Version Date
Cap 571 s 146 Failure to comply with financial resources rules 01/04/2003
Cap 571 s 147 Monitoring compliance with financial resources rules 01/04/2003
Cap 571 s 148 Client securities and collateral held by intermediaries and their associated entities 14/12/2007
Cap 571 s 149 Client money held by licensed corporations and their associated entities 01/04/2003
Cap 571 s 150 Claims and liens not affected 01/04/2003
Cap 571 s 151 Keeping of accounts and records by intermediaries and their associated entities 01/04/2003
Cap 571 s 152 Provision of contract notes, receipts, statements of account and notifications by intermediaries and their associated entities 01/04/2003
Cap 571 s 153 Auditor to be appointed by licensed corporations and associated entities of intermediaries 01/04/2003
Cap 571 s 154 Notification of proposed change of auditors by licensed corporations and associated entities of intermediaries 01/04/2003
Cap 571 s 155 Notification of end of financial year by licensed corporations and associated entities of intermediaries, etc. 01/04/2003
Cap 571 s 156 Audited accounts, etc. to be submitted by licensed corporations and associated entities of intermediaries 01/04/2003
Cap 571 s 157 Auditors of licensed corporations or associated entities of intermediaries to lodge report with Commission, etc. in certain cases 01/04/2003
Cap 571 s 158 Immunity in respect of communication with Commission, etc. by auditors of licensed corporations or associated entities of intermediaries 01/04/2003
Cap 571 s 159 Power of Commission to appoint auditors for licensed corporations and their associated entities 01/04/2003
Cap 571 s 160 Power of Commission to appoint auditors for licensed corporations and their associated entities on application 01/04/2003
Cap 571 s 161 Auditors appointed under section 159 or 160 to report to Commission 01/04/2003
Cap 571 s 162 Powers of auditors appointed under section 159 or 160 01/04/2003
Cap 571 s 163 Offence to destroy, conceal, or alter accounts, records or documents, etc. 01/04/2003
Cap 571 s 164 Restriction on receiving or holding of client assets 14/12/2007
Cap 571 s 165 Associated entities 01/04/2003
Cap 571 s 166 Use of incriminating evidence in proceedings 01/04/2003
Cap 571 s 167 Interpretation of Part VII 01/04/2003
Cap 571 s 168 Business conduct of intermediaries and their representatives 01/04/2003
Cap 571 s 169 Codes for business conduct of intermediaries and their representatives 01/04/2003
Cap 571 s 170 Short selling restricted 01/04/2003
Cap 571 s 171 Requirements to confirm short selling order 01/04/2003
Cap 571 s 172 Requirements to disclose short sales 01/04/2003
Cap 571 s 173 Requirements for options trading 01/04/2003
Cap 571 s 174 Certain agreements not to be made during unsolicited calls 08/09/2004
Cap 571 s 175 Requirements for offers by intermediaries or representatives for Type 1, Type 4 or Type 6 regulated activity 03/12/2004
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