香港证券期货监管体系 和 有关法规
-
Upload
nadine-pena -
Category
Documents
-
view
212 -
download
0
description
Transcript of 香港证券期货监管体系 和 有关法规
-
: ()(:)
-
()Securities and Futures Ordinance (SFO).
200332003410176440910
-
, , ,
-
:
():: Licensed Corporation - - (Registered Institution)-
-
:
:,
, , , 9
-
, , , , ,
-
, , , , ,
-
,5% :
-
123456789
-
12 118? 18
-
14
144
-
1/2(/)7() ? 7
-
Licensed Corporation - 1 2009.03.20 - 4 2010.07.07
-
Licensed Corporation
()
- 2(2012.12.04) - 5 (2012.12.04)
-
Licensed Corporation
(:())
9 (2010.06.28)
-
Licensed Representative - (Marketing Officer) / (Dealer) - (Account Executive)
Responsible Officer - RO - 2RO - RO
-
-
i ii iii) iv
-
-
-
SFOsubsidiary legislationcodesguidelines CPT
-
- -
> - - - -
> - - - -
-
- - - - - -
-
SFO+ + codes+ guidelines
-
SFO -
-
- 120%50%147
-
- 12141
-
- 1 12141
-
-
2T+21T+27
-
-
72276
-
-
147----3-3
-
codes guidelines
-
codes
-
guidelines > > > > >
-
: > (; ; ) >; > >;>1,0003 >
-
>>>>>
:
>>.>
-
- - KYCFRR
-
201
-
3.
-
4.
-
5.
-
6..
-
7.
-
8.
9.
-
(Know Your Client KYC)
-
-, ()