| 证券类条例法规 |
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作者：佚名 文章来源：本站原创 点击数： 更新时间：2006-1-3 15:51:32  |
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Appropriation Ordinance
《拨款条例》
Banking (Amendment) Ordinance 2002
《2002年银行业（修订）条例》
Banking Ordinance
《银行业条例》
Bankruptcy Ordinance
《破产条例》
Bills of Exchange Ordinance
《汇票条例》
CCASS General Rules/General Rules of CCASS
《中央结算系统一般规则》
CCASS Terminal User Guide
《中央结算系统终端机使用者指引》
Central Clearing and Settlement System Operational Procedures (CCASS Operational Procedures)
《中央结算系统运作程序规则》
Chit-Fund Business (Prohibition) Ordinance
《银会经营（禁止）条例》
CIS Internet Guidance Note (Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet)
《适用于在互联网上宣传或销售集体投资计划的人士的指引》
Clearing Rules of the SEHK Options Clearing House Limited
《联交所期权结算所有限公司的结算规则》
Client Identity Rule
《客户身分规则》
Client Identity Rule Policy
《客户身分规则的政策》
Code of Banking Practice
《银行营运守则》
Code of Best Practice
《最佳应用守则》
Code of Conduct for Corporate Finance Advisers
《企业融资顾问操守准则》
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
《证券及期货事务监察委员会持牌人或注册人操守准则》
Code of Conduct for Share Registrars
《股份登记机构操守准则》
Code of Conduct Regulations
《专业操守规例》
Code on Immigration-Linked Investment Schemes
《与移民有关的投资计划守则》
Code on Investment-Linked Assurance and Pooled Retirement Funds
《与投资有关的人寿保险及集资退休金计划守则》
Code on Investment-Linked Assurance Schemes
《与投资有关的人寿保险计划守则》
Code on MPF Products
《证监会强积金产品守则》
Code on Pooled Retirement Funds
《集资退休基金守则》
Code on Real Estate Investment Trusts
《房地产投资信托基金守则》
Code on Share Repurchases
《公司股份购回守则》；《公司购回本身股份守则》；《股份购回守则》
Code on Takeovers and Mergers
《公司收购及合并守则》
Code on Unit Trusts and Mutual Funds
《单位信托及互惠基金守则》
Codes on Takeovers and Mergers and Share Repurchases
《公司收购、合并及股份购回守则》
Commodity Exchanges (Prohibition) Ordinance
《商品交易所（禁止经营）条例》
Companies (Disqualification Orders) Regulation
《公司（取消资格令）规例》
Companies (Reports on Conduct of Directors) Regulation
《公司（董事行为操守报告）规例》
Companies (Summary Financial Reports of Listed Companies) Regulation
《公司（上市公司的财务摘要报告）规例》
Companies (Winding-up) Rules
《公司（清盘）规则》
Companies Ordinance
《公司条例》
Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) (Amendment) Notice 2002
《2002年公司条例（豁免公司及供股章程遵从条文）（修订）公告》
Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) Notice
《公司条例（豁免公司及供股章程遵从条文）公告》
Companies Ordinance: Information to be Included in a Rights Issue Prospectus
《公司条例：供股章程须载有的资料》
Companies Ordinance: Information to be Included in Prospectuses Regarding the Valuation of Land and Buildings
《公司条例：招股章程须载列有关土地或建筑物的评估的资料》
Control of Exemption Clauses Ordinance
《管制免责条款条例》
Conveyancing and Property Ordinance
《物业转易及财产条例》
Core Operational and Financial Risk Management Controls for Over-the- Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission
《适用于证券及期货事务监察委员会持牌人或注册人的衍生工具场外交易活动的核心运作和财务风险管理机制》
Credit Unions Ordinance
《储蓄互助社条例》
Crimes Ordinance
《刑事罪行条例》
Criminal Procedure Ordinance
《刑事诉讼程序条例》
Debt Collection Guidelines for Licensed Corporations
《持牌法团的追讨债务指引》
Department of Justice Prosecution Policy: Guidance for Government Counsel
《刑事检控政策－政府律师指引》
Drug Trafficking (Recovery of Proceeds) Ordinance
《贩毒（追讨得益）条例》
Electronic Transaction Ordinance
《电子交易条例》
Estate Duty Ordinance
《遗产税条例》
Ethics in Practice - A Practical Guide for Financial Practitioners
《财经有道－证券、期货及投资界专业道德实务指引》
Exchange Listing Rules (Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited)
《证券上市规则》（《香港联合交易所有限公司证券上市规则》）
Exchanges (Special Levy) Ordinance
《交易所（特别征费）条例》
Fit and Proper Guidelines
《适当人选的指引》
Gambling Ordinance
《赌博条例》
General Rules of CCASS/CCASS General Rules
《中央结算系统一般规则》
Guidance Note on Competence
《持牌人胜任能力的指引》
Guidance Note on Continuous Professional Training
《持牌人进行持续培训的指引》
Guidance Note on Internet Regulation
《互联网监管指引》
Guidance Note on Position Limits and Large Open Position Reporting Requirements
《持仓限额及大额未平仓合约的申报规定指引》
Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements
《有关申报卖空活动及备存证券借出纪录规定的指引》
Guidance Note on the Application of the Electronic Transactions Ordinance to Contract Notes
《有关〈电子交易条例〉内适用于成交单据的规定的指引》
Guidance Notes on Money Laundering
《防止洗黑钱指引》
Guide for Directors of Listed Companies
《上市公司董事指引》
Guide on disclosure of price-sensitive information
《股价敏感数据披露指引》
Guide to Eligibility & Admission of Securities to CCASS
《中央结算及交收系统接纳证券的准则及有关接纳程序的指引》
Guidelines for Approval of Corporations as Approved Lending Agents
《核准法团为核准借出代理人的指引》
Guidelines for Electronic Public Offerings (ePO Guidelines)
《电子公开发售指引》
Guidelines for Exemptions from the Recognized Industry Qualification and Local Regulatory Framework Paper Requirements
《豁免遵守认可行业资格及有关本地监管架构的认可考试规定的指引》
Guidelines for Regulating Index Tracking Exchange Traded Funds under the Code on Unit Trusts and Mutual Funds
《〈单位信托及互惠基金守则〉之下的跟踪指数交易所买卖基金监管指引》
Guidelines for the Exemption of Listed Companies from the Share Repurchase requirements of S.49BA of the Companies Ordinance
《豁免上市公司遵守〈公司条例〉第49BA条股份购回规定的指引》
Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests)
《豁免上市法团使其不受〈证券及期货条例〉第XV部（披露权益）规限的指引》
Guidelines for the Regulation of Automated Trading Services
《监管自动化交易服务的指引》
Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32)
《有关申请放宽在根据〈公司条例〉（第32章）办理招股章程注册时需遵从的程序事宜的指引》
Guidelines on Competence
《胜任能力的指引》
Guidelines on Continuous Professional Training
《持续培训的指引》
Guidelines on Dealings by Directors
《董事交易守则》
Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers
《根据收购及合并守则获豁免基金经理的资格的指引》
Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers
《根据收购及合并守则获豁免自营买卖商的资格的指引》
Guidelines on Transitional Arrangements
《过渡安排指引》
Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance
《根据〈公司条例〉作出股份及债权证要约时使用要约认知材料及简明披露材料的指引》
Guidelines on using a "Dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32)
《有关采用"双重招股章程"机制以进行根据〈公司条例〉（第32章）规定需发出招股章程的股份或债权证的同一计划性要约的指引》
Guidelines on Waivers of Certain Licensing Fees
《宽免缴付若干牌照费用的指引》
Guides on the Preparation of Announcements and documents
《拟备公告及文件的指引》
Hedge Funds Guidelines
《对冲基金指引》
Hong Kong Association of Banks Ordinance
《香港银行公会条例》
Hong Kong Code on Takeovers and Mergers
香港《公司收购及合并守则》
Hong Kong Code on Unit Trusts and Mutual Funds
香港《单位信托及互惠基金守则》
Hong Kong Codes on Takeovers and Mergers & Share Repurchases
香港《公司收购、合并及股份购回守则》
Hong Kong Guidance Notes on the Valuation of Property Assets
《香港物业资产估值指引备忘》
Independent Commission Against Corruption Ordinance
《总督特派廉政专员公署条例》
Inland Revenue Ordinance
《税务条例》
Insurance Companies Ordinance
《保险公司条例》
Interpretation and General Clauses Ordinance
《释义及通则条例》
Legal Tender Notes Issue Ordinance
《法定货币纸币发行条例》
Limited Partnerships Ordinance
《有限责任合伙条例》
Listing Rules
《上市规则》
Listing Rules of the Growth Enterprise Market
《创业板上市规则》
Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission
《适用于证券及期货事务监察委员会持牌人或注册人的管理、监督及内部监控指引》
Mandatory Provident Fund Schemes (General) Regulation
《强制性公积金计划（一般）规例》
Mandatory Provident Fund Schemes Ordinance
《强制性公积金计划条例》
Model Code for Securities Transactions by Directors of Listed Companies
《上市公司董事进行证券交易的标准守则》
Model Code for Sponsors
《保荐人标准守则》
Money Changers Ordinance
《货币兑换商条例》
Money Lenders Ordinance
《放债人条例》
Non-Statutory Guidelines on Directors' Duties
《有关董事责任的非法定指引》
Occupational Retirement Schemes Ordinance
《职业退休计划条例》
Ombudsman Ordinance
《申诉专员条例》
Operation Procedures for Stamp Duty Collection
《征收印花税运作程序》
Operational Clearing Procedures for Options Trading Exchange Participants
《结算运作程序－期权买卖交易所参与者专用》
Operational Trading Procedures for Options Trading Exchange Participants
《交易运作程序－期权买卖交易所参与者专用》
Options Clearing Rules
《期权结算规则》
Options Trading Rules
《期权交易规则》
Organized and Serious Crimes Ordinance
《有组织及严重罪行条例》
Personal Data (Privacy) Ordinance
《个人资料（私隐）条例》
Prevention of Bribery Ordinance
《防止贿赂条例》
Prevention of Money Laundering and Terrorist Financing Guidance Note issued by the Securities and Futures Commission
《证券及期货事务监察委员会有关防止洗黑钱及恐怖分子集资活动的指引》
Professional Accountants Ordinance
《专业会计师条例》
Professional Conduct Rules and Regulations
《专业操守规则及规例》
Protection of Wages on Insolvency Ordinance
《破产欠薪保障条例》
REIT Code (Code on Real Estate Investment Trusts)
《房地产投资信托基金守则》
Risk Management Guidelines for Derivatives
《衍生工具风险管理指引》
Rules and Operation Procedure of Hong Kong Securities Clearing Company Limited
《香港中央结算有限公司规则及运作程序》
Rules Governing the Listing of Securities on the Growth Enterprise Market of the Stock Exchange of Hong Kong Limited
《香港联合交易所有限公司创业板证券上市规则》
Rules Governing the Listing of Securities on the Stock Exchange of Hong Kong Limited
《香港联合交易所有限公司证券上市规则》
Rules of the Stock Exchange of Hong Kong Limited
《香港联合交易所有限公司规则》
Rules on Interest Rates and Deposit Charges
《利率及存款收费规则》
Securities and Futures (Accounts and Audit) Rules
《证券及期货（帐目及审计）规则》
Securities and Futures (Associated Entities - Notice) Rules
《证券及期货（有联系实体－通知）规则》
Securities and Futures (Clearing Houses) Ordinance
《证券及期货（结算所）条例》
Securities and Futures (Client Money) Rules
《证券及期货（客户款项）规则》
Securities and Futures (Client Securities) Rules
《证券及期货（客户证券）规则》
Securities and Futures (Collective Investment Schemes) Notice
《证券及期货（集体投资计划）公告》
Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules
《证券及期货（成交单据、户口结单及收据）规则》
Securities and Futures (Contracts Limits and Reportable Positions) Rules
《证券及期货（合约限量及须申报的持仓量）规则》
Securities and Futures (Disclosure of Interests - Exclusions) Regulation
《证券及期货（披露权益－除外情况）规例》
Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules
《证券及期货（权益披露－证券借贷）规则》
Securities and Futures (Exempted Instruments - Information) Rules
《证券及期货（获豁免的票据－数据）规则》
Securities and Futures (Fees) Rules
《证券及期货（费用）规则》
Securities and Futures (Financial Resources) Rules
《证券及期货（财政资源）规则》
Securities and Futures (Insurance) Rules
《证券及期货（保险）规则》
Securities and Futures (Investor Compensation - Claims) Rules
《证券及期货（投资者赔偿－申索）规则》
Securities and Futures (Investor Compensation - Compensation Limits) Rules
《证券及期货（投资者赔偿－赔偿上限）规则》
Securities and Futures (Investor Compensation - Levy) Rules
《证券及期货（投资者赔偿－征费）规则》
Securities and Futures (Keeping of Records) Rules
《证券及期货（备存纪录）规则》
Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules
《证券及期货（杠杆式外汇交易－豁免）规则》
Securities and Futures (Leveraged Foreign Exchange Trading)(Arbitration) Rules
《证券及期货（杠杆式外汇交易）（仲裁）规则》
Securities and Futures (Levy) Order
《证券及期货（征费）令》
Securities and Futures (Levy) Rules
《证券及期货（征费）规则》
Securities and Futures (Licensing and Registration) (Information) Rules
《证券及期货（发牌及注册）（数据）规则》
Securities and Futures (Miscellaneous) Rules
《证券及期货（杂项）规则》
Securities and Futures (Offences and Penalties) Regulations
《证券及期货（罪行及罚则）规例》
Securities and Futures (Price Stabilizing) Rules
《证券及期货（稳定价格）规则》
Securities and Futures (Price Stabilizing) (Amendment) Rules
《证券及期货（稳定价格）（修订）规则》
Securities and Futures (Professional Investor) Rules
《证券及期货（专业投资者）规则》
Securities and Futures (Recognized Counterparty) Rules
《证券及期货（认可对手方）规则》
Securities and Futures (Registration of Appeals Tribunal Orders) Rules
《证券及期货（登记上诉审裁处命令）规则》
Securities and Futures (Registration of Commission Disciplinary Orders) Rules
《证券及期货（登记证监会纪律制裁命令）规则》
Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules
《证券及期货（登记市场失当行为审裁处命令）规则》
Securities and Futures (Securities and Futures Appeals Tribunal) Rules
《证券及期货（证券及期货事务上诉审裁处）规则》
Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous)) Rules
《证券及期货（卖空及证券借贷（杂项））规则》
Securities and Futures (Stock Market Listing) Rules
《证券及期货（在证券市场上市）规则》
Securities and Futures (Transfer of Functions - Investor Compensation Company) Order
《证券及期货（职能的转移－投资者赔偿公司）令》
Securities and Futures (Transfer of Functions - Stock Exchange Company) Order
《证券及期货（职能的转移－联交所）令》
Securities and Futures (Unsolicited Calls - Exclusion) Rules
《证券及期货（豁除某等未获邀约的造访）规则》
Securities and Futures Legislation (Provision of False Information) Ordinance
《证券及期货法例（提供虚假数据）条例》
Securities and Futures Ordinance (Amendment of Schedule 10) Order 2002 ）
《2002 年证券及期货条例（修订附表10令》
Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002
《2002 年证券及期货条例（修订附表8）令》
Securities and Futures Ordinance (SFO)
《证券及期货条例》
SFC Code on MPF Products
《证监会强积金产品守则》
SFC Disciplinary Fining Guidelines
《证监会纪律处分罚款指引》
Specification of Factors (Financial Exposure of Authorized Institution) Notice
《指明因素（认可机构的财务风险）公告》
Stamp Duty (Jobbing Business)(Options Market Makers) Regulation
《印花税（证券经销业务）（期权庄家）规例》
Stamp Duty Ordinance
《印花税条例》
Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules
《提高商号遵守〈证券及期货（客户证券）规则〉及〈证券及期货（客户款项）规则〉的能力的建议监控措施及程序》
Takeovers Code
《收购守则》
Tax Reserve Certificates Ordinance
《储税券条例》
Terms and Conditions for Investor Participants
《投资者户口持有人规则》
Theft Ordinance
《盗窃罪条例》
Transfer of Business (Protection of Creditors) Ordinance
《业务转让（债权人保障）条例》
Trustees (Hong Kong Government Securities) Ordinance
《受托人（香港政府证券）条例》
Unconscionable Contracts Ordinance
《不合情理合约条例》
Whitewash Guidance Notes
《清洗交易指引注释》
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