证监会

证券及财务相关法规、守则及指引

Administrative Appeals Rules 
《行政上诉规则》 

Advertising Guidelines [found in the Code on Unit Trusts and Mutual Funds, the Code on Pooled Retirement Funds and the Code on Investment-Linked Assurance Schemes, SFC] 
《广告宣传指引》 [载于证监会《单位信讬及互惠基金守则》、《集资退休基金守则》及《与投资有关的人寿保险计划守则》] 

Appropriation Ordinance 
《拨款条例》 

Balance of Payments Manual [IMF] 
《国际收支手册》 [国际货币基金组织] 

Banking Ordinance 
《银行业条例》 

Bankruptcy Ordinance 
《破产条例》 

Basel Capital Accord [Basel Committee] 
《巴塞尔资本协定》 [巴塞尔委员会] 

Bills of Exchange Ordinance 
《汇票条例》 

CCASS Operational Procedures [HKEx] 
《中央结算系统运作程序规则》 [香港交易所] 

CCASS Terminal User Guide for Designated Banks [HKEx] 
《指定银行适用的中央结算系统终端机使用者指引》 [香港交易所] 

CCASS Terminal User Guide for Participants [HKEx] 
《参与者适用的中央结算系统终端机使用者指引》 [香港交易所] 

Chit-Fund Businesses (Prohibition) Ordinance 
《银会经营 (禁止) 条例》 

CIS Internet Guidance Note (Guidance Note for Persons Advertising or Offering Collective Investment Schemes on the Internet) [SFC] 
《集体投资计划互联网指引》 (适用于在互联网上宣传或销售集体投资计划的人士的指引) [证监会] 

City Code on Takeovers and Mergers (City Code; London Takeovers Code; London Code) 
伦敦《收购及合并守则》 (伦敦《收购守则》) 

Clayton Act [US] 
《克莱顿法》 [美国] 

Clearing and Settlement Systems Ordinance 
《结算及交收系统条例》 

Clearing Rules and Procedures [HKCC] 
《期货结算规则及程序》 [期货结算公司] 

Client Identity Rule Policy [SFC] 
《客户身分规则的政策》 [证监会] 

Code of Banking Practice [HKAB & DTCA] 
《银行营运守则》 [香港银行公会及存款公司公会] 

Code of Conduct [HKMA] 
《行为守则》 [金管局] 

Code of Conduct for Corporate Finance Advisers [SFC] 
《企业融资顾问操守准则》 [证监会] 

Code of Conduct for MPF Intermediaries [MPFA] 
《强积金中介人操守守则》 [积金局] 

Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission 
《证券及期货事务监察委员会持牌人或注册人操守准则》 

Code of Conduct for Share Registrars [SFC] 
《股份登记机构操守准则》 [证监会] 

Code on Corporate Governance Practices [SEHK] 
《企业管治常规守则》 [联交所] 

Code on Disclosure for MPF Investment Funds [MPFA] 
《强积金投资基金披露守则》 [积金局] 

Code on Immigration-Linked Investment Schemes [SFC] 
《与移民有关的投资计划守则》 [证监会] 

Code on Investment-Linked Assurance Schemes [SFC] 
《与投资有关的人寿保险计划守则》 [证监会] 

Code on MPF Investment Funds [MPFA] 
《强积金投资基金守则》 [积金局] 

Code on Pooled Retirement Funds [SFC] 
《集资退休基金守则》 [证监会] 

Code on Real Estate Investment Trusts (REITs Code) [SFC] 
《房地产投资信讬基金守则》 (《房地产基金守则》) [证监会] 

Code on Share Repurchases (Share Repurchase Code) [SFC] 
《公司股份购回守则》 (《股份购回守则》) [证监会] 

Code on Takeovers and Mergers (Takeovers Code) [SFC] 
《公司收购及合并守则》 (《收购及合并守则》;《收购守则》) [证监会] 

Code on Unit Trusts and Mutual Funds [SFC] 
《单位信讬及互惠基金守则》 [证监会] 

Codes on Takeovers and Mergers and Share Repurchases [SFC] 
《公司收购、合并及股份购回守则》 [证监会] 

Commercial Banking Law of the People's Republic of China 
《中华人民共和国商业银行法》 

Commodity Exchanges (Prohibition) Ordinance 
《商品交易所 (禁止经营) 条例》 

Companies Act [New Zealand/Singapore/UK] 
《公司法》 [新西兰/新加坡/英国] 

Companies (Disqualification Orders) Regulation 
《公司 (取消资格令) 规例》 

Companies Ordinance 
《公司条例》 

Companies Ordinance (Exemption of Companies and Prospectuses from Compliance with Provisions) Notice 
《公司条例 (豁免公司及招股章程遵从条文) 公告》 

Companies (Reports on Conduct of Directors) Regulation 
《公司 (董事行为操守报告) 规例》 

Companies (Summary Financial Reports of Listed Companies) Regulation 
《公司 (上市公司的财务摘要报告) 规例》 

Companies (Winding-up) Rules 
《公司 (清盘) 规则》 

Company Law of the People's Republic of China 
《中华人民共和国公司法》 

Compulsory Stock Borrowing and Lending Regulations [HKEx] 
《强制证券借贷规例》 [香港交易所] 

Contract Law of the People's Republic of China 
《中华人民共和国合同法》 

Control of Exemption Clauses Ordinance 
《管制免责条款条例》 

Conveyancing and Property Ordinance 
《物业转易及财产条例》 

Core Operational and Financial Risk Management Controls for Over-the-Counter Derivatives Activities of Persons Licensed by or Registered with the Securities and Futures Commission 
《适用于证券及期货事务监察委员会持牌人或注册人的衍生工具场外交易活动的核心运作和财务风险管理机制》 

Core Principles for Effective Banking Supervision [Basel Committee] 
《有效监管银行业的主要原则》 [巴塞尔委员会] 

Corporations Act [Australia] 
《法团法》 [澳洲] 

Credit Unions Ordinance 
《储蓄互助社条例》 

Crimes Ordinance 
《刑事罪行条例》 

Criminal Procedure Ordinance 
《刑事诉讼程序条例》 

Debt Collection Guidelines for Licensed Corporations [SFC] 
《持牌法团的追讨债务指引》 [证监会] 

Deposit Protection Scheme Ordinance 
《存款保障计划条例》 

Disciplinary Fining Guidelines [SFC] 
《纪律处分罚款指引》 [证监会] 

Disciplinary Procedures [HKEx] 
《纪律程序》 [香港交易所] 

Drug Trafficking (Recovery of Proceeds) Ordinance 
《贩毒 (追讨得益) 条例》 

Electronic Transactions Ordinance 
《电子交易条例》 

Estate Duty Ordinance 
《遗产税条例》 

Ethics in Practice - A Practical Guide for Financial Practitioners [ICAC] 
《财经有道- 证券、期货及投资界专业道德实务指引》 [廉政公署] 

EU Product Directive 
《欧盟产品指引》 

Evidence Ordinance 
《证据条例》 

Exchange Fund Ordinance 
《外汇基金条例》 

Exchanges (Special Levy) Ordinance 
《交易所 (特别征费) 条例》 

Exchanges (Special Levy) Rules 
《交易所 (特别征费) 规则》 

Exchanges (Special Levy) (Suspension) Order 
《交易所 (特别征费) (暂停征收) 令》 

Financial Reporting Council Bill 
《财务汇报局条例草案》 

Financial Services Act [UK] 
《金融服务法》 [英国] 

Financial Services and Markets Act [UK] 
《金融服务及市场法》 [英国] 

Financial Services Modernization Act [US] 
《金融服务现代化法案》 [美国] 

Financial Services Reform Act [Australia] 
《金融服务改革法》 [澳洲] 

Fit and Proper Guidelines [SFC] 
《适当人选的指引》 [证监会] 

Fund Manager Code of Conduct [SFC] 
《基金经理操守准则》 [证监会] 

Futures Trading Law [Taiwan] 
《期货交易法》 [台湾] 

Gambling Ordinance 
《赌博条例》 

General Rules of CCASS [HKEx] 
《中央结算系统一般规则》 [香港交易所] 

Guarantee Law of the People's Republic of China 
《中华人民共和国担保法》 

Guidance Note on Cooperation with the SFC 
《与证监会合作指引》 

Guidance Note on Internet Regulation [SFC] 
《互联网监管指引》 [证监会] 

Guidance Note on Position Limits and Large Open Position Reporting Requirements [SFC] 
《持仓限额及大额未平仓合约的申报规定指引》 [证监会] 

Guidance Note on Short Selling Reporting and Stock Lending Record Keeping Requirements [SFC] 
《有关申报卖空活动及备存证券借出纪录规定的指引》 [证监会] 

Guidance Note to SFC Approved Fund Management Companies 
《证监会向认可基金管理公司发出的指引》 

Guide on Disclosure of Price-Sensitive Information [HKEx] 
《股价敏感资料披露指引》 [香港交易所] 

Guide to Continuing Professional Development for MPF Intermediaries [MPFA] 
《强积金中介人持续专业进修指引》 [积金局] 

Guide to Registration as MPF Intermediaries [MPFA] 
《强积金中介人注册指引》 [积金局] 

Guideline on Corporate Governance of Locally Incorporated Authorized Institutions [HKMA] 
《本地注册认可机构的企业管治指引》 [金管局] 

Guideline on Prevention of Money Laundering [HKMA] 
《防止清洗黑钱活动指引》 [金管局] 

Guidelines for Electronic Public Offerings (ePO Guidelines) [SFC] 
《电子公开发售指引》 [证监会] 

Guidelines for New Listing Applications (for Main Board and GEM) [SEHK] 
《新上市申请指引- 主板及创业板》 [联交所] 

Guidelines for Regulating Index Tracking Exchange Traded Funds under [found in the Code on Unit Trusts and Mutual Funds, SFC] 
《跟踪指数交易所买卖基金监管指引》 [载于证监会《单位信讬及互惠基金守则》] 

Guidelines for Review of Internal Controls and Systems of Trustees/Custodians [found in the Code on Unit Trusts and Mutual Funds, SFC] 
《审核受讬人/代管人的内部监控措施及制度的指引》 [载于证监会《单位信讬及互惠基金守则》] 

Guidelines for the Approval of Corporations as Approved Lending Agents [SFC] 
《就核准法团为核准借出代理人而发出的指引》 [证监会] 

Guidelines for the Exemption of Listed Companies from the Share Repurchase Requirements of Section 49BA of the Companies Ordinance (Cap.32) [found in the Codes on Takeovers, Mergers and Share Repurchases, SFC] 
《豁免上市公司遵守〈公司条例〉 (香港法例第32章) 第49BA条股份购回规定的指引》 [载于证监会《公司收购、合并及股份购回守则》] 

Guidelines for the Exemption of Listed Corporations from Part XV of the Securities and Futures Ordinance (Disclosure of Interests) [SFC] 
《豁免上市法团使其不受〈证券及期货条例〉第XV部 (披露权益) 规限的指引》 [证监会] 

Guidelines for the Regulation of Automated Trading Services [SFC] 
《监管自动化交易服务的指引》 [证监会] 

Guidelines on applying for a relaxation from the procedural formalities to be fulfilled upon registration of a prospectus under the Companies Ordinance (Cap. 32) [SFC] 
《有关申请放宽在根据〈公司条例〉 (第32章) 办理招股章程注册时需遵从的程序事宜的指引》 [证监会] 

Guidelines on Competence [SFC] 
《胜任能力的指引》 [证监会] 

Guidelines on Continuous Professional Training [SFC] 
《持续培训的指引》 [证监会] 

Guidelines on Disclosure of Fees and Charges Relating to Securities Services [SFC] 
《与证券服务有关的费用及收费披露指引》 [证监会] 

Guidelines on Exempt Fund Manager Status under the Code on Takeovers and Mergers [SFC] 
《根据〈收购及合并守则〉获豁免基金经理的资格的指引》 [证监会] 

Guidelines on Exempt Principal Trader Status under the Codes on Takeovers and Mergers [SFC] 
《根据〈收购及合并守则〉获豁免自营买卖商的资格的指引》 [证监会] 

Guidelines on Hedge Funds Reporting Requirements [found in the Code on Unit Trusts and Mutual Funds, SFC] 
《对冲基金汇报规定指引》 [载于证监会《单位信讬及互惠基金守则》] 

Guidelines on revised procedures for applications for Exempt Fund Manager status under the Code on Takeovers and Mergers [SFC] 
《有关〈收购及合并守则〉下的获豁免基金经理资格的经修订程序的指引》 [证监会] 

Guidelines on revised procedures for applications for Exempt Principal Trader status under the Code on Takeovers and Mergers [SFC] 
《有关〈收购及合并守则〉下的获豁免自营买卖商资格的经修订程序的指引》 [证监会] 

Guidelines on Transitional Arrangements [SFC] 
《过渡安排指引》 [证监会] 

Guidelines on use of offer awareness and summary disclosure materials in offerings of shares and debentures under the Companies Ordinance [SFC] 
《根据〈公司条例〉作出股份及债权证要约时使用要约认知材料及简明披露材料的指引》 [证监会] 

Guidelines on using a "Dual prospectus" structure to conduct programme offers of shares or debentures requiring a prospectus under the Companies Ordinance (Cap. 32) [SFC] 
《有关采用"双重招股章程"机制以进行根据〈公司条例〉 (第32章) 规定需发出招股章程的股份或债权证的同一计划性要约的指引》 [证监会] 

Guidelines on Waivers of Certain Licensing Fees [SFC] 
《宽免缴付若干牌照费用的指引》 [证监会] 

Hedge Funds Guidelines [found in the Code on Unit Trusts and Mutual Funds, SFC] 
《对冲基金指引》 [载于证监会《单位信讬及互惠基金守则》] 

HKATS Trading Procedures [HKFE] 
《HKATS电子交易系统交易程序》 [期交所] 

Hong Kong Accounting Standards (HKAS) [HKICPA] 
《香港会计准则》 [香港会计师公会] 

Hong Kong Financial Reporting Standards (HKFRS) [HKICPA] 
《香港财务报告准则》 [香港会计师公会] 

Hong Kong Standards on Investment Circular Reporting Engagements (HKSIR) [HKICPA] 
《香港投资通函呈报准则》 [香港会计师公会] 

How to Create a Clear Prospectus [SFC] 
《如何撰写清楚易明的章程》 [证监会] 

How to Create Clear Announcements [SFC] 
《如何撰写清楚易明的公布》 [证监会] 

Independent Commission Against Corruption Ordinance 
《廉政公署条例》 

Inland Revenue Ordinance 
《税务条例》 

Insurance Companies Ordinance 
《保险公司条例》 

International Financial Reporting Standards (IFRS) [IASB] 
《国际财务汇报准则》;《国际财务报告准则》 [国际会计准则委员会] 

International Valuation Standards [IVSC] 
《国际估值准则》;《国际估值标准》 [国际估值准则委员会] 

Interpretation and General Clauses Ordinance 
《释义及通则条例》 

Investment Company Act [US] 
《投资公司法》 [美国] 

Investment Services Directive (ISD) [EU] 
《投资服务指令》 [欧盟] 

Legal Practitioners Ordinance 
《法律执业者条例》 

Legal Tender Notes Issue Ordinance 
《法定货币纸币发行条例》 

Licensing Information Booklet [SFC] 
发牌资料册 [证监会] 

Limited Partnerships Ordinance 
《有限责任合伙条例》 

Magistrates Ordinance 
《裁判官条例》 

Management, Supervision and Internal Control Guidelines for Persons Licensed by or Registered with the Securities and Futures Commission 
《适用于证券及期货事务监察委员会持牌人或注册人的管理、监督及内部监控指引》 

Mandatory Provident Fund Schemes (Compensation Claims) Rules 
《强制性公积金计划 (补偿申索) 规则》 

Mandatory Provident Fund Schemes (Exemption) Regulation 
《强制性公积金计划 (豁免) 规例》 

Mandatory Provident Fund Schemes (Fees) Regulation 
《强制性公积金计划 (费用) 规例》 

Mandatory Provident Fund Schemes (General) Regulation 
《强制性公积金计划 (一般) 规例》 

Mandatory Provident Fund Schemes Ordinance 
《强制性公积金计划条例》 

Mandatory Provident Fund Schemes Rules 
《强制性公积金计划规则》 

Mandatory Provident Fund Schemes (Winding Up) Rules 
《强制性公积金计划 (清盘) 规则》 

Misrepresentation Ordinance 
《失实陈述条例》 

Model Code for Securities Transactions by Directors of Listed Companies [SEHK] 
《上市公司董事进行证券交易的标准守则》 [联交所] 

Monetary Statistics Ordinance 
《金融资料统计条例》 

Money Changers Ordinance 
《货币兑换商条例》 

Money Lenders Ordinance 
《放债人条例》 

New Basel Capital Adequacy Standards [Basel Committee] 
《新巴塞尔资本充足标准》 [巴塞尔委员会] 

Non-Statutory Guidelines on Directors' Duties [CR] 
《有关董事责任的非法定指引》 [公司注册处] 

Oaths and Declarations Ordinance 
《宣誓及声明条例》 

Occupational Retirement Schemes Ordinance 
《职业退休计划条例》 

Operational Clearing Procedures for Options Trading Exchange Participants [SEOCH] 
《期权买卖交易所参与者结算运作程序》 [联交所期权结算所] 

Operational Trading Procedures for Options Trading Exchange Participants [SEHK] 
《期权买卖交易所参与者交易运作程序》 [联交所] 

Options Clearing Rules [SEOCH] 
《期权结算规则》 [联交所期权结算所] 

Options Trading Rules [SEHK] 
《期权交易规则》 [联交所] 

Organized and Serious Crimes Ordinance 
《有组织及严重罪行条例》 

Personal Data (Privacy) Ordinance 
《个人资料 (私隐) 条例》 

Prevention of Bribery Ordinance 
《防止贿赂条例》 

Prevention of Money Laundering and Terrorist Financing Guidance Note issued by the Securities and Futures Commission 
《证券及期货事务监察委员会有关防止洗黑钱及恐怖分子筹资活动的指引》 

Price Stabilizing Rules [UK] 
《稳定价格规则》 [英国] 

Principles for On-Going Disclosure and Material Development Reporting by Listed Entities [IOSCO] 
《上市机构的持续披露和重大发展汇报原则》 [国际证监会组织] 

Principles on Client Idenification and Beneficial Ownership for the Securities Industry [IOSCO] 
《证券业有关识别客户身分及实益拥有权的原则》 [国际证监会组织] 

Principles on Outsourcing of Financial Services for Market Intermediaries [IOSCO] 
《市场中介人外判金融服务的原则》 [国际证监会组织] 

Professional Accountants Ordinance 
《专业会计师条例》 

Protection of Wages on Insolvency Ordinance 
《破产欠薪保障条例》 

Public Offering of Securities Regulations [UK] 
《公开发售证券规例》 [英国] 

Risk Management Guidelines for Derivatives [Basel Committee] 
《衍生工具风险管理指引》 [巴塞尔委员会] 

Rules Governing the Listing of Securities on the Growth Enterprise Market of The Stock Exchange of Hong Kong Limited (Growth Enterprise Market Listing Rules; GEM Listing Rules) 
《香港联合交易所有限公司创业板证券上市规则》 (《创业板上市规则》) 

Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (Stock Exchange Listing Rules; Listing Rules) 
《香港联合交易所有限公司证券上市规则》 (《联交所上市规则》;《上市规则》) 

Rules of the Exchange [HKEx] 
《交易所规则》 [香港交易所] 

Rules of the High Court 
《高等法院规则》 

Rules on Corporate Governance Report [SEHK] 
《企业管治报告规则》 [联交所] 

Rules, Regulations and Procedures [HKFE] 
《规则、规例及程序》 [期交所] 

Sarbanes-Oxley Act [US] 
《萨班斯- 奥克斯莱法》 [美国] 

Securities Act [US] 
《证券法》 [美国] 

Securities and Exchange Law [Taiwan] 
《证券交易法》 [台湾] 

Securities and Futures (Accounts and Audit) Rules 
《证券及期货 (帐目及审计) 规则》 

Securities and Futures Act [Singapore] 
《证券及期货法》 [新加坡] 

Securities and Futures (Associated Entities - Notice) Rules 
《证券及期货 (有联系实体- 通知) 规则》 

Securities and Futures Bill 
《证券及期货条例草案》 

Securities and Futures (Client Money) Rules 
《证券及期货 (客户款项) 规则》 

Securities and Futures (Client Securities) Rules 
《证券及期货 (客户证券) 规则》 

Securities and Futures (Collective Investment Schemes) Notice 
《证券及期货 (集体投资计划) 公告》 

Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules 
《证券及期货 (成交单据、户口结单及收据) 规则》 

Securities and Futures (Contracts Limits and Reportable Positions) Rules 
《证券及期货 (合约限量及须申报的持仓量) 规则》 

Securities and Futures (Disclosure of Interests - Exclusions) Regulation 
《证券及期货 (披露权益- 除外情况) 规例》 

Securities and Futures (Disclosure of Interests - Securities Borrowing and Lending) Rules 
《证券及期货 (权益披露- 证券借贷) 规则》 

Securities and Futures (Exempted Instruments - Information) Rules 
《证券及期货 (获豁免的票据- 资料) 规则》 

Securities and Futures (Fees) Rules 
《证券及期货 (费用) 规则》 

Securities and Futures (Financial Resources) Rules 
《证券及期货 (财政资源) 规则》 

Securities and Futures (Insurance) Rules 
《证券及期货 (保险) 规则》 

Securities and Futures (Investor Compensation - Claims) Rules 
《证券及期货 (投资者赔偿- 申索) 规则》 

Securities and Futures (Investor Compensation - Compensation Limits) Rules 
《证券及期货 (投资者赔偿- 赔偿上限) 规则》 

Securities and Futures (Investor Compensation - Levy) Rules 
《证券及期货 (投资者赔偿- 征费) 规则》 

Securities and Futures (Keeping of Records) Rules 
《证券及期货 (备存纪录) 规则》 

Securities and Futures (Leveraged Foreign Exchange Trading - Exemption) Rules 
《证券及期货 (杠杆式外汇交易- 豁免) 规则》 

Securities and Futures (Leveraged Foreign Exchange Trading) (Arbitration) Rules 
《证券及期货 (杠杆式外汇交易) (仲裁) 规则》 

Securities and Futures (Levy) Order 
《证券及期货 (征费) 令》 

Securities and Futures (Levy) Rules 
《证券及期货 (征费) 规则》 

Securities and Futures (Licensing and Registration) (Information) Rules 
《证券及期货 (发牌及注册) (资料) 规则》 

Securities and Futures (Miscellaneous) Rules 
《证券及期货 (杂项) 规则》 

Securities and Futures (Offences and Penalties) Regulations 
《证券及期货 (罪行及罚则) 规例》 

Securities and Futures Ordinance (SFO) 
《证券及期货条例》 

Securities and Futures (Price Stabilizing) Rules 
《证券及期货 (稳定价格) 规则》 

Securities and Futures (Professional Investor) Rules 
《证券及期货 (专业投资者) 规则》 

Securities and Futures (Recognized Counterparty) Rules 
《证券及期货 (认可对手方) 规则》 

Securities and Futures (Registration of Appeals Tribunal Orders) Rules 
《证券及期货 (登记上诉审裁处命令) 规则》 

Securities and Futures (Registration of Commission Disciplinary Orders) Rules 
《证券及期货 (登记证监会纪律制裁命令) 规则》 

Securities and Futures (Registration of Market Misconduct Tribunal Orders) Rules 
《证券及期货 (登记市场失当行为审裁处命令) 规则》 

Securities and Futures (Short Selling and Securities Borrowing and Lending (Miscellaneous) ) Rules 
《证券及期货 (卖空及证券借贷 (杂项) ) 规则》 

Securities and Futures (Stock Market Listing) Rules 
《证券及期货 (在证券市场上市) 规则》 

Securities and Futures (Transfer of Functions - Investor Compensation Company) Order 
《证券及期货 (职能的转移- 投资者赔偿公司) 令》 

Securities and Futures (Transfer of Functions - Stock Exchange Company) Order 
《证券及期货 (职能的转移- 联交所) 令》 

Securities and Futures (Unsolicited Calls - Exclusion) Rules 
《证券及期货 (豁除某等未获邀约的造访) 规则》 

Securities Exchange Act [US] 
《证券交易所法》 [美国] 

Securities Law of the People's Republic of China 
《中华人民共和国证券法》 

Securities Transfer Act [New Zealand] 
《证券转让法》 [新西兰] 

SFC Code on MPF Products 
《证监会强积金产品守则》 

Stamp Duty (Jobbing Business) (Options Market Makers) Regulation 
《印花税 (证券经销业务) (期权庄家) 规例》 

Stamp Duty Ordinance 
《印花税条例》 

Statements of Standard Accounting Practice (SSAP) [HKICPA] 
《会计实务准则》 [香港会计师公会] 

Suggested Control Techniques and Procedures for Enhancing a Firm's Ability to Comply with the Securities and Futures (Client Securities) Rules and the Securities and Futures (Client Money) Rules [SFC] 
《提高商号遵守〈证券及期货 (客户证券) 规则〉及〈证券及期货 (客户款项) 规则〉的能力的建议监控措施及程序》 [证监会] 

Tax Reserve Certificates Ordinance 
《储税券条例》 

Telecommunications Ordinance 
《电讯条例》 

Terms and Conditions for Investor Participants [HKSCC] 
《投资者户口持有人规则》 [香港结算] 

The Ombudsman Ordinance 
《申诉专员条例》 

Theft Ordinance 
《盗窃罪条例》 

Transfer of Businesses (Protection of Creditors) Ordinance 
《业务转让 (债权人保障) 条例》 

Trustee Ordinance 
《受讬人条例》 

Trustees (Hong Kong Government Securities) Ordinance 
《受讬人 (香港政府证券) 条例》 

Uncertificated Securities Regulations [UK] 
《非凭证式证券规例》 [英国] 

Unconscionable Contracts Ordinance 
《不合情理合约条例》 

United Nations (Anti-Terrorism Measures) Ordinance 
《联合国 (反恐怖主义措施) 条例 》 

Whitewash Guidance Notes [found in the Codes on Takeovers, Mergers and Share Repurchases, SFC] 
《清洗交易指引注释》 [载于证监会《公司收购、合并及股份购回守则》]


注:这部不应视为已载列香港或其他地方的所有证券及财务相关法规、守则及指引。

每一类别之下的译法乃按其普及程度列出,并不代表证监会的选择。使用时应按有关词汇的上下文选用合适的译法。 

"*"标示《证券及期货条例》及其附属法例内的界定用语。

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