Subcommittee on draft subsidiary legislation
to be made under the Securities and Futures Ordinance

List of draft subsidiary legislation

SubjectLC Paper No.
DraftRevised draft
Securities and Futures (Recognized Couterparty) RulesCB(1) 1564/01-02(03)* --
Securities and Futures (Transfer of Functions - Stock Exchange Company) Order CB(1) 2518/01-02(01)* --
Securities and Futures (Contracts Limits and Reportable Positions) Rules CB(1) 2490/01-02(04) CB(1) 394/02-03(03)#
Securities and Futures (Stock Market Listing) Rules CB(1) 2518/01-02(01)* --
Securities and Futures (Transfer of Functions - Investor Compensation Company) Order CB(1) 1895/01-02(02)* --
Securities and Futures (Professional Investor) RulesCB(1) 1877/01-02(02) CB(1) 81/02-03(05)#
Securities and Futures (Exempted Instruments - Information) Rules CB(1) 1848/01-02(02)* --
Securities and Futures (Collective Investment Schemes) Notice CB(1) 1877/01-02(01)* --
Securities and Futures (Insurance) Rules CB(1) 2490/01-02(02) CB(1) 130/02-03(01)+
Securities (Leveraged Foreign Exchange Trading - Exemption) Rules CB(1) 2232/01-02(01) CB(1) 81/02-03(06)#
Securities and Futures (Leveraged Foreign Exchange Trading) (Arbitration) Rules CB(1) 1895/01-02(03)* --
Securities and Futures (Licensing and Registration) (Information) Rules CB(1) 1564/01-02(02)
CB(1) 2490/01-02(01)		 CB(1) 81/02-03(03)#
CB(1) 363/02-03
Securities and Futures (Financial Resources) RulesCB(1) 2494/01-02(01) CB(1) 99/02-03(01)#
Securities and Futures (Client Securities) RulesCB(1) 2168/01-02(02) CB(1) 46/02-03(02)#
Securities and Futures (Client Money) RulesCB(1) 2168/01-02(01) CB(1) 46/02-03(01)#
Securities and Futures (Keeping of Records) Rules CB(1) 2168/01-02(03) CB(1) 81/02-03(01)#
Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules CB(1) 1895/01-02(04) CB(1) 84/02-03(01)#
Securities and Futures (Accounts and Audit) Rules CB(1) 2168/01-02(04) CB(1) 84/02-03(04)#
Securities and Futures (Associated Entities - Notice) Rules CB(1) 1877/01-02(03) CB(1) 84/02-03(03)#
Securities and Futures (Short Selling Exemption and Stock Lending (Miscellaneous)) Rules CB(1) 2232/01-02(02) CB(1) 84/02-03(05)#
Securities and Futures (Unsolicited Calls - Exclusion) Rules CB(1) 1564/01-02(01) CB(1) 81/02-03(04)#
Securities and Futures (Registration of Commission Disciplinary Orders) Rules CB(1) 1848/01-02(01)* --
Securities and Futures Ordinance (Amendment of Schedule 8) Order 2002 CB(1) 2518/01-02(02)* --
Securities and Futures (Registration of Appeals Tribunal Orders) Rules CB(1) 1848/01-02(01)* --
Securities and Futures (Investor Compensation - Levy) RulesCB(1) 1895/01-02(02)CB(1) 394/02-03(02)#
Securities and Futures (Investor Compensation - Compensation Limits) Rules CB(1) 1895/01-02(02)* --
Securities and Futures (Investor Compensation - Claims) Rules CB(1) 1895/01-02(02) CB(1) 81/02-03(02)#
Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules CB(1) 1848/01-02(01)* --
Securities and Futures (Price Stabilizing) Rules CB(1) 2168/01-02(05)* --
Securities and Futures (Disclosure of Interests - Exclusions) Regulation CB(1) 2252/01-02(01) CB(1) 84/02-03(02)#
Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) RulesCB(1) 2232/01-02(03)* --
Securities and Futures (Levy) Order CB(1) 1895/01-02(01)*CB(1) 394/02-03(02)#
Securities and Futures (Levy) Rules CB(1) 1895/01-02(01)* --
Securities and Futures (Fees) Rules CB(1) 2506/01-02(01)* --
Securities and Futures (Offence and Penalties) Regulation CB(1) 2490/01-02(03)* --
Securities and Futures (Miscellaneous) Rules CB(1) 2490/01-02(03)* --
Securities and Futures Ordinance (Amendment of Schedule 10) Order 2002 CB(1) 394/02-03(01)* --


Note:*The Subcommittee is content with the draft Rules and has entrusted the LegCo Legal Service Division to follow-up with the Administration on other technical and drafting amendments.
#The Administration has produced revised drafts for consideration of the Subcommittee at meetings or by circulation. The Subcommittee has no further comments on the revised drafts and has entrusted the LegCo Legal Service Division to follow-up with the Administration on other technical and drafting amendments if any.
+The Administration will revise the draft Rules in consultation with the industry.