SFC Code of Conduct definition

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission issued by the SFC, as may be amended from time to time;

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the SFC as amended, supplemented and/or modified from time to time;

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission.

Examples of SFC Code of Conduct in a sentence

• In the event of any conflict between the SFC Code of Conduct and the terms and conditions hereof, the SFC Code of Conduct shall prevail.

• None of the Company's employees or representatives shall accept appointment by the Client as agent to operate the Client's Account unless a separate agreement is entered into in accordance with the SFC Code of Conduct.

• Furthermore, over the past few years, the SFC implemented a series of enhancements, including asset management regulation, new measures to update the SFC’s licensing processes, SFC Code of Conduct, point-of-sales transparency, disclosure requirements for discretionary accounts and code on unit trusts and mutual funds, in the regulatory regime for better investor protection and strengthen Hong Kong’s position as a major financial and wealth management centre.

• Whether a customer is a “professional investor” under section 3 of the Securities and Futures (Professional Investor) Rules is determined by whether the relevant Distributing Bank had classified the customer as a professional investor and that the customer had signed a declaration consenting to being treated as a professional investor in accordance with paragraphs 15.3 and 15.4 of the SFC Code of Conduct at the time of the customer’s purchase of Minibonds from that Distributing Bank.

• All users that may access the Liquidnet Asia System, wherever located, must be qualified investors as defined in the SFC Code of Conduct.

More Definitions of SFC Code of Conduct

SFC Code of Conduct means Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission, as amended from time to time;

SFC Code of Conduct means Code of Conduct for Personal Licensed by or Registered with the SFC as amended from time to time; “Shanghai-Hong Kong Stock Connect”means a securities trading and clearing links programme developed or to be developed by SEHK, SSE, HKSCC and ChinaClear for the establishment of mutual market access between SEHK and SSE;

SFC Code of Conduct means Code of Conduct for Persons Licensed by or Registered with the SFC as amended from time to time; "Standing Order(s)" means instruction(s) given by the Client from time to time to take specified action when the conditions forming part of such instructions are met and the Client has requested the Company to carry out such instruction during Business Hours if the relevant conditions are met; and

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the Commission made under the Ordinance in force from time to time;“SFC Transaction Levy”means the levy payable to the Commission pursuant to the provisions of section 394 of the Ordinance;“short selling”has the same meaning as in Regulation (1) of the Short Selling Regulations in the Eleventh Schedule to these Rules;“single stock CBBC”means a CBBC which is based on one single class of shares;“single stock derivative warrant”means a derivative warrant which is based on one single class of shares;“SPAC Exchange Participant”means an Exchange Participant which is registered as a SPAC Exchange Participant by the Exchange;“SPAC Share”has the same meaning as in Chapter 18B of the Main Board Listing Rules;“SPAC Warrant”has the same meaning as in Chapter 18B of the Main Board Listing Rules;“Special China Connect Securities”means any securities listed on a China Connect Market which the Exchange (after consulting the relevant China Connect Market Operator) accepts or designates as eligible only for China Connect sell orders and not for China Connect buy orders through the use of the China Connect Service, as referred to in Rule 1408 and 1409(1)(b);“special limit order”means a buy order or a sell order with a specified price input into the System during the Continuous Trading Session for automatic order matching during that session as follows:-

SFC Code of Conduct means Code of Conduct for Persons Licensed by or

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission made under the Ordinance in force from time to time;

SFC Code of Conduct means the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission issued by the SFC, as may be amended from time to time; "Terms and Conditions" means the terms and conditions set out in Sections I to V, as may be amended or supplemented from time to time; “Transaction” means entering into of a Contract in connection with this Agreement, closing out or effecting delivery and/or settlement of a Contract in connection with this Agreement; and “User ID” means the Customer’s personal identification used in conjunction with the Password to gain access to the Electronic Trading Service, Xxxxx Futures Mail and/or other services provided by the Company.