 |
Bills Committee on Securities & Futures Bill and Banking (Amendment) Bill 2000
 | Papers
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| Part I of the Securities and Futures Bill
- Marked-up version of CSA to Parts I & II of and Schedule 2 to the English version of SFB [CB(1)277/01-02] (14 January 2002 and 4 December 2001)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Marked-up version of CSA to Parts I & II of and Schedule 2 to the Chinese version of SFB [CB(1)392/01-02(01)] (4 December 2001)
- Derivation table showing where the provisions of the Securities and Futures Bill are derived from (for Part 1 of Schedule 1 of the Bill) (English version only) [CB(1)311/00-01(02)] (12 and 8 June 2001, 8 December 2000)
- Follow-up paper - Summary of public comments and Administration's response on Parts I and II of the Securities and Futures Bill (English version only) [CB(1)1234/00-01(01)] (12 and 8 June 2001, 5 January 2001, 8 December 2000)
- Information paper provided by the Administration on the proposed Committee Stage Amendment to Parts I and II of, and Schedule 2 to, the English version of the Securities and Futures Bill [CB(1)1423/00-01(01)] (12 and 8 June 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendment to Parts I and II of, and Schedule 2 to, the Chinese version of the Securities and Futures Bill [CB(1)1446/00-01(01)] (12 and 8 June 2001)
- Information paper provided by the Administration on Part I and Schedule 1 of the Securities and Futures Bill [CB(1)283/00-01(03)] (12 and 8 June 2001, 8 December 2000)
| | Part II of the Securities and Futures Bill
- Marked-up version of CSA to Parts I & II of and Schedule 2 to the English version of SFB [CB(1)277/01-02] (14 January 2002 and 4 December 2001)
- Supplementary notes to CSA papers in respect of Parts II to V, VIII, X and XII of SFB and BAB [CB(1)741/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Follow-up paper - Information paper on "Efforts of the Securities and Futures Commission in engaging investors" relating to Part II of SFB (English version only) [CB(1)423/01-02(01)] (4 December 2001 and 8 June 2001)
- Marked-up version of CSA to Parts I & II of and Schedule 2 to the Chinese version of SFB [CB(1)392/01-02(01)] (4 December 2001)
- Revised paper provided by the Administration on its response to public comments on Part II of the Securities and Futures Bill (English version only) [CB(1)1454/00-01(01)] (4 December 2001 and 8 June 2001)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (4 December 2001)
- Follow-up paper - Summary of public comments and Administration's response on Parts I and II of the Securities and Futures Bill (English version only) [CB(1)1234/00-01(01)] (12 and 8 June 2001, 5 January 2001, 8 December 2000)
- Follow-up paper -- Written directions by the Chief Executive (English version only) [CB(1)1174/00-01(01)] (12 and 8 June 2001, 12 and 5 January 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendment to Parts I and II of, and Schedule 2 to, the English version of the Securities and Futures Bill [CB(1)1423/00-01(01)] (12 and 8 June 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendment to Parts I and II of, and Schedule 2 to, the Chinese version of the Securities and Futures Bill [CB(1)1446/00-01(01)] (12 and 8 June 2001)
- Information paper provided by the Administration on Part II and Schedule 2 of the Securities and Futures Bill [CB(1)360/00-01(01)] (12 and 8 June 2001, 5 January 2001)
- Table prepared by the Legal Service Division comparing the provisions in Part II of the Blue Bill with the relevant existing legislation [CB(1)382/00-01(01)] (8 June 2001 and 5 January 2001)
- Follow-up paper - Dr Hon David LI's comment on Part II of the Draft Report on the Overseas Duty Visit conducted jointly by the Financial Affairs Panel and the Bills Committee in April 2001 (English version only) [CB(1)1445/00-01(01)] (5 June 2001)
| | Part III of the Securities and Futures Bill
- Marked-up version of CSA to Part III of and Schedule 3 to the English version of SFB [CB(1)358/01-02(01)] (14 January 2002 and 4 December 2001)
- Supplementary notes to CSA papers in respect of Parts II to V, VIII, X and XII of SFB and BAB [CB(1)741/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Follow-up paper - Information paper on Appeals under Part III of SFB (English version only) [CB(1)423/01-02(02)] (4 December 2001 and 19 June 2001)
- Marked-up version of CSA to Part III of and Schedule 3 to the Chinese version of SFB [CB(1)395/01-02(01)] (4 December 2001)
- Revised paper provided by the Administration on its response to public comments on Part III of the Securities and Futures Bill (English version only) [CB(1)1485/00-01(01)] (4 December 2001, 22, 19, 15 and 12 June 2001)
- Follow-up paper - Rule making powers of a recognized exchange company and the checks and balances (English version only) [CB(1)1246/00-01(02)] (10 and 4 July 2001, 29 June 2001, 4 May 2001, 20 April 2001, 30 and 9, 2 March 2001, 23 February 2001, 12 January 2001)
- Administration's response to the comments prepared by the Legal Service Division on Part III of the Securities and Futures Bill [CB(1)489/00-01(02)] (22, 19, 15, 12 June 2001 and 19 January 2001)
- Automated trading services providers currently operating in Hong Kong and those expected to be regulated under Part III of the Securities and Futures Bill (English version only) [CB(1)575/00-01(01)] (22, 19, 15, 12 June 2001 and 9 February 2001)
- Follow-up paper - A comparison table prepared by the Legal Service Division on the different sets of provisions in Part III of the Securities and Futures Bill (English version only) [CB(1)1309/00-01(01)] (22, 19, 15, 12 June 2001 and 9 February 2001)
- Follow-up paper - Part III - Statutory immunity for recognized exchange companies, clearing houses and exchange controllers (English version only) [CB(1)1420/00-01(01)] (22, 19, 15, 12 June 2001 and 12 January 2001)
- Follow-up paper -- Penalty for offences under Part III (English version only) [CB(1)1246/00-01(01)] (22, 19, 15 and 12 June 2001, 4 May 2001, 20 April 2001, 30, 9 and 2 March 2001, 23 February 2001, 12 January 2001)
- Follow-up paper -- Sanctions against a recognized exchange and closure of it in emergencies (English version only) [CB(1)1174/00-01(02)] (22, 19, 15 and 12 June 2001, 12 January 2001)
- Follow-up paper - Summary of public comments and Administration's response on Part III of the Securities and Futures Bill (English version only) [CB(1)1234/00-01(02)] (22, 19, 15 and 12 June 2001, 19 January 2001, 12 January 2001)
- Follow-up paper - The Administration's response to a comparison table prepared by the Legal Service Division on the different sets of provisions in Part III of the Securities and Futures Bill (English version only) [CB(1)1309/00-01(02)] (22, 19, 15 and 12 June 2001, 9 February 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part III of and Schedule 3 to the Chinese version of the Securities and Futures Bill [CB(1)1499/00-01(01)] (22, 19, 15 and 12 June 2001)
- Relationship of entities recognised or set up under Part III of the Securities and Futures Bill [CB(1)489/00-01(01)] (22, 19, 15, 12 June 2001 and 19 January 2001)
- Response from the Administration on members' enquiry raised at the meeting held on 12 January 2001 (English version only) [CB(1)493/00-01(01)] (22, 19, 15 and 12 June 2001, 19 January 2001)
- Information paper provided by the Administration on Part III and Schedule 3 of the Securities and Futures Bill [CB(1)413/00-01(01)] (22, 19, 15 and 12 June 2001, 19 and 12 January 2001)
- Table prepared by the Legal Service Division comparing the provisions in Part III of the Blue Bill with the relevant existing legislation [Supplement to the Comparison Table provided by the Administration (Annex to LC Paper No. CB(1) 413/00-01(01))] [CB(1)413/00-01(02)] (22, 19, 15 and 12 June 2001, 19 and 12 January 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part III of and Schedule 3 to the English version of the Securities and Futures Bill [CB(1)1468/00-01(01)] (19, 15 and 12 June 2001)
| | Part IV of the Securities and Futures Bill
- Marked-up version of CSA to Part IV of and Schedule 4 to the English version of SFB [CB(1)358/01-02(02)] (14 January 2002 and 4 December 2001)
- Supplementary notes to CSA papers in respect of Parts II to V, VIII, X and XII of SFB and BAB [CB(1)741/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Follow-up paper - Summary of public comments and Administration's response on Part IV of the Securities and Futures Bill (English version only) [CB(1)1476/00-01] (4 December 2001, 29, 27 and 22 June 2001, 9 February 2001, 19 January 2001)
- Marked-up version of CSA to Part IV of and Schedule 4 to the Chinese version of SFB [CB(1)392/01-02(02)] (4 December 2001)
- Follow-up paper - US regulatory requirements on disclosure of interests in investments by analysts (English version only) [CB(1)1420/00-01(02)] (29, 27 and 22 June 2001, 9 February 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part IV of and Schedule 4 to the Chinese version of the Securities and Futures Bill [CB(1)1616/00-01(01)] (29 June 2001)
- Information paper provided by the Administration on Part IV and Schedules 4 and 5 of the Securities and Futures Bill [CB(1)485/00-01(01)] (29, 27 and 22 June 2001, 9 February 2001, 19 January 2001)
- Table prepared by the Legal Service Division comparing the provisions in Part IV of the Blue Bill with the existing legislation [Supplement to the Comparison Table provided by the Administration (Annex A to LC Paper No. CB(1) 485/00-01(01))] [CB(1)515/00-01(01)] (29, 27 and 22 June 2001, 9 February 2001)
- The Administration's response to the comments made by the Legal Service Division (CB(1) 515/00-01(01)) [CB(1)562/00-01(01)] (29, 27 and 22 June 2001, 9 February 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part IV of and Schedule 4 to the English version of the Securities and Futures Bill [CB(1)1599/00-01(01)] (27 and 22 June 2001)
| | Part V of the Securities and Futures Bill
- Supplementary notes to CSA paper in respect of Part V of SFB [CB(1)971/01-02(01)]
- Marked-up version of CSA to Part V of and Schedules 6 and 6A to the English version of SFB [CB(1)358/01-02(03)] (14 January 2002 and 4 December 2001)
- Supplementary notes to CSA papers in respect of Parts II to V, VIII, X and XII of SFB and BAB [CB(1)741/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Summary of public comments and Administration's response on Part V of and Schedule 9 to the Securities and Futures Bill (English version only) [CB(1)658/00-01(01)] (14 and 4 December 2001, 10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 February 2001)
- Marked-up version of CSA to Part V of and Schedules 6 and 6A to the Chinese version of SFB [CB(1)392/01-02(03)] (4 December 2001)
- Summary of public comments and Administration's response on Schedule 6 to the Securities and Futures Bill (English version only) [CB(1)1704/00-01(01)] (4 December 2001, 10 and 4 July 2001)
- Follow-up paper - Information provided by the Administration on existing Memorandum of Understanding signed between the Securities and Futures Commission and the Hong Kong Monetary Authority in the regulation of exempt persons (English version only) [CB(1)507/00-01] (17, 16, 10 and 4 July 2001, 29 June 2001, 12 January 2001)
- Follow-up paper - Parts V and VI - Additional information on the licensing and exemption regime (English version only) [CB(1)1246/00-01(03)] (17, 16, 10 and 4 July 2001, 29 June 2001, 4 May 2001, 20 April 2001, 30, 9 and 2 March 2001, 23 February 2001, 12 January 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part V of and Schedule 6 to the Chinese version of the Securities and Futures Bill [CB(1)1672/00-01(01)] (10 July 2001)
- Information paper provided by the Administration on Part V of the Securities and Futures Bill -- "Portability of a Representative Licence" (English version only) [CB(1)741/00-01(02)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part V of and Schedule 6 to the English version of the Securities and Futures Bill [LC Paper No. CB(1) 1654/00-01(01)] (10 and 4 July 2001, 29 June 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to clause 130 in Part V of the Chinese version of the Securities and Futures Bill [CB(1)1733/00-01(01)] (10 July 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to clause 130 in Part V of the English version of the Securities and Futures Bill [CB(1)1705/00-01(01)] (10 July 2001)
- Involvement of Authorized Institutions in the Securities, Insurance and MPF Businesses [CB(1)648/00-01(02)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 February 2001)
- Information paper provided by the Administration on Part V and Schedule 6 of the Securities and Futures Bill [CB(1)569/00-01(01)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 February 2001, 16 February 2001)
- Roles Played by Authorized Institutions in the Insurance and MPF Businesses [CB(1)648/00-01(03)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 February 2001)
- Supervision of staff employed by authorized institutions for securities business (English version only) [CB(1)725/00-01] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001)
- Table prepared by the Legal Service Division as supplement to the Comparison Table for Part V of the Securities and Futures Bill (Annex B to LC Paper No. CB(1) 569/00-01(01)) [CB(1)582/00-01(01)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 and 16 February 2001)
- The Administration's response to the table prepared by the Legal Service Division on Part V of the Securities and Futures Bill (LC Paper No. CB(1) 582/00-01(01)) [CB(1)648/00-01(01)] (10 and 4 July 2001, 29 June 2001, 9 and 2 March 2001, 23 February 2001)
- Follow-up paper - Part V of the Securities and Futures Bill: the statutory arbitration requirements on leveraged foreign exchange trading in relation to Clause 117 (English version only) [CB(1)477/01-02] (4 July 2001)
- Letter dated 1 March 2001 from Hon Henry WU King-cheong (Chinese version only) [CB(1)741/00-01(01)] (2 March 2001)
- Letter dated 15 February 2001 from Hon Henry WU King-cheong (English version only) [CB(1)612/00-01(01)] (2 March 2001, 23 February 2001 and 16 February 2001)
| | Part VI of the Securities and Futures Bill
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Letter dated 9 November 2001 from Hong Kong Stockbrokers Association Ltd (English version only) [CB(1)340/01-02(01)]
- Marked-up version of CSA to Part VI of the Chinese version of SFB [CB(1)395/01-02(02)] (4 December 2001)
- Marked-up version of CSA to Part VI of the English version of SFB [CB(1)358/01-02(04)] (4 December 2001)
- Revised paper provided by the Administration on its response to public comments on Part VI of the Securities and Futures Bill (English version only) [CB(1)1705/00-01(03)] (4 December 2001, 17, 16 and 10 July 2001)
- Follow-up paper - Parts V and VI - Additional information on the licensing and exemption regime (English version only) [CB(1)1246/00-01(03)] (17, 16, 10 and 4 July 2001, 29 June 2001, 4 May 2001, 20 April 2001, 30, 9 and 2 March 2001, 23 February 2001, 12 January 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part VI of the English version of the Securities and Futures Bill [CB(1)1705/00-01(02)] (17, 16 and 10 July 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part VI of the Chinese version of the Securities and Futures Bill [CB(1)1733/00-01(02)] (17, 16 and 10 July 2001)
- Information paper provided by the Administration on Parts VI and VII of the Securities and Futures Bill[CB(1)626/00-01(01)] ( 17, 16 and 10 July 2001, 9 and 2 March 2001, 23 February 2001)
- Table prepared by the Legal Service Division providing supplementary information on the Derivation Tables for Parts VI and VII of the Securities and Futures Bill (Annex A to LC Paper No. CB(1) 626/00-01(01)) [CB(1)648/00-01(04)] ( 17, 16 and 10 July 2001, 9 and 2 March 2001, 23 February 2001)
- Letter from Hon Henry WU King-cheong dated 16 March 2001 regarding Part VI and Part VIII of the Securities and Futures Bill (English version only) [CB(1)861/00-01(01)] (16 March 2001)
- Summary of public comments and Administration's response on Part VI of the Securities and Futures Bill (English version only) [CB(1)761/00-01(01)] (9 March 2001)
| | Part VII of the Securities and Futures Bill
- Marked-up version of CSA to Part VII of and Schedule 6B to the English version of SFB [CB(1)358/01-02(05)] (14 January 2002 and 4 December 2001)
- Supplementary notes to CSA papers in respect of Parts VII, IX & XVI of and Schedules 2, 6, 7 & 8 to SFB [CB(1)707/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (14 January 2002 and 4 December 2001)
- Marked-up version of CSA to Part VII of and Schedule 6B to the Chinese version of SFB [CB(1)395/01-02(03)] (4 December 2001)
- Revised paper provided by the Administration on its response to public comments on Part VII of the Securities and Futures Bill (English version only) [CB(1)1768/00-01(01)] (4 December 2001, 17 and 16 July 2001)
- Update on areas of concern raised by members during discussions on SFB and BAB and follow-up actions required from the Administration (Parts I to VII of and Schedules 2, 3, 4, 6, 6A and 6B to SFB) (English version only) [CB(1)425/01-02(01)] (4 December 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part VII of the English version of the Securities and Futures Bill [CB(1)1778/00-01(01)] (17 and 16 July 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part VII of the Chinese version of the Securities and Futures Bill [CB(1)1778/00-01(02)] (17 and 16 July 2001)
- Information paper provided by the Administration on Parts VI and VII of the Securities and Futures Bill[CB(1)626/00-01(01)] (17, 16 and 10 July 2001, 9 and 2 March 2001, 23 February 2001)
- Table prepared by the Legal Service Division providing supplementary information on the Derivation Tables for Parts VI and VII of the Securities and Futures Bill (Annex A to LC Paper No. CB(1) 626/00-01(01)) [CB(1)648/00-01(04)] (17, 16 and 10 July 2001, 9 and 2 March 2001, 23 February 2001)
- Letter from Hon Henry WU King-cheong dated 27 March 2001 regarding Part VII and Part IX of the Securities and Futures Bill (English version only) [CB(1)955/00-01(01)] (30 March 2001)
- Summary of public comments and Administration's response on Part VII of the Securities and Futures Bill (English version only) [CB(1)761/00-01(02)] (9 March 2001)
| | Part VIII of the Securities and Futures Bill
| | Part IX of the Securities and Futures Bill
- Marked-up version of CSA to Part IX of the English version of SFB [CB(1)410/01-02(01)] (14 January 2002 and 10 December 2001)
- Supplementary notes to CSA papers in respect of Parts VII, IX & XVI of and Schedules 2, 6, 7 & 8 to SFB [CB(1)707/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and follow-up actions required from the Administration (Parts VIII to XII of and Schedules 7 and 9 to SFB) (English version only) [CB(1)512/01-02(02)] (14 January 2002 and 10 December 2001)
- Follow-up paper -- Administration's response to Legal Service Division's remarks on Clauses 187, 188, 189A and 190 of Part IX of SFB issued vide LC Paper No. CB(1) 2090/00-01 (English version only) [CB(1)531/01-02] (10 December 2001 and 14 September 2001)
- Follow-up paper - Disciplinary sanctions and appeal mechanism for exempt authorized institutions and their staff (English version only) [CB(1)1374/00-01] (10 December 2001, 17 and 14 September 2001, 17 July 2001, 27 April 2001, 30 March 2001)
- Follow-up paper - Legal Service Division's remarks on Clauses 187, 188, 189A [CB(1)2090/00-01] (10 December 2001 and 14 September 2001)
- Marked-up version of CSA to Part IX of the Chinese version of SFB [CB(1)484/01-02(01)] (10 December 2001)
- Revised paper on Administration's response to public comments on Part IX of the Securities and Futures Bill (English version only) [CB(1)1836/00-01(01)] (10 December 2001 and 14 September 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part IX of the English version of the Securities and Futures Bill [CB(1)1807/00-01] (5 October 2001, 14 September 2001 and 18 July 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Part IX of the Chinese version of the Securities and Futures Bill [CB(1)1811/0-01(01)] (5 October 2001, 14 September 2001 and 18 July 2001)
- Follow-up paper -- "Misconduct" under the disciplinary regime (English version only) [CB(1)1174/00-01(05)] (14 September 2001, 17 July 2001 and 30 March 2001)
- Follow-up paper -- Part IX - Definition of "misconduct" under the disciplinary regime (English version only) [CB(1)1836/00-01(02)] (14 September 2001 and 30 March 2001)
- Follow-up paper - Part IX - List of court cases taken into account in ensuring compliance with Articles 10 and 11 of the Hong Kong Bill of Rights (English version only) [CB(1)1246/00-01(05)] (14 September 2001, 18 July 2001, 4 May 2001, 20 April 2001, 30, 9 and 2 March 2001, 23 February 2001, 12 January 2001)
- Follow-up paper - Part IX - Use of information in disciplinary proceedings (English version only) [CB(1)1420/00-01(03)] (14 September 2001, 18 July 2001 and 24 April 2001)
- Follow-up paper -- Statistics on disciplinary actions taken by the Securities and Futures Commission (English version only) [CB(1)1174/00-01(04)] (14 September 2001, 17 July 2001 and 30 March 2001)
- Information paper provided by the Administration on Part IX of the Securities and Futures Bill [CB(1)896/00-01(01)] (14 September 2001, 18 July 2001, 20 April 2001 and 30 March 2001)
- Table prepared by the Legal Service Division providing supplementary information on the Comparison Table for Part IX of the Securities and Futures Bill (Annex B to LC Paper No. CB(1) 896/00-01(01)) [CB(1)925/00-01(01)] (14 September 2001, 18 July2001, 20 April 2001 and 30 March 2001)
- Summary of public comments and Administration's Response on Part IX of the Securities and Futures Bill (English version only) [CB(1)896/00-01(02)] (18 July 2001, 20 April 2001 and 30 March 2001)
- Letter from Hon Henry WU King-cheong dated 27 March 2001 regarding Part VII and Part IX of the Securities and Futures Bill (English version only) [CB(1)955/00-01(01)] (30 March 2001)
| | Part X of the Securities and Futures Bill
| | Part XI of the Securities and Futures Bill
| | Part XII of the Securities and Futures Bill
| | Parts XIII & XIV of the Securities and Futures Bill
- Supplementary notes to CSA paper in respect of Part XIII of SFB (English version only) [CB(1)971/01-02(06)]
- Marked-up version of CSA to Parts XIII and XIV of and Schedule 8 to the English version of SFB [CB(1)484/01-02(04)] (14 January 2002 and 14 December 2001)
- Supplementary notes to CSA papers in respect of Parts XI & XIII of and Schedules 1 & 9 to SFB [CB(1)757/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on SFB and follow-up actions required from the Administration (Parts XIII, XIV and XVII of SFB) (English version only) [CB(1)573/01-02(01)] (14 January 2002 and 14 December 2001)
- Follow-up paper -- Information paper on "Civil liability for market misconduct" relating to Part XIII of SFB (English version only) [CB(1)483/01-02] (14 December 2001 and 21 September 2001)
- Follow-up paper - Information paper on "Investigation costs of market misconduct cases" relating to Part XIII of SFB (English version only) [CB(1)423/01-02(03)] (14 December 2001 and 21 September 2001)
- Follow-up paper - Information paper on "NASDAQ and OTC Stocks" relating to Part XIII of SFB (English version only) [CB(1)529/01-02(02)] (14 December 2001 and 28 September 2001)
- Follow-up paper -- Information paper on "No-Action Letters" relating to Clause 273 of Part XIII of SFB (English version only) [CB(1)529/01-02(01)] (14 December 2001 and 28 September 2001)
- Marked-up version of CSA to Parts XIII and XIV of and Schedule 8 to the Chinese version of SFB [CB(1)540/01-02(01)] (14 December 2001)
- Revised paper on Administration's response to public comments on Parts XIII and XIV of the Securities and Futures Bill (English version only) [CB(1)2016/00-01(01)] (14 December 2001, 3 October 2001, 28, 21 and 19 September 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Parts XIII and XIV of and Schedule 8 to the English version of the Securities and Futures Bill [CB(1)1984/00-01(01)] (24, 5, 3 October 2001, 28, 21 and 19 September 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to Parts XIII and XIV of and Schedule 8 to the Chinese version of the Securities and Futures Bill [CB(1)2034/00-01(01)] (24, 5 and 3 October 2001, 28, 21 and 19 September 2001)
- Information paper provided by the Administration on Parts XIII and XIV and Schedule 8 of the Securities and Futures Bill [CB(1)1160/00-01(01)] (24 and 3 October 2001, 28, 21 and 19 September 2001, 16, 11 and 8 May 2001)
- Follow-up paper - Letter dated 9 November 2001 from Hong Kong Journalists Association (English version only) [CB(1)339/01-02(02)] (3 October 2001)
- Follow-up paper - Letter dated 15 October 2001 from Sing Pao Newspaper Company Limited (English version only) [CB(1)339/01-02(01)] (3 October 2001)
- Follow-up paper - Parts XIII and XIV - Market Misconduct Reference to Australian Corporations Law (English version only) [CB(1)1420/00-01(05)] (3 October 2001, 28, 21 and 19 September 2001, 11 May 2001)
- Information paper provided by the Administration on Part XIII of the Securities and Futures Bill on Market Misconduct Tribunal - Presenting Officer (English version only) [CB(1)2016/00-01(02)] (3 October 2001, 28, 21 and 19 September 2001)
- Table prepared by the Legal Service Division providing supplementary information on the Comparison Table for Parts XIII and XIV of the Securities and Futures Bill (Annex 1 to LC Paper No. CB(1) 1160/00-01(01)) [CB(1)1176/00-01(01)] (3 October 2001, 28, 21 and 19 September 2001, 16, 11 and 8 May 2001)
- Summary of public comments and Administration's response on Parts XIII and XIV of the Securities and Futures Bill (English version only) [CB(1)1187/00-01(02)] (16, 11 and 8 May 2001)
| | Part XV of the Securities and Futures Bill
| | Part XVI of the Securities and Futures Bill
| | Part XVII of the Securities and Futures Bill
| | Banking (Amendment) Bill 2000
- Marked-up version of CSA to the English version of BAB [CB(1)410/01-02(03)] (14 January 2002, 10 and 4 December 2001)
- Proposed amendments to the Banking Ordinance concerning the functions of the Monetary Authority (English version only) [CB(1)707/01-02(02)] (14 January 2002)
- Supplementary notes to CSA papers in respect of Parts II to V, VIII, X and XII of SFB and BAB [CB(1)741/01-02(01)] (14 January 2002)
- Update on areas of concern raised by members during discussions on BAB and follow-up actions required from the Administration (English version only) [CB(1)512/01-02(03)] (14 January 2002 and 10 December 2001)
- Follow-up paper - Disciplinary sanctions and appeal mechanism for exempt authorized institutions and their staff (English version only) [CB(1)1374/00-01] (10 December 2001, 17 and 14 September 2001, 17 July 2001, 27 April 2001, 30 March 2001)
- Marked-up version of CSA to the Chinese version of BAB [CB(1)478/01-02(01)] (10 and 4 December 2001)
- Summary of public comments and Administration's response on Banking (Amendment) Bill 2000 (English version only) [CB(1)785/00-01(01)] (10 and 4 December 2001, 5 October 2001, 10 and 4 July 2001, 29 June 2001, 9 March 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to the English version of the Banking (Amendment) Bill 2000 [CB(1)1811/00-01(02)] (5 October 2001, 14 September 2001 and 18 July 2001)
- Information paper provided by the Administration on the proposed Committee Stage Amendments to the Chinese version of the Banking (Amendment) Bill 2000 [CB(1)2039/00-01] (5 October 2001)
- Information paper provided by the Administration on Parts VI and VII of the Securities and Futures Bill [CB(1)626/00-01(01)] ( 17, 16 and 10 July 2001, 9 March 2001, 2 March 2001, 23 February 2001)
- Table prepared by the Legal Service Division providing supplementary information on the Derivation Tables for Parts VI and VII of the Securities and Futures Bill (Annex A to LC Paper No. CB(1) 626/00-01(01)) [CB(1)648/00-01(04)] (17, 16 and 10 July 2001, 9 March 2001, 2 March 2001, 23 February 2001)
| | General
- Administration's response to members' comments made at the meeting on 14 January 2002 (English version only) [CB(1)971/01-02(09)]
- Letter dated 24 January 2002 from Hon Henry WU expressing concern over the proposed amendment to replace the reference to "employed by" by "engaged by" relating to regulation of representations engaged by licensed corporations or registered authorized institutions in conducting regulated activities in the Securities and Futures Bill and Banking (Amendment) Bill 2000 (English version only) [CB(1)1048/01-02(01)]
- Reply dated 4 February 2002 from the Administration in response to Hon Henry WU's letter of 24 January 2002 (English version only) [CB(1)1048/01-02(02)]
- Work Schedule for the Bills Committee (As at 12 November 2001) [CB(1)284/01-02]
- Marked-up version of CSA to Schedule 1 to the English version of SFB [CB(1)452/01-02(02)] (14 January 2002 and 14 December 2001)
- The Administration's response to members' other comments raised at the meetings in December 2001 (English version only) [CB(1)789/01-02(01)] (14 January 2002)
- A newspaper article by Hon Margaret NG which was published in the South China Morning Post on 6 June 2001 (English version only) [CB(1)1506/00-01]
- Marked-up version of CSA to Schedule 1 to the Chinese version of SFB [CB(1)540/01-02(02)] (14 December 2001)
- Areas of concern raised by members during discussions on Securities and Futures Bill and Banking (Amendment) Bill 2000 [CB(1)1379/00-01(01)] (26, 24, 12, 8, 5 and 3 October 2001, 28, 21, 19, 17 and 14 September 2001, 18, 17, 16, 10 and 4 July 2001, 29, 27, 22, 19, 15, 12, 8, 5 and 1 June 2001)
- Extracts of the Financial Services and Markets Act 2000 (Sections 165 to 177) (English version only) [CB(1)1811/00-01(03)] (18 July 2001)
- Follow-up paper - Subsidiary legislation, codes and guidelines for commencement of the Securities and Futures Bill (English version only) [CB(1)1246/00-01(04)] (17, 16 and 10 July 2001, 4 May 2001, 20 April 2001, 30, 9 and 2 March 2001, 23 February 2001, 12 January 2001)
- Follow-up paper - Extracts from the UK Financial Services and Markets Act 2000 (Sections 8 to 11) (English version only) [CB(1)1445/00-01(02)] (5 June 2001)
- An extract from the UK Financial Services and Markets Act 2000 (Sections 117 to 124) provided by Hon Margaret NG (English version only) [CB(1)1225/00-01] (16 and 11 May 2001)
- Deliberations of the Panel on Administration of Justice and Legal Services - drafting policy on bilingual legislation [CB(1)955/00-01(02)] (30 March 2001)
- Letters dated 12 and 13 February 2001 from Senior Assistant Legal Adviser to Secretary for Financial Services (English version only) [CB(1)604/00-01(01)] (16 February 2001)
- Reply dated 15 February 2001 from Deputy Law Draftsman, Department of Justice [CB(1)604/00-01(02)] (16 February 2001)
- The speaking note used by the Deputy Secretary for Financial Services in response to comments made by the deputations at the meeting on 3 February 2001 (Chinese version only) [CB(1)561/00-01] (3 February 2001)
- Follow-up paper -- Supplementary information to the information paper "International regulatory reform comparison"(CB(1) 374/00-01(01)) [CB(1)479/00-01] (19 and 5 January 2001)
- International regulatory reform comparison [CB(1)374/00-01(01)] (5 January 2001)
- List of organizations/ individuals invited to give views on the Bills [CB(1)323/00-01(02)] (15 December 2000)
- Presentation material on Securities and Futures Bill and Banking (Amendment) Bill 2000 [CB(1)323/00-01(03)] (15 December 2000)
- Proposed Work Schedule for the Bills Committee [CB(1)323/00-01(01)] (15 December 2000)
- Proposed Work Plan (English version only) [CB(1)311/00-01(01)] (8 December 2000)
| | Submissions
- A copy of the letter dated 24 May 2001 from the Chairman of the Hong Kong Stockbrokers Association to the Executive Director of Intermediaries and Investment Products, Securities and Futures Commission (Chinese version only) [CB(1)1498/00-01(02)]
- A copy of the letter dated 10 May 2001 from the Chairman of the Hong Kong Stockbrokers Association to the Executive Director of Enforcement, Securities and Futures Commission (English version only) [CB(1)1498/00-01(01)]
- Fourth submission from the Hong Kong Stockbrokers Association (English version only) [CB(1)899/00-01]
- Letter dated 29 June 2001 from The Hong Kong Association of Banks (English version only) [CB(1)1707/00-01]
- Letter dated 3 February 2001 from the Chief Executive of the Consumer Council (English version only) [CB(1)544/00-01(02)]
- Letter from the Charles Schwab & Co., Inc. (English version only) on provisions relating to false or misleading information under the Securities and Futures Bill [CB(1)1377/00-01]
- Submission from Dr ZHAO Yu-hong of City University of Hong Kong (English version only) [CB(1)892/00-01(02)]
- Submission from the Consumer Council [CB(1)641/00-01(01)]
- Submission from the Securities Law Committee of the Law Society of Hong Kong (English version only) [CB(1)892/00-01(01)]
- The third submission from The Institute of Securities Dealers Limited (English version only) [CB(1)1753/00-01]
- Third submission from the Hong Kong Stockbrokers Association (English version only) [CB(1)742/00-01]
- Check List of issues raised by the Hong Kong Stockbrokers Association on the Securities and Futures Bill (English version only) [CB(1)1466/00-01] (26, 24, 12, 8, 5 and 3 October 2001, 28, 21, 19, 17 and 14 September 2001, 18, 17, 16, 10 and 4 July 2001, 29, 27, 22, 19, 15 and 12 June 2001)
- Clause by clause summary of outstanding comments by Linklaters and Alliance on the Securities and Futures Bill (English version only) [CB(1)1469/00-01] (26, 24, 12, 8, 5 and 3 October 2001, 28, 21, 19, 17 and 14 September 2001, 18, 17, 16, 10 and 4 July 2001, 29, 27 and 22 June 2001)
- Follow-up paper - A letter dated 19 June 2001 from Sing Pao Newspaper Company Limited (English version only) [CB(1)1603/00-01] (3 October 2001, 28 and 21 September 2001, 16 May 2001)
- Follow-up paper -- Submission from the Hong Kong Chinese Press Association on clauses 268 and 290 of the Securities and Futures Bill relating to the dissemination of false or misleading information (Chinese version only) [CB(1)1403/00-01] (3 October 2001, 28 and 21 September 2001, 16 May 2001)
- Follow-up paper - Submission from the Hong Kong Journalists Association expressing its views on clause 290 of the Securities and Futures Bill relating to the disclosure of false or misleading information inducing transactions (English version only) [CB(1)1874/00-01] (3 October 2001, 28 and 21 September 2001, 16 May 2001)
- Follow-up paper - Submission from the Hong Kong News Executives' Association on clauses 268 and 290 of the Securities and Futures Bill relating to the dissemination of false or misleading information [CB(1)1827/00-01] (3 October 2001, 28 and 21 September 2001, 16 May 2001)
- The sixth submission from the Hong Kong Stockbrokers Association (English version only) [CB(1)1364/00-01] (30 May 2001)
- Submission from the Hong Kong General Chamber of Commerce on "Disclosure of interests" (English version only) [CB(1)1308/00-01] ( 21 May 2001)
- Submission from the International Swaps and Derivatives Association, Incorporation [CB(1)1195/00-01] (21 and 18 May 2001)
- Submission from the Linklaters and Alliance on Part XV of the Securities and Futures Bill (English version only) [CB(1)1289/00-01(01)] (21 May 2001)
- Submission from the Pan Asian Securities Lending Association on Part XV of the Securities and Futures Bill (English version only) [CB(1)1289/00-01(02)] (21 May 2001)
- The fifth submission from the Hong Kong Stockbrokers Association on Parts X to XIII of the Securities and Futures Bill (English version only) [CB(1)1227/00-01] (16 and 11 May 2001)
- The third submission from the Linklaters and Alliance on Parts XIII and XIV of the Securities and Futures Bill (English version only) [CB(1)1224/00-01] (16 and 11 May 2001)
- Second submission from Hong Kong Stockbrokers Association (English version only) [CB(1)612/00-01(03)] (2 March 2001, 23 February 2001 and 16 February 2001)
- Second submission from Linklaters & Alliance (English version only) [CB(1)612/00-01(02)] (2 March 2001, 23 February 2001 and 16 February 2001)
- Submission from Charles Schwab Hong Kong Limited [CB(1)513/00-01(01)] (3 February 2001)
- Submission from KGI Asia Limited [CB(1)513/00-01(02)] (3 February 2001)
- Submission from Linklaters & Alliance [CB(1)504/00-01(03)] (3 February 2001)
- Submission from Mr LOW Chee-keong, Associate Professor in Corporate Law, School of Accountancy, Chinese University of Hong Kong [CB(1)530/00-01(01)] (3 February 2001)
- Submission from Professor Stephen CHEUNG, Chair Professor of Finance, Department of Economics and Finance, City University of Hong Kong (Chinese version only) [CB(1)500/00-01(02)] (3 February 2001)
- Submission from the Hong Kong Association of Banks [CB(1)504/00-01(01)] (3 February 2001)
- Submission from the Hong Kong Bar Association [CB(1)641/00-01(02)] (3 February 2001)
- Submission from the Hong Kong Society of Accountants (English version only) [CB(1)526/00-01(01)] (3 February 2001)
- Submission from the Hong Kong Society of Accountants (English version only) [CB(1)500/00-01(01)] (3 February 2001)
- Submission from the Hong Kong Stockbrokers Association (English version only) [CB(1)513/00-01(03)] (3 February 2001)
- Second submission from the Institute of Securities Dealers Limited (English version only) [CB(1)1173/00-01]
- Submission from The Institute of Securities Dealers Limited [CB(1)526/00-01(02)] (3 February 2001)
- Submission from the Law Society of Hong Kong [CB(1)504/00-01(04)] (3 February 2001)
- Submission from the Mandatory Provident Fund Schemes Authority [CB(1)513/00-01(04)] (3 February 2001)
- Submission from Wocom Holdings Limited [CB(1)504/00-01(02)] (3 February 2001)
- Submission from Dr Larry H P LANG, Chair Professor of Finance, Department of Finance, Faculty of Business Administration, The Chinese University of Hong Kong [CB(1)539/00-01(01)] (3 February 2001)
- Submission from Dr Larry H P LANG, Chair Professor of Finance, Department of Finance, Faculty of Business Administration, The Chinese University of Hong Kong [CB(1)500/00-01(03)] (3 February 2001)
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If you wish to read the hardcopy of the above document(s), please
make an enquiry at the
Legislative Council Library
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