records) Rules (“Rules”). 2. The Consultation Document contained detailed requirements prescribing the record Securities and Futures (Keeping of Records) Rules. (Made by the Securities and Futures Commission under section 151 of the Securities and Futures Ordinance Securities and Futures (Keeping of Records) Rules. Bullet, Legislative Council Brief. Bullet, Content of the subsidiary legislation. [Council Meetings
15 Feb 2017 3. General record keeping requirements for intermediaries. (1). An intermediary shall, in relation to the businesses which constitute any regulated
the Securities and Futures Ordinance Securities and Futures (Keeping of Records) Rules This paper sets out the proposals of the Securities and Futures Commission (SFC) to prescribe the records that intermediaries and their associated entities must keep for the purposes of section 151 of the Securities and Futures Ordinance (SFO) (5 of 2002). Proposal 2. Division 1 — Stock and Futures Markets 5. Establishment of stock market, etc., in Singapore 6. Establishment of futures market, etc., in Singapore 6A. Outsourcing 7. Power of the Authority to make regulations Division 2 — Exchanges 8. Power of Authority to approve securities exchange or futures exchange 9.
22 Oct 2019 The Hong Kong Securities and Futures Commission (SFC) has Audit) Rules and the Securities and Futures (Keeping of Records) Rules.
NEAR((Apple, Lemon), 2, false) means to find documents having Apple within 2 words apart from Lemon. If you want to match the order of words, specify NEAR((Apple, Lemon), 2, true) Wildcards Search (% or _) A percent sign (%) can be used to match zero or more characters of English words at the same time. As client agreements form part of the records that are required to be kept by an intermediary under section 2 of the Schedule, they should be kept for at least 7 years under section 10 of the Rules. In respect of deceased clients or closed accounts, the 7 year retention period runs from the date immediately prior to SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES (Made by the Securities and Futures Commission under section 147(1) of the Securities and Futures Ordinance ([ ] of 2002)) PART 1 PRELIMINARY 1. Commencement These Rules shall come into operation on the day appointed for the commencement of Part VI of the Securities and Futures Securities and Futures (Keeping of Records) Rules (Made by the Securities and Futures Commission under section 151 of the Securities and Futures Ordinance (Cap. 571)) PART 1 Preliminary 1. Commencement These Rules shall come into operation on the day appointed for the commencement of the Securities and Futures Ordinance (Cap. 571). 2. Interpretation Securities and Futures (OTC Derivative Transactions – Clearing and Record Keeping Obligations and Designation of Central Counterparties) Rules As you may be aware, Securities and Futures (OTC Derivative Transactions the – Clearing and Record Keeping Obligations and Designation of Central Counterparties) The Securities and Futures Ordinance, Cap. 571 (“the SFO”) was enacted in March 2002 aiming to consolidate and modernize the 10 existing ordinances regulating the securities and futures market. accordance with Rule 26(3) of the Reporting Rules; -“Reporting Rules” means the Securities and Futures (OTC Derivative Transactions – Reporting and Record Keeping Obligations) Rules; -“SFC” refers to the Securities and Futures Commission; -“SFO” refers to the Securities and Futures Ordinance (Chapter 571, Laws of Hong Kong);
On October 25, 2001, the Securities and Exchange Commission ("SEC" or "Commission") adopted amendments to Rules 17a-3 and 17a-4 under the Securities Exchange Act of 1934 ("Exchange Act") to clarify and expand record keeping requirements in connection with purchase and sale documents, customer records, associated person records, customer complaint records, and certain other matters. 1
“Securities, Futures and Fund Management”), and any reference in these Regulations to a numbered form shall be construed as a reference to the current version of the form bearing the corresponding number which is displayed at that website. (2) Any document required to be lodged with the Authority The SEC books and records rules applicable to broker-dealers, SEA Rules 17a-3 and 17a-4, specify minimum requirements with respect to the records that broker-dealers must make, how long those records and other documents relating to a broker-dealer’s business must be kept and in what format they may be kept. The SEC requires that broker-dealers create and maintain certain records so that, among other things, the SEC, self-regulatory organizations ("SROs") and state securities regulators may Securities and Futures (Keeping of Records) Rules (Made by the Securities and Futures Commission under section 151 of the Securities and Futures Ordinance (Cap. 571)) PART 1 Preliminary 1. Commencement These Rules shall come into operation on the day appointed for the commencement of the Securities and Futures Ordinance (Cap. 571). 2. Interpretation The Commodity Futures Modernization Act of 2000 amended the Securities Exchange Act of 1934 to require NFA to "have rules that ensure that members and natural persons associated with members meet such standards of training, experience, and competence necessary to effect transactions in security futures products and are tested for their knowledge
It is anticipated that the SFO will not come into force until early 2003, possibly the first or second quarter when the Securities and Futures Commission (“the SFC”) and the Hong Kong Monetary Authority (“the HKMA”) have finalized all the corresponding subsidiary legislation, rules and code of conduct which will, as a whole, govern the financial sector in Hong Kong.