Securities Law: Hong Kong SAR and People's Republic of China

Securities Law: Hong Kong SAR and People's Republic of China provides a centralised, accessible and convenient source of commentary and discussion on the practice and procedure of securities law in Hong Kong

This work is written in a systematic and relevant structure to reflect the business realities of the securities industry in Hong Kong. Commentary topics are divided under three general headings: Listed Companies; Intermediaries and Investment Products; and Enforcement of Rights and Regulations. This text provides fully updated commentaries, combining primary sources of securities law, such as the relevant legislation, rules and codes, expert commentary on procedure, legal decisions and rulings of regulatory bodies, as well as relevant guidelines by the Securities and Futures Commission. This work would serve as your complete and comprehensive reference on securities regulation in Hong Kong.

Providing answers to questions of law and fact, with a flip of a page, a click of a mouse,  or a swipe on your screen

Keep abreast of the latest developments

tay up to date with the latest decisions and changing regulations across multiple jurisdictions, with content updated on a bi-monthly basis.

An authoritative voice

Highly regarded content written by experts in the field, and have been cited in over a hundred Hong Kong judgments and academic discussions.

Advise with confidence

Equip yourself with the most obvious to the most obscure principles, cases, and points of law, and its application in various jurisdictions.

A streamlined research experience

Alphabetically indexed Table of Cases, Table of Legislation and comprehensive subject index  provides a systematic research experience and optimises relevant search results.

Table of Contents

Listing on the Stock Exchange of Hong Kong

Disclosure of Interests in Securities

The Financial Reporting Council

Notifiable and Connected Transactions

Takeovers and Mergers

Licensed Intermediaries

Conduct of Business and Compliance

Code of Conduct for persons licensed by or registered with the securities and futures commission

Regulated Investment Products in Hong Kong

Jurisdiction and Procedure




The Salmon Report: Extracts

Improper Trade Practices

Market Misconduct


Original Authors

Bernard Mak, LLB (HKU), Barrister, New Chambers

Antonio Da Roza, LLB (KCL), PCLL (HKU), LLM (HKU), AMHKI Arb, Barrister-at-law, New Chambers, Research Assistant Professor, HKU

Stanley Cheung,LLM (HKU), MA (HKU), CPE (MMU), BSc (UoM), BA (CUHK), CPA, ACIS, ACS, Senior Compliance Manager, CLSA, Editor, Intermediaries and Investment Products

Current Contributor

Victor T.S. Lui, Barrister-at-Law, LLB (Hons.)(Exon), LLM(KCL), LLM(China Law)(Peking U.), PCLL(HKU), Accredited Mediator (CEDR), General Panel Mediator (HKMAAL), Member (CIArb)

More Information

Updates: The content is updated 3 times a year to accommodate new cases, legislative changes, as well as updates in the practice and procedure in this area of law.

Format: Looseleaf set (3 binders), Lexis Advance® Hong Kong & Lexis Red™

ISBN: 9780409998337

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