Securities and futures appeals tribunal

changes to replace the SFAP with a Securities and Futures Appeals Tribunal. FURTHER SAFEGUARDS TO BE INTRODUCED. 1.23 The composite Bill sets out 

Items 1 - 10 Expand Part II—Establishment of the Administrative Appeals Tribunal (e) a decision under the Australian Securities and Investments Commission  Welcome to the Securities and Futures Appeals Tribunal's homepage. The Tribunal is a review body which is established under the Securities and Futures Ordinance (SFO). Under the SFO, the chairman is a judge. Its statutory purpose is to act as a safeguard to ensure that regulatory decisions made by relevant regulatory authorities including the Independent panels and tribunals. The Process Review Panel for the Securities and Futures Commission and the Securities and Futures Appeals Tribunal provide external checks and balances that aim to ensure fairness in our decision making, due process, and the proper use of regulatory powers. Additionally, the Leveraged Foreign Exchange Trading Arbitration Panel handles disputes related to Securities Limited (“FTSL”), applied to the Securities and Futures Appeals Tribunal (“the Tribunal”), pursuant to section 217 of the Securities and Futures Ordinance, Cap. 571 (“the Ordinance”) for a review of the decision of the Securities and Futures Commission (“SFC”) in a Decision Notice,

and represented the SFC before the Securities and Futures Appeals Tribunal. Closely involved in the Lehman Brothers Minibond resolution with banks.

IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under section 116 (6) of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571 ----- BETWEEN Tribunal (+ XiUý) means the Securities and Futures Appeals Tribunal established by section 216 of the Ordinance. 3. Registration of Tribunal orders in Court of First Instance The Tribunal shall, for the purpose of giving notice in respect of IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under 36 of the Commodities Trading Ordinance, Cap. 250 and section 194 of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571 The Chairman of the Securities and Futures Appeals Tribunal, the Honourable Mr Justice Hartmann, has directed that the hearing of HSBC Private Bank (Suisse) SA’s (HSBC Private Bank) application to review the Securities and Futures Commission’s (SFC) disciplinary decision against it be held on 4 to 6 and 9 to 11 of May 2016, with 12 May 2016 reserved (Note 1). The SFC has suspended Mr Ng Shun Fu for nine months pursuant to the determination of the Securities and Futures Appeals Tribunal (SFAT) (Note 1). The suspension follows an SFC investigation into the subscription of rights shares in Sen Hong Resources Limited in a placement in June 1999.

IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under 36 of the Commodities Trading Ordinance, Cap. 250 and section 194 of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571

21 Nov 2017 Hong Kong's Securities and Futures Appeals Tribunal ordered HSBC Private Bank (Suisse) SA to pay 400 million Hong Kong dollars (US$51  21 Nov 2017 HSBC Private Bank fined record HK$400 million, as appeals tribunal the Securities and Futures Commission, after losing its appeal against a  21 Jul 2017 Securities and Futures Appeals Tribunal Abstract, In Moody's Investors Service Hong Kong Ltd v Securities and Futures Commission, the  24 Nov 2017 On 21 November 2017, Hong Kong's Securities and Futures Appeals Tribunal fined HSBC Private Bank (Suisse) SA HK$400 million,  5 Dec 2016 Two recent Securities and. Futures Appeals Tribunal. (SFAT) and MMT decisions mark the first occasion the regulatory framework and specific  11 Nov 2017 This includes disciplinary proceedings, proceedings before the Securities and Futures Appeals Tribunal and proceedings before the Market  8 Jun 2017 In the Moody's case, the Securities and Futures Appeals Tribunal focused on a 2011 report by the rating agency that scored 61 companies for 

Securities and Futures Appeal Tribunal (SFAT): acts as a safeguard to ensure that regulatory decisions made by relevant regulatory authorities including the 

IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under 36 of the Commodities Trading Ordinance, Cap. 250 and section 194 of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571 The Chairman of the Securities and Futures Appeals Tribunal, the Honourable Mr Justice Hartmann, has directed that the hearing of HSBC Private Bank (Suisse) SA’s (HSBC Private Bank) application to review the Securities and Futures Commission’s (SFC) disciplinary decision against it be held on 4 to 6 and 9 to 11 of May 2016, with 12 May 2016 reserved (Note 1). The SFC has suspended Mr Ng Shun Fu for nine months pursuant to the determination of the Securities and Futures Appeals Tribunal (SFAT) (Note 1). The suspension follows an SFC investigation into the subscription of rights shares in Sen Hong Resources Limited in a placement in June 1999.

and proceedings brought by the Securities and Futures Commission, The Stock the Court of Final Appeal, the Securities & Futures Appeals Tribunal and the 

What is the abbreviation for Securities and Futures Appeals Tribunal? What does SFAT stand for? SFAT abbreviation stands for Securities and Futures Appeals Tribunal. IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under section 116 (6) of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571 ----- BETWEEN Tribunal (+ XiUý) means the Securities and Futures Appeals Tribunal established by section 216 of the Ordinance. 3. Registration of Tribunal orders in Court of First Instance The Tribunal shall, for the purpose of giving notice in respect of IN THE SECURITIES AND FUTURES APPEALS TRIBUNAL IN THE MATTER OF a Decision made by the Securities and Futures Commission under 36 of the Commodities Trading Ordinance, Cap. 250 and section 194 of the Securities and Futures Ordinance, Cap. 571 AND IN THE MATTER OF section 217 of the Securities and Futures Ordinance, Cap. 571 The Chairman of the Securities and Futures Appeals Tribunal, the Honourable Mr Justice Hartmann, has directed that the hearing of HSBC Private Bank (Suisse) SA’s (HSBC Private Bank) application to review the Securities and Futures Commission’s (SFC) disciplinary decision against it be held on 4 to 6 and 9 to 11 of May 2016, with 12 May 2016 reserved (Note 1). The SFC has suspended Mr Ng Shun Fu for nine months pursuant to the determination of the Securities and Futures Appeals Tribunal (SFAT) (Note 1). The suspension follows an SFC investigation into the subscription of rights shares in Sen Hong Resources Limited in a placement in June 1999.

證券及期貨事務上訴審裁處(英語:Securities and Futures Appeals Tribunal,簡稱 SFAT)是中華人民共和國香港特別行政區政府財經事務及庫務局財經事務科轄下的