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单词 Futures law
释义 期貨法
A provision of Securities and Futures Ordinance (Cap 571) which deals with: the regulatory objectives of Securities and Futures Commission (s 4); functions and powers of Securities and Futures Commission (s 5); recognition of exchange company (s 19) and clearing house (s 37); powers and duties of futures exchanges and clearing houses (pt III Divisions 2 and 3); restriction on carrying business in regulated activities and the licensing and registration of institutions and representatives (pt V); capital requirements, client assets, records and audit relating to intermediaries (pt VI); business conduct of intermediaries (pt VII); Securities and Futures Appeal Tribunal (pt XI); and offences relating to dealings in securities and futures contracts (pt XIV). See also Clearing house; Futures contract; Futures exchange.
《證券及期貨條例》(第571章)的條文提及:證券及期貨事務監察委員會(證監會)的規管目標 (第4條);證監會的職能及權力(第5條);交易所公司(第19條)及結算所的認可(第37條);期貨交易所及結算所的權力及責任(第III部第2及3分部);對經營受規管活動的業務的限制及對有關機構與代表的發牌及註冊(第V部);關於中介人的資本規定、客戶資產、紀錄及審計(第VI部);中介人的業務操守(第VII部);證券及期貨事務上訴審裁處(第XI部);及關於證券及期貨合約交易的罪行 (第XIV部)。另見 Clearing house; Futures contract; Futures exchange。
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更新时间:2025/4/4 6:39:46