关键词：Securities

Chapter: 571AF Title: SECURITIES AND FUTURES (FEES) RULES Gazette Number: L.N. 228 of 2002; L.N. 12 of 2003
  Heading: Empowering section Version Date: 01/04/2003



(Cap 571, section 395)



[1 April 2003] L.N. 12 of 2003

(L.N. 228 of 2002)


Section: 1 Heading: (Omitted as spent) Version Date: 01/04/2003



PART 1

PRELIMINARY

(Omitted as spent)



Section: 2 Heading: Annual fees, application fees, etc. Version Date: 01/04/2003



PART 2

FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(i),
(iii) AND (iv) OF ORDINANCE


A fee described in column 2 of Schedule 1, which is prescribed opposite the description in column 3 of that Schedule, shall be payable to the Commission.


Section: 3 Heading: Time for payment of fees Version Date: 01/04/2003



(1) The annual fee prescribed in item 1 of Schedule 1 shall be payable on or before each anniversary of the date on which authorization of the provision of automated trading services concerned under section 95(2) of the Ordinance is granted.
(2) The annual fee prescribed in item 4 of Schedule 1 shall be payable-
(a) where it is first payable in respect of authorization of a collective investment scheme under section 104 of the Ordinance, on or before the date on which the authorization takes effect; and
(b) where it is subsequently so payable, on or before each successive anniversary of the date on which the authorization takes effect.
(3) Any fee, other than an annual fee referred to in subsection (1) or (2), prescribed in Schedule 1 shall be payable at the time when the application or request to which the fee relates is made.


Section: 4 Heading: Interpretation of Part 3 Version Date: 01/04/2003



PART 3

FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(ii)
OF ORDINANCE


In this Part, unless the context otherwise requires-
"Codes" (《守则》) means the codes entitled "The Codes on Takeovers and Mergers and Share Repurchases" and published by the Commission under section 399(2)(a) and (b) of the Ordinance;
"Executive" (执行人员) means the Executive Director of the Corporate Finance Division of the Commission or any delegate of the Executive Director;
"Introduction to the Codes" (《守则》引言) means the part of the Codes entitled "Introduction" ;
"offer" (要约) has the meaning assigned to it by the Codes and, in any case where section 5(2)(a)(ii) is applicable, includes any of the alternative offers or offers of different values (as the case may be) referred to in that section;
"offer document" (要约文件) means a document required to be submitted to the Executive under the Codes in connection with an offer;
"offeree company" (要约标的公司) means a corporation for which an offer is made in accordance with the Codes;
"off-market share repurchase" (场外股份购回) has the meaning assigned to it by the Codes;
"off-market share repurchase circular" (场外股份购回通告) means a document required to be submitted to the Executive under the Share Repurchase Code in connection with an off-market share repurchase;
"relevant shares" (有关股份)-
(a) in relation to an offer contained in an offer document, means the securities which are the subject of the offer;
(b) in relation to an off-market share repurchase contained in an off-market share repurchase circular, means the securities which are the subject of the off-market share repurchase; or
(c) in relation to a whitewashed offer, means the securities which would be the subject of the offer;
"ruling" (裁定) includes any ruling, waiver, consent, decision, confirmation or other determination in writing, made under the Codes by the Executive, the Takeovers Panel or the Takeovers Appeal Committee;
"Share Repurchase Code" (《股份购回守则》) means the parts of the Codes respectively entitled "Introduction", "Definitions", "General Principles", "Code on Share Repurchases" and "Schedules";
"Takeovers Appeal Committee" (收购上诉委员会) means the committee established under section 8 of the Ordinance and known as the Takeovers Appeal Committee;
"Takeovers Code" (《收购守则》) means the parts of the Codes respectively entitled "Introduction", "Definitions", "General Principles", "Code on Takeovers and Mergers" and "Schedules";
"Takeovers Panel" (收购委员会) means the committee established under section 8 of the Ordinance and known as the Takeovers and Mergers Panel;
"whitewash document" (清洗交易文件) means a document required to be submitted to the Executive under the Whitewash Guidance Note in Schedule VI to the Codes;
"whitewashed offer" (清洗交易要约), in relation to a whitewash document, means an offer which would be required to be made under Rule 26 of the Takeovers Code in the absence of a waiver under Note 1 on dispensations from Rule 26 of the Takeovers Code.


Section: 5 Heading: Fees relating to offer documents, off-market share repurchase circulars and whitewash documents Version Date: 01/04/2003



(1) Where a first draft of an offer document, off-market share repurchase circular or whitewash document is submitted to the Executive for comment, a fee which is prescribed, opposite the applicable value set out in column 1 of Schedule 2, in column 2 of that Schedule shall be payable to the Commission.
(2) For the purposes of subsection (1), the applicable value shall be equivalent-
(a) in the case of an offer document-
(i) subject to subparagraph (ii), to the value of the offer contained in the offer document; or
(ii) where the offer document contains alternative offers to the same offeree company, or contains 2 or more offers of different values to different offeree companies, to the value of the offer contained in the offer document which has the lower or lowest value;
(b) in the case of an off-market share repurchase circular, to the value of the off-market share repurchase contained in the off-market share repurchase circular; or
(c) in the case of a whitewash document, to the value of the whitewashed offer.
(3) Where any offer contained in a draft offer document previously submitted to the Executive for comment is replaced by a revised offer, and a revised offer document is submitted to the Executive in connection with the revised offer, there shall be payable to the Commission a fee the amount of which shall be the difference between-
(a) the fee previously paid under subsection (1) on the submission of the draft offer document; and
(b) the fee which would have been payable under subsection (1) had the revised offer been contained in such draft offer document.
(4) For the purposes of this section-
(a) the value of any offer contained in an offer document or the value of an off-market share repurchase contained in an off-market share repurchase circular shall be-
(i) where the relevant shares are under the offer or the off-market share repurchase (as the case may be) to be acquired for cash, the total amount of such cash;
(ii) where the relevant shares are under the offer or the off-market share repurchase (as the case may be) to be acquired in exchange for securities, the total value of such securities on the date of announcement of a firm intention to make the offer or the off-market share repurchase (as the case may be) in accordance with the Codes; or
(iii) where the relevant shares are under the offer or the off-market share repurchase (as the case may be) to be acquired partly for cash and partly in exchange for securities, the aggregate of the total amount of such cash and the total value of such securities on the date of announcement of a firm intention to make the offer or the off-market share repurchase (as the case may be) in accordance with the Codes; and
(b) the value of a whitewashed offer in the case of a whitewash document shall be-
(i) where the relevant shares would under such whitewashed offer be acquired for cash, the total amount of such cash;
(ii) where the relevant shares would under such whitewashed offer be acquired in exchange for securities, the total value of such securities on the date of announcement of a firm intention to enter into the transaction which would require such whitewashed offer to be made in the absence of a waiver under Note 1 on dispensations from Rule 26 of the Takeovers Code; or
(iii) where the relevant shares would under such whitewashed offer be acquired partly for cash and partly in exchange for securities, the aggregate of the total amount of such cash and the total value of such securities on the date of announcement of a firm intention to enter into the transaction which would require such whitewashed offer to be made in the absence of a waiver under Note 1 on dispensations from Rule 26 of the Takeovers Code,
and where the application of this subsection may, in the case of any offer contained in an offer document or any whitewashed offer in the case of a whitewash document, result in 2 or more variable values, only the lower or lowest value shall be taken into account.
(5) The payment of a fee payable under this section shall be accompanied by a statement showing the value of the offer, off-market share repurchase or whitewashed offer concerned and the manner in which the fee is determined having regard to subsection (4).
(6) Where a first draft of an offer document, a first draft of an off-market share repurchase circular and a first draft of a whitewash document, or any combination of them, are combined in a draft when submitted to the Executive for comment-
(a) the fee payable under subsection (1) shall be the aggregate of the respective fees payable under that subsection in respect of each such first draft as if each such first draft had not been so combined in the draft, and the provisions of this section shall apply accordingly; and
(b) without prejudice to paragraph (a), subsection (3) shall apply as if-
(i) the reference to a draft offer document in subsection (3) included a reference to the draft in which each such first draft is so combined; and
(ii) the reference to a revised offer document included a reference to that draft as revised to include the revised offer.

Section: 6 Heading: Fees for applications to Takeovers Panel or Takeovers Appeal Committee Version Date: 01/04/2003



Where, pursuant to the Codes, a person other than the Executive applies to the Takeovers Panel for a review of any ruling of the Executive, or applies to the Takeovers Appeal Committee for a review of the appropriateness of any sanction imposed by the Takeovers Panel pursuant to the Codes-
(a) a fee of $50000 shall be payable by the person to the Commission; and
(b) an additional fee of $20000 shall be payable by the person to the Commission within 30 days after the delivery by the Takeovers Panel or the Takeovers Appeal Committee (as the case may be) of its ruling, in respect of each day or part of a day in excess of the first 2 days on which the Takeovers Panel or the Takeovers Appeal Committee (as the case may be) meets for the purposes of the review.


Section: 7 Heading: Fees for hearings concerning compliance with Codes or any rulings under them Version Date: 01/04/2003



(1) Where a hearing takes place before the Takeovers Panel in any disciplinary proceedings instituted under section 12 of the Introduction to the Codes, a fee, the amount of which shall be determined in accordance with subsection (3), shall, within 30 days after the delivery by the Takeovers Panel of its ruling, be payable to the Commission by any person who in the opinion of the Takeovers Panel-
(a) has caused unnecessary expense to be incurred in connection with the investigation by the Commission of any allegation against the person or with the conduct of the hearing; or
(b) has committed a breach of the Takeovers Code, the Share Repurchase Code or a ruling of the Executive or the Takeovers Panel.
(2) Where a hearing takes place before the Takeovers Panel for the purpose of deliberating the appropriate sanction to be imposed upon a person who has agreed that he is in breach of the Takeovers Code, the Share Repurchase Code or a ruling of the Executive or the Takeovers Panel, a fee, the amount of which shall be determined in accordance with subsection (3), shall be payable to the Commission by the person within 30 days after the delivery by the Takeovers Panel of its ruling.
(3) The fee payable under subsection (1) or (2) shall be $50000 and, in addition, $20000 in respect of each day or part of a day in excess of the first 2 days on which the Takeovers Panel meets for the purposes of the hearing in question.

Section: 8 Heading: Fees for miscellaneous applications Version Date: 01/04/2003



(1) Subject to subsection (2), where any person applies to the Executive for any ruling under the Takeovers Code or the Share Repurchase Code and no fee is otherwise provided for by these Rules for the application, a fee of $24000 shall be payable by the person to the Commission.
(2) Where a fee has been paid under section 5 on the submission of a first draft of a whitewash document, or of a draft in which a first draft of a whitewash document is combined with any first draft of any other document, no fee shall be payable under subsection (1) for an application to the Executive for a waiver in relation to the whitewash document under Note 1 on dispensations from Rule 26 of the Takeovers Code.


Section: 9 Heading: Time for payment of fees Version Date: 01/04/2003



(1) The fee prescribed in section 5 shall be payable-
(a) in the case of a fee payable under section 5(1), at the time when-
(i) subject to subparagraph (ii), the first draft concerned; or
(ii) where section 5(6)(a) applies, the draft concerned,
is submitted to the Executive; or
(b) in the case of a fee payable under section 5(3), at the time when-
(i) subject to subparagraph (ii), the revised offer document concerned; or
(ii) where section 5(6)(b)(ii) applies, the draft concerned (being the draft as revised to include the revised offer as described in that section 5(6)(b)(ii)),
is submitted to the Executive.
(2) The fee prescribed in section 6(a) shall be payable at the time when the application concerned is made to the Takeovers Panel or the Takeovers Appeal Committee (as the case may be).
(3) The fee prescribed in section 8(1) shall be payable at the time when the application concerned is made to the Executive.


Section: 10 Heading: Fees which under Ordinance are prescribed by rules Version Date: 01/04/2003



PART 4

FEES PRESCRIBED FOR PURPOSES OF SECTION
395(1)(b) OF ORDINANCE


A fee described in column 2 of Schedule 3 is prescribed, opposite the description, in column 3 of that Schedule.


Section: 11 Heading: Waiver of fees Version Date: 01/04/2003



PART 5

MISCELLANEOUS

(1) Subject to subsection (2), the Commission may, in relation to any person or class of persons-
(a) waive, in whole or in part, the payment of any fee provided for under these Rules; or
(b) refund, in whole or in part, any fee paid as provided for under these Rules,
if it is of the opinion that otherwise the payment of the fee would be unduly burdensome or inappropriate.
(2) The Commission may only-
(a) waive the payment of the fee prescribed in item 6 of Schedule 1 to the extent that the fee exceeds $1200;
(b) waive the payment of the fee prescribed in item 7 of Schedule 1 to the extent that the fee exceeds $600.
(3) Where a corporation, an authorized financial institution or an individual-
(a) is, or applies to be, licensed, registered or approved for Type 1 or Type 2 regulated activity under section 116, 119, 120(1), 126 or 127(1) of the Ordinance; and
(b) is, or applies to be, licensed, registered or approved for Type 7 regulated activity under section 116, 119, 120(1), 126 or 127(1) of the Ordinance,
if the carrying on, or proposed carrying on, of Type 7 regulated activity by the corporation, authorized financial institution or individual (as the case may be) is incidental to the carrying on, or proposed carrying on, of Type 1 or Type 2 (as the case may be) regulated activity by the corporation, authorized financial institution or individual (as the case may be)-
(c) the payment of-
(i) the fee prescribed in item 3, under paragraph (A), of Schedule 3 for Type 7 regulated activity;
(ii) the fee prescribed in item 5 of Schedule 3 for Type 7 regulated activity;
(iii) the fee prescribed in item 6, under paragraph (A), of Schedule 3 for Type 7 regulated activity;
(iv) the fee prescribed in item 12 of Schedule 3 for Type 7 regulated activity;
(v) the fee prescribed in item 13(a)(i), under paragraph (A), of Schedule 3 for Type 7 regulated activity;
(vi) the fee prescribed in item 13(b)(i), under paragraph (A), of Schedule 3 for Type 7 regulated activity; and
(vii) the fee prescribed in item 13(c)(i) of Schedule 3 for Type 7 regulated activity,
shall be waived; and
(d) the payment of the annual fee prescribed in item 18 of Schedule 3 for Type 7 regulated activity shall be waived.
(4) Where the occurrence of an event occasions the need to make an application under section 122(1) or (2), 126(1), 127(1) or 134(1) of the Ordinance as well as an application for which a fee is prescribed in item 9(a) or (b) (as the case may be) of Schedule 1, the payment of the fee prescribed in item 9(a) or (b) (as the case may be) of that Schedule for the latter application shall be waived.
(5) In this section-
(a) where any fee prescribed in an item in Schedule 3 is described as being so prescribed under paragraph (A), the reference to the fee so described shall be construed as a reference only to the part of the fee that is so prescribed under such paragraph (A) that appears in that item in column 3 of that Schedule; and
(b) without prejudice to paragraph (a), where any fee prescribed in an item in Schedule 3 (whether or not it is also described as being so prescribed under paragraph (A)) is described as being so prescribed for Type 7 regulated activity, the reference to the fee so described shall be construed as a reference only to the part of the fee that is so prescribed with reference to that regulated activity (however described).



Schedule: 1 Heading: FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(i), (iii) AND (iv) OF ORDINANCE Version Date: 01/04/2003



[sections 2, 3 & 11]

Item Description Amount
 
Fees relating to Part III of Ordinance
 
1. Annual fee payable in respect of authorization of the provision of automated trading services under section 95(2) of the Ordinance $10000
 
Fees relating to Part IV of Ordinance
 
2. Fee payable on an application under section 104(1) of the Ordinance for- 
(a) authorization of a collective investment scheme-
(i) within which there is, or could be, more than one fund; or
(ii) which maintains, or is capable of maintaining, more than one fund  $40000, plus $5000 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance)
(b) authorization of any other collective investment scheme  $20000
(c) extension of authorization of a collective investment scheme to cover an additional fund  $5000 (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance)
3. Fee payable in respect of-
(a) authorization of a collective investment scheme under section 104 of the Ordinance-
(i) within which there is, or could be, more than one fund; or
(ii) which maintains, or is capable of maintaining, more than one fund $20000, plus $2500 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance)
(b) authorization of any other collective investment scheme under section 104 of the Ordinance $10000
(c) extension of authorization of a collective investment scheme under section 104 of the Ordinance to cover an additional fund  $2500 (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance)
4. Annual fee payable in respect of authorization of a collective investment scheme under section 104 of the Ordinance which is not limited to a period of less than 12 months- 
(a) in the case of a collective investment scheme-
(i) within which there is, or could be, more than one fund; or
(ii) which maintains, or is capable of maintaining, more than one fund $7500, plus $4500 for each such fund (excluding any such fund which is already within or maintained by another collective investment scheme which has been authorized under section 104 of the Ordinance)
(b) in the case of any other collective investment scheme  $6000
5. Fee payable on an application for extension of the period of authorization of any collective investment scheme under section 104 of the Ordinance which authorization is limited to a period of less than 12 months $20000
6. Fee payable on an application under section 105(1) of the Ordinance for authorization of the issue of an advertisement, invitation or document other than that in respect of any collective investment scheme which is authorized under section 104 of the Ordinance $20000
7. Fee payable in respect of authorization of the issue of an advertisement, invitation or document under section 105 of the Ordinance other than that in respect of any collective investment scheme which is authorized under section 104 of the Ordinance $10000
8. Fee payable on an application to modify a previous authorization under section 105 of the Ordinance of the issue of an advertisement, invitation or document in respect of- 
(a) any instrument specified in Part 2 of Schedule 4 to the Ordinance $3000
(b) any certificate of deposit  $3000
(c) any securities other than interests in a collective investment scheme $3000
 
Fees relating to Part V of Ordinance
 
9. Fee payable on an application-
(a) for the grant of a licence under section 116, 117, 120 or 121 of the Ordinance where a licensed corporation or licensed representative has substantially changed its or his particulars since the grant of the existing licence $200
(b) for the grant of a certificate of registration under section 119 of the Ordinance where a registered institution has substantially changed its particulars since the grant of the existing certificate of registration $200
10. Fee payable for renewal of a modification or waiver referred to in item 16(e), (f), (g), (h), (i) or (j) of Schedule 3 $4000
11. Fee payable pursuant to section 136(6)(b) of the Ordinance for certification of a copy of a document as a true copy $200
 
Fees relating to Part VI of Ordinance
 
12. Fee payable-
(a) (subject to paragraph (c)) on an application under section 155(3)(a) of the Ordinance for approval in respect of an alteration of date on which the financial year ends $2000
(b) (subject to paragraph (c)) on an application under section 155(3)(b) of the Ordinance for approval in respect of the adoption of a period which exceeds 12 months as the financial year $2000
(c) on an application for approval in respect of both of the matters referred to in paragraphs (a) and (b) respectively $2000
13. Fee payable on an application under section 156(4) of the Ordinance for extension of the period within which financial statements and other documents, and any auditor's report, are required to be submitted under section 156(1) or (2) of the Ordinance $2000
 
Fees relating to Part XV of Ordinance
 
14. Fee payable on an application under section 309(2) or (3) of the Ordinance for exemption from all or any of the provisions of Part XV of the Ordinance $24000
 
Miscellaneous fees
 
15. Fee payable on submission of any information or document to the Commission requiring its consideration and advice (including any advice relating to the application of Part IV of the Ordinance and any advice relating to the authorization for registration of a prospectus under section 38D or 342C of the Companies Ordinance (Cap 32)) $10000
16. Fee payable on an application pursuant to section 11 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) for any approval $6000
17. Fee payable for renewal of an approval referred to in item 16  $4000
18. Fee payable on an application pursuant to section 4(2)(b) of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I) for any approval $6000
19. Fee payable for renewal of an approval referred to in item 18  $4000
20. Fee payable for renewal of an approval referred to in item 19 of Schedule 3 $4000
21. Fee payable on an application under section 38D or 342C of the Companies Ordinance (Cap 32) for authorization for registration of a prospectus under that Ordinance- 
(a) in the case of rights issue prospectus
(b) in the case of Eurobond issue prospectus
(c) in the case of warrant issue prospectus
(d) in the case of any prospectus relating to interests in a collective investment scheme
(e) in the case of any prospectus, not referred to in paragraph (a), (b), (c) or (d), which offers any shares in or debentures of a corporation that have been approved by a recognized exchange company for listing on a recognized stock market $15000
$15000
$10000
nil

$30000
(f) in the case of any other prospectus  $30000
22. Fee payable for a copy of a document provided by the Commission in the performance of a function under any of the relevant provisions for which no fee is otherwise prescribed in this Schedule $9 per page


Schedule: 2 Heading: FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(a)(ii) OF ORDINANCE Version Date: 27/02/2004



[section 5]

Applicable value Fee
 
Not exceeding $75000000 $25000
Exceeding $75000000 but not exceeding $125000000 $75000
Exceeding $125000000 but not exceeding $300000000 $150000
Exceeding $300000000 but not exceeding $600000000 $250000
Exceeding $600000000 but not exceeding $1200000000 $350000
Exceeding $1200000000 but not exceeding $2000000000 $500000
Exceeding $2000000000 $500000, plus 0.01%
of the value over
$2000000000

(L.N. 29 of 2004)


Schedule: 3 Heading: FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(b) OF ORDINANCE Version Date: 01/04/2003



[sections 10 & 11 & Schedule 1]

Item Description Amount
 
Fees relating to Part III of Ordinance
1. Prescribed application fee payable under section 96(1)(b) of the Ordinance on an application for authorization to provide automated trading services $10000
2. Prescribed fee payable under section 99(5)(b) of the Ordinance for a copy of an entry in or extract of a register maintained under section 99 of the Ordinance $9 per page
 
Fees relating to Part V of Ordinance
 
3. Prescribed fee payable under section 116(1) of the Ordinance on an application for the grant of a licence for a licensed corporation (A) $4740 for each regulated activity other than Type 3 regulated activity; and
(B) $129730 for Type 3 regulated activity
4. Prescribed fee payable under section 117(1) of the Ordinance on an application for the grant of a licence for a licensed corporation for a period not exceeding 3 months $4900 for each regulated activity
5. Prescribed fee payable under section 119(1) of the Ordinance on an application for registration as a registered institution  $23500 for each regulated activity
6. Prescribed fee payable under section 120(1) of the Ordinance on an application for the grant of a licence for a licensed representative (A) $1790 for each regulated activity other than Type 3 regulated activity; and
(B) $2420 for Type 3 regulated activity
7. Prescribed fee payable under section 120(2) of the Ordinance on an application for the grant of a provisional licence for a licensed representative $800
8. Prescribed fee payable under section 121(1) of the Ordinance on an application for the grant of a licence for a licensed representative for a period not exceeding 3 months $1850 for each regulated activity
9. Prescribed fee payable under section 122(1) of the Ordinance on an application for approval of an accreditation of a licensed representative $200
10. Prescribed fee payable under section 122(2) of the Ordinance on an application for approval of a transfer of an accreditation of a licensed representative $200 for each regulated activity
11. Prescribed fee payable under section 124(1) of the Ordinance on an application for issue of a duplicate of a licence or certificate of registration $200
12. Prescribed fee payable under section 126(1) of the Ordinance on an application for approval of a person as a responsible officer  $2950 for each regulated activity
13. Prescribed fee payable under section 127(1) of the Ordinance on an application for variation of any regulated activity- 
(a) in the case of a licensed corporation-
(i) for adding any regulated activity (A) $4740 for each regulated activity other than Type 3 regulated activity; and
(B) $129730 for Type 3 regulated activity
(ii) (subject to subparagraph (iii)) for removing any regulated activity  $200 for each regulated activity
(iii) for removing all regulated activities specified in the licence nil
(b) in the case of a licensed representative-
(i) for adding any regulated activity (A) $1790 for each regulated activity other than Type 3 regulated activity; and
(B) $2420 for Type 3 regulated activity
(ii) (subject to subparagraph (iii)) for removing any regulated activity  $200 for each regulated activity
(iii) for removing all regulated activities specified in the licence nil
(c) in the case of a registered institution-
(i) for adding any regulated activity  $23500 for each regulated activity
(ii) (subject to subparagraph (iii)) for removing any regulated activity  $200 for each regulated activity
(iii) for removing all regulated activities specified in the certificate of registration nil
14. Prescribed fee payable under section 130(1) of the Ordinance on an application for approval of premises $1000
15. Prescribed fee payable under section 132(1)of the Ordinance on an application for approval to become or continue to be a substantial shareholder $3000
16. Prescribed fee payable under section 134(1) of the Ordinance on an application for the grant of a modification or waiver in respect of- 
(a) any condition specified in section 118 of the Ordinance or imposed under section 116, 117, 119, 120, 121, 126 or 132 of the Ordinance or any of the requirements of section 121(2)(a) of the Ordinance $2000
(b) any of the requirements of sections 116(2)(b) and 125(1) and (2) of the Ordinance $2000
(c) any of the requirements of sections 116(2)(c) and 130 of the Ordinance $2000
(d) any of the requirements of section 129 of the Ordinance  $4000
(e) any of the requirements of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N) (other than one relating to hedging or arbitrage programmes) $6000
(f) any of the requirements of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N), relating to hedging or arbitrage programmes- 
(i) where at least one side of the portfolio is less than $10000000
(ii) in any other case  $10000

$20000
(g) any of the requirements of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) $6000
(h) any of the requirements of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I) $6000
(i) any of the requirements of the Securities and Futures (Keeping of Records) Rules (Cap 571 sub. leg. O) $6000
(j) any of the requirements of the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (Cap 571 sub. leg. Q) $6000
17. Prescribed fee payable under section 136(5)(b) of the Ordinance for a copy of an entry in or extract of a register maintained under section 136 of the Ordinance $9 per page
18. Prescribed annual fee payable under section 138(1) of the Ordinance-
(a) in the case of a corporation licensed under section 116 of the Ordinance (A) $4740 for each regulated activity other than Type 3 regulated activity; and
(B) $129730 for Type 3 regulated activity
(b) in the case of an individual licensed under section 120(1) of the Ordinance-
(i) to the extent of any regulated activity for which the individual is not approved as a responsible officer under section 126(1) of the Ordinance (A) $1790 for each regulated activity other than Type 3 regulated activity; and
(B) $2420 for Type 3 regulated activity
(ii) to the extent of any regulated activity for which the individual is approved as a responsible officer under section 126(1) of the Ordinance (A) $4740 for each regulated activity other than Type 3 regulated activity; and
(B) $5370 for Type 3 regulated activity
(c) in the case of a registered institution $35000 for each regulated activity
19. Prescribed fee payable under section 58 of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N) on an application for any approval $6000
20. Prescribed application fee payable under section 8(2)(b) of the Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap 571 sub. leg. X) on an application for approval as an approved lending agent $24000

章： 571AF 标题： 证券及期货(费用)规则 宪报编号： L.N. 228 of 2002; L.N. 12 of 2003
  条文标题： 赋权条文 版本日期： 01/04/2003



(第571章第395条)
[2003年4月1日] 2003年第12号法律公告

(本为2002年第228号法律公告)


条： 1 条文标题： (已失时效而略去) 版本日期： 01/04/2003



第1部

导言

(已失时效而略去)


条： 2 条文标题： 年费、申请费等 版本日期： 01/04/2003



第2部

为施行本条例第395(1)(a)(i)、(iii)及(iv)条
而订明的费用

附表1第2栏内描述的，并在该附表第3栏内与该项描述相对之处订明的费用，须缴付予证监会。



条： 3 条文标题： 缴付费用的时间 版本日期： 01/04/2003



(1) 附表1第1项所订明的年费须于提供有关的自动化交易服务根据本条例第95(2)条获认可的日期的每个周年日或之前缴付。
(2) 附表1第4项所订明的年费─
(a) 如属首次就本条例第104条所指的集体投资计划的认可而缴付的，则须在认可的生效日期或之前缴付；及
(b) 如属其后缴付的，则须在认可的生效日期以后的每个周年日或之前缴付。
(3) 除第(1)或(2)款所提述的年费外，附表1所订明的任何其他费用须在与该费用有关的申请或要求提出时缴付。

条： 4 条文标题： 第3部的释义 版本日期： 01/04/2003



第3部

为施行本条例第395(1)(a)(ii)条
而订明的费用

在本部中，除文意另有所指外─
“《守则》”(Codes) 指证监会根据本条例第399(2)(a)及(b)条刊登或发表的名为《公司收购、合并及股份购回守则》的守则；
“《守则》引言”(Introduction to the Codes) 指《守则》内名为“引言”的部分；
“收购上诉委员会”(Takeovers Appeal Committee) 指根据本条例第8条设立的名为“收购上诉委员会”的委员会；
“《收购守则》”(Takeovers Code) 指《守则》内分别名为“引言”、“定义”、“一般原则”、“公司收购及合并守则”及“附表”的部分；
“收购委员会”(Takeovers Panel) 指根据本条例第8条设立的名为“收购及合并委员会”的委员会；
“有关股份”(relevant shares)─
(a) 就载于要约文件的要约而言，指属该要约标的之证券；
(b) 就载于场外股份购回通告的场外股份购回而言，指属该场外股份购回标的之证券；或
(c) 就清洗交易要约而言，指会属该要约标的之证券；
“《股份购回守则》”(Share Repurchase Code) 指《守则》内分别名为“引言”、“定义”、“一般原则”、“公司股份购回守则”及“附表”的部分；
“要约”(offer) 具有《守则》给予该词的涵义，而凡在第5(2)(a)(ii)条适用的情况下，则包括该条提述的任何可供选择的要约或任何不同价值的要约(视属何情况而定)；
“要约文件”(offer document) 指根据《守则》须就一项要约呈交予执行人员的文件；
“要约标的公司”(offeree company) 在有人按照《守则》就某法团提出要约的情况下，指该法团；
“执行人员”(Executive) 指证监会属下企业融资部的执行董事或获该董事转授职能的人；
“清洗交易文件”(whitewash document) 指根据《守则》附表VI的清洗交易指引注释须向执行人员呈交的文件；
“清洗交易要约”(whitewashed offer) 就清洗交易文件而言，指在没有《收购守则》规则26的豁免注释1所指的宽免的情况下，根据《收购守则》规则26本须作出的要约；
“场外股份购回”(off-market share repurchase) 具有《守则》给予该词的涵义；
“场外股份购回通告”(off-market share repurchase circular) 指根据《股份购回守则》须就一项场外股份购回呈交予执行人员的文件；
“裁定”(ruling) 包括执行人员、收购委员会或收购上诉委员会根据《守则》作出的裁定、宽免、同意、决定、确认或其他书面裁断。


条： 5 条文标题： 与要约文件、场外股份购回通告及清洗交易文件有关的费用 版本日期： 01/04/2003



(1) 凡向执行人员呈交要约文件、场外股份购回通告或清洗交易文件的初稿要求给予意见，须向证监会缴付在附表2第2栏内与该附表第1栏列明的适用价值相对之处订明的费用。
(2) 为施行第(1)款─
(a) 就要约文件而言─
(i) 除第(ii)节另有规定外，适用价值相等于要约文件所载的要约的价值；或
(ii) 凡要约文件载有向同一间要约标的公司提出的可供选择的要约，或载有向不同的要约标的公司提出的2项或多于2项不同价值的要约，则适用价值相等于要约文件所载的属价值较低或最低的要约的价值；
(b) 就场外股份购回通告而言，适用价值相等于该场外股份购回通告所载的场外股份购回的价值；或
(c) 就属清洗交易文件而言，适用价值相等于清洗交易要约的价值。
(3) 凡先前已向执行人员呈交要求给予意见的要约文件草稿所载的任何要约，由另一经修订的要约取代，并就该经修订的要约有一份经修订的要约文件向执行人员呈交，则须向证监会缴付费用，其款额为以下两项费用的差额─
(a) 先前在呈交该要约文件草稿时已根据第(1)款缴付的费用；及
(b) (倘若该经修订的要约载于该要约文件草稿内)根据第(1)款本须缴付的费用。
(4) 就本条而言─
(a) 要约文件所载的要约的价值或场外股份购回通告所载的场外股份购回的价值─
(i) 在有关股份根据该要约或该场外股份购回(视属何情况而定)须以现金取得的情况下，为有关现金的总款额；
(ii) 在有关股份根据该要约或该场外股份购回(视属何情况而定)须以交换证券取得的情况下，为该等证券于宣布确实有意按照《守则》提出该要约或该场外股份购回(视属何情况而定)当日的总值；或
(iii) 在有关股份根据该要约或该场外股份购回(视属何情况而定)部分须以现金取得而部分须以交换证券取得的情况下，为有关现金的总款额以及该等证券于宣布确实有意按照《守则》提出该要约或该场外股份购回(视属何情况而定)当日的总值之总和；及
(b) 与清洗交易文件有关的清洗交易要约的价值─
(i) 在有关股份根据该清洗交易要约会以现金取得的情况下，为有关现金的总款额；
(ii) 在有关股份根据该清洗交易要约会以交换证券取得的情况下，为该等证券于宣布确实有意订立有关交易(即在没有《收购守则》规则26的豁免注释1所指的宽免的情况下本致令须作出该清洗交易要约的交易)当日的总值；或
(iii) 在有关股份根据有关清洗交易要约会部分须以现金取得而部分须以交换证券取得的情况下，为有关现金的总款额及该等证券于宣布确实有意订立有关交易(即在没有《收购守则》规则26的豁免注释1所指的宽免的情况下本致令须作出该清洗交易要约的交易)当日的总值之总和，
如就要约文件所载的任何要约或就与清洗交易文件有关的任何清洗交易要约而言，应用本款可能导致有2个或多于2个可变动的价值，则只须计算较低或最低的价值。
(5) 在缴付根据本条须缴付的费用时，须附上一份陈述，显示有关的要约、场外股份购回或清洗交易要约的价值，以及在顾及第(4)款的规定下厘定该费用的方式。
(6) 如要约文件的初稿、场外股份购回通告的初稿及清洗交易文件的初稿或该等文件与通告的任何组合，在呈交予执行人员要求给予意见时是合并在一份草稿内的，则─
(a) 根据第(1)款须缴付的费用，为根据该款须分别就每份该等初稿缴付的费用的总和，犹如每份该等初稿并没有合并在一份草稿内一样，而本条条文据此适用；及
(b) 在不损害(a)段的原则下，第(3)款须适用，犹如─
(i) 第(3)款中凡提述要约文件草稿之处，包括提述该份将每份该等初稿合并在一起的草稿；及
(ii) 凡提述经修订的要约文件之处，包括提述该份草稿经修订以包含经修订的要约的版本。


条： 6 条文标题： 向收购委员会或收购上诉委员会提出申请时须缴付的费用 版本日期： 01/04/2003



凡任何人(执行人员除外)依据《守则》向收购委员会申请覆核执行人员的任何裁定，或向收购上诉委员会申请覆核收购委员会依据《守则》所施加的制裁的适当性─
(a) 该人须向证监会缴付$50000的费用；及
(b) 如收购委员会或收购上诉委员会(视属何情况而定)为覆核的目的进行超过2日的会议，该人须于收购委员会或收购上诉委员会(视属何情况而定)宣告其裁定后30日内，就超过该2日的每一日向证监会缴付$20000的额外费用，不足一日亦当一日计算。


条： 7 条文标题： 关乎遵从《守则》或遵从根据《守则》作出的裁定的聆讯的费用 版本日期： 01/04/2003



(1) 凡根据《守则》引言第12条提起的任何纪律研讯的聆讯在收购委员会席前进行，则任何人如被收购委员会认为─
(a) 曾在证监会对针对该人的指称而进行的调查方面或在该聆讯的进行方面，引致不必要的开支；或
(b) 曾违反《收购守则》、《股份购回守则》或执行人员或收购委员会的任何裁定，
该人须于收购委员会宣告其裁定后30日内，向证监会缴付一项费用，其款额须按照第(3)款厘定。
(2) 凡在收购委员会席前进行的聆讯的目的，是商议对一个已同意自己违反《收购守则》、《股份购回守则》或执行人员或收购委员会的裁定的人施加何种适当制裁，则该人须于收购委员会宣告其裁定后30日内，向证监会缴付一项费用，其款额须按照第(3)款厘定。
(3) 根据第(1)或(2)款须缴付的费用为$50000；如收购委员会为有关聆讯的目的进行超过2日的会议，则须就超过该2日的每一日另外缴付$20000，不足一日亦当一日计算。


条： 8 条文标题： 杂项申请的费用 版本日期： 01/04/2003



(1) 除第(2)款另有规定外，凡任何人向执行人员申请要求根据《收购守则》或《股份购回守则》作出裁定，而本规则其他条文并无为该项申请订定费用，则该人须向证监会缴付$24000的费用。
(2) 凡在呈交清洗交易文件初稿或在呈交一份将清洗交易文件初稿与任何其他文件的初稿合并在一起的草稿时，已根据第5条缴付费用，则在根据《收购守则》规则26的豁免注释1就该清洗交易文件而向执行人员申请宽免时，无须根据第(1)款缴付费用。


条： 9 条文标题： 缴付费用的时限 版本日期： 01/04/2003



(1) 第5条订明的费用─
(a) 如属根据第5(1)条须缴付的费用─
(i) (除第(ii)节另有规定外)须于向执行人员呈交有关的初稿时缴付；或
(ii) 在第5(6)(a)条适用的情况下，须于向执行人员呈交有关的草稿时缴付；或
(b) 如属根据第5(3)条须缴付的费用─
(i) (除第(ii)节另有规定外)须于向执行人员呈交有关的经修订的要约文件时缴付；或
(ii) 在第5(6)(b)(ii)条适用的情况下，须于向执行人员呈交有关的草稿(即第5(6)(b)(ii)条所描述的经修订以包含经修订的要约的草稿)时缴付。
(2) 第6(a)条订明的费用，须于向收购委员会或收购上诉委员会(视属何情况而定)提出有关的申请时缴付。
(3) 第8(1)条订明的费用，须于向执行人员提出有关的申请时缴付。


条： 10 条文标题： 根据本条例须由规则订明的费用 版本日期： 01/04/2003



第4部

为施行本条例第395(1)(b)条而订明的费用


附表3第2栏所描述的费用，在该附表第3栏内与该描述相对之处订明。


条： 11 条文标题： 宽免缴付费用 版本日期： 01/04/2003



第5部

杂项

(1) 除第(2)款另有规定外，证监会如认为对任何人或任何类别的人士而言，缴付下述任何费用是过重的负担或并不适当，证监会可─
(a) 宽免缴付整项本规则所规定的费用或其部分；或
(b) 退还整项本规则所规定的费用或其部分。
(2) 证监会只可─
(a) 宽免缴付附表1第6项订明的费用中超过$1200的部分；
(b) 宽免缴付附表1第7项订明的费用中超过$600的部分。
(3) 凡任何法团、认可财务机构或个人─
(a) 根据本条例第116、119、120(1)、126或127(1)条，就第1或2类受规管活动获发牌、注册或核准或申请就第1或2类受规管活动获发牌、注册或核准；及
(b) 根据本条例第116、119、120(1)、126或127(1)条，就第7类受规管活动获发牌、注册或核准或申请就第7类受规管活动获发牌、注册或核准，
如该法团、认可财务机构或个人(视属何情况而定)进行或拟进行第7类受规管活动，是附带于该法团、认可财务机构或个人(视属何情况而定)进行或拟进行第1或2类受规管活动(视属何情况而定)的，则─
(c) 须宽免缴付─
(i) 附表3第3项(A)段就第7类受规管活动而订明的费用；
(ii) 附表3第5项就第7类受规管活动而订明的费用；
(iii) 附表3第6项(A)段就第7类受规管活动而订明的费用；
(iv) 附表3第12项就第7类受规管活动而订明的费用；
(v) 附表3第13(a)(i)项(A)段就第7类受规管活动而订明的费用；
(vi) 附表3第13(b)(i)项(A)段就第7类受规管活动而订明的费用；及
(vii) 附表3第13(c)(i)项就第7类受规管活动而订明的费用；及
(d) 须宽免缴付附表3第18项就第7类受规管活动而订明的年费。
(4) 凡某事件的发生导致有需要根据本条例第122(1)或(2)、126(1)、127(1)或134(1)条提出申请以及提出在附表1第9(a)或(b)项(视属何情况而定)订明费用的申请，则附表1第9(a)或(b)项(视属何情况而定)就后述的申请而订明的费用获宽免。
(5) 在本条中─
(a) 凡附表3内任何一项所订明的费用被描述为根据该项(A)段订明，则对如此描述的费用的提述，须解释为只对根据出现在附表3第3栏该项(A)段订明的费用的提述；及
(b) 在不损害(a)段的原则下，凡附表3内任何一项所订明的费用(不论是否被描述为根据该项(A)段订明)被描述为就第7类受规管活动如此订明，则对如此描述的费用的提述，须解释为只对就该受规管活动(不论如何描述)而如此订明的费用的提述。


附表： 1 条文标题： 为施行本条例第395(1)(a)(i)、(iii)及(iv)条而订明的费用 版本日期： 01/04/2003



[第2、3及11条]

项 描述 款额
 
与本条例第III部有关的费用
 
1. 就根据本条例第95(2)条获认可提供自动化交易服务须缴付的年费 $10000
 
与本条例第IV部有关的费用
 
2. 根据本条例第104(1)条提出申请时须缴付的费用─
(a) 申请认可─
(i) 一个包括或可能包括多于一个基金的集体投资计划；或
(ii) 一个维持或能够维持多于一个基金的集体投资计划 $40000；就每个该等基金另加$5000(除非有关基金已被包括在另一个根据本条例第104条获认可的集体投资计划内或由该计划所维持)
(b) 申请认可任何其他集体投资计划 $20000
(c) 申请扩大对一个集体投资计划的认可，以包括一个额外的基金 $5000(除非该基金已被包括在另一个根据本条例第104条获认可的集体投资计划内或由该计划所维持)
3. 须就以下事宜缴付的费用─
(a) 根据本条例第104条认可─
(i) 一个包括或可能包括多于一个基金的集体投资计划；或
(ii) 一个维持或能够维持多于一个基金的集体投资计划 $20000；每个该等基金另加$2500(除非有关基金已被包括在另一个根据本条例第104条获认可的集体投资计划内或由该计划所维持)
(b) 根据本条例第104条认可任何其他集体投资计划 $10000
(c) 根据本条例第104条扩大对一个集体投资计划的认可，以包括一个额外的基金 $2500(除非该基金已被包括在另一个根据本条例第104条获认可的集体投资计划内或由该计划所维持)
4. 凡根据本条例第104条就集体投资计划给予的认可的有效期不少于12个月，须就认可缴付的年费─
(a) (i) 如有关的认可集体投资计划包括或可能包括多于一个基金；或
(ii) 如有关的认可集体投资计划维持或能够维持多于一个基金 $7500；每个该等基金另加$4500(除非有关基金已被包括在另一个根据本条例第104条获认可的集体投资计划内或由该计划所维持)
(b) 如属任何其他认可集体投资计划 $6000
5. 凡根据本条例第104条就集体投资计划给予的认可的有效期少于12个月，申请延长认可有效期时须缴付的费用 $20000
6. 凡根据本条例第105(1)条申请认可发出并非就根据本条例第104条获认可的集体投资计划而发出的广告、邀请或文件时须缴付的费用 $20000
7. 凡根据本条例第105条对发出并非就根据本条例第104条获认可的集体投资计划而发出的广告、邀请或文件给予认可，就认可而须缴付的费用 $10000
8. 申请修改之前根据本条例第105条对发出关乎以下项目的广告、邀请或文件给予的认可时须缴付的费用─ 
(a) 本条例附表4第2部所指明的任何文书 $3000
(b) 任何存款证 $3000
(c) 任何证券(集体投资计划的权益除外) $3000
 
与本条例第V部有关的费用
 
9. 提出以下申请时须缴付的费用─ 
(a) 持牌法团或持牌代表自获批给现有牌照后对其详情作出重大改变，因而根据本条例第116、117、120或121条申请批给牌照 $200
(b) 注册机构自获批给现有注册证明书后对其详情作出重大改变，因而根据本条例第119条申请发给注册证明书 $200
10. 须为附表3第16(e)、(f)、(g)、(h)、(i)或(j)项所提述的修改或宽免续期缴付的费用 $4000
11. 须为依据本条例第136(6)(b)条核证某份文件的副本为真确副本缴付的费用 $200
与本条例第VI部有关的费用
12. 提出以下申请时须缴付的费用─ 
(a) (除(c)段另有规定外)根据本条例第155(3)(a)条申请批准更改财政年度终结的日期 $2000
(b) (除(c)段另有规定外)根据本条例第155(3)(b)条申请批准采用一段超过12个月的期间作为财政年度 $2000
(c) 就(a)及(b)段各别提述的两项事宜申请批准 $2000
13. 根据本条例第156(4)条申请延展根据本条例第156(1)或(2)条规定须呈交财务报表、其他文件及核数师报告的限期时须缴付的费用 $2000
 
与本条例第XV部有关的费用
 
14. 根据本条例第309(2)或(3)条申请无需遵守本条例第XV部所有或任何条文的豁免时须缴付的费用 $24000
 
杂项费用
 
15. 向证监会呈交任何资料或文件，要求该会考虑及提供意见(包括关于本条例第IV部的适用性的意见及关于根据《公司条例》(第32章)第38D或342C条批准注册招股章程的意见)时须缴付的费用 $10000
16. 依据《证券及期货(客户证券)规则》(第571章，附属法例H)第11条申请核准时须缴付的费用 $6000
17. 须为第16项提述的核准续期缴付的费用 $4000
18. 依据《证券及期货(客户款项)规则》(第571章，附属法例I)第4(2)(b)条申请任何批准时须缴付的费用 $6000
19. 须为第18项提述的批准续期缴付的费用 $4000
20. 须为附表3第19项提述的核准续期缴付的费用 $4000
21. 根据《公司条例》(第32章)第38D或342C条申请批准将招股章程根据该条例注册时须缴付的费用─ 
(a) 如属供股章程 $15000
(b) 如属欧洲债券发行章程 $15000
(c) 如属权证发行章程 $10000
(d) 如属任何与集体投资计划的权益有关的章程 $0
(e) 如属未有在(a)、(b)、(c)或(d)段提述并且是就获认可交易所批准在认可证券市场上市的法团的股份或债权证作出要约的招股章程 $30000
(f) 如属任何其他招股章程 $30000
22. 凡证监会根据有关条文执行职能而提供文件副本，在本附表其他条文并无为此订明费用的情况下须缴付的费用 每页$9


附表： 2 条文标题： 为施行本条例第395(1)(a)(ii)
条而订明的费用 版本日期： 27/02/2004



[第5条]
适用的价值 费用
 
不超逾$75000000 $25000
超逾$75000000但不超逾$125000000 $75000
超逾$125000000但不超逾$300000000 $150000
超逾$300000000但不超逾$600000000 $250000
超逾$600000000但不超逾$1200000000 $350000
超逾$1200000000但不超逾$2000000000 $500000
超逾$2000000000 $500000；另加超出$2000000000
的价值的0.01%
(2004年第29号法律公告)

附表： 3 条文标题： 为施行本条例第395(1)(b)条而订明的费用 版本日期： 01/04/2003



[第10及11条及附表1]
项 描述 款额
 
与本条例第III部有关的费用
 
1. 根据本条例第96(1)(b)条于申请认可以提供自动化交易服务时须缴付的订明申请费用 $10000
2. 根据本条例第99(5)(b)条须为取得根据本条例第99条备存的纪录册的任何记项或摘录的副本缴付的订明费用 每页$9
 
与本条例第V部有关的费用
 
3. 根据本条例第116(1)条于申请批给持牌法团牌照时须缴付的订明费用 (A) 每一类受规管活动(第3类受规管活动除外)$4740；及
(B) 第3类受规管活动$129730
4. 根据本条例第117(1)条于申请批给为期不超逾3个月的持牌法团牌照时须缴付的订明费用 每一类受规管活动$4900
5. 根据本条例第119(1)条于申请注册成为注册机构时须缴付的订明费用 每一类受规管活动$23500
6. 根据本条例第120(1)条于申请批给持牌代表牌照时须缴付的订明费用 (A) 每一类受规管活动(第3类受规管活动除外)$1790；及
(B) 第3类受规管活动$2420
7. 根据本条例第120(2)条于申请批给持牌代表临时牌照时须缴付的订明费用 $800
8. 根据本条例第121(1)条于申请批给为期不超逾3个月的持牌代表牌照时须缴付的订明费用 每一类受规管活动$1850
9. 根据本条例第122(1)条于申请批准持牌代表的隶属关系时须缴付的订明费用 $200
10. 根据本条例第122(2)条于申请批准转移持牌代表的隶属关系时须缴付的订明费用 每一类受规管活动$200
11. 根据本条例第124(1)条于申请发给牌照或注册证明书复本时须缴付的订明费用 $200
12. 根据本条例第126(1)条于申请核准某人为负责人员时须缴付的订明费用 每一类受规管活动$2950
13. 根据本条例第127(1)条于申请更改任何受规管活动时须缴付的订明费用─
(a) 如属持牌法团─
(i) 增加任何受规管活动 (A) 每一类受规管活动(第3类受规管活动除外)$4740；及
(B) 第3类受规管活动$129730
(ii) (除第(iii)节另有规定外)删除任何受规管活动 每一类受规管活动$200
(iii) 删除在牌照内指明的所有受规管活动 $0
(b) 如属持牌代表─
(i) 增加任何受规管活动 (A) 每一类受规管活动(第3类受规管活动除外)$1790；及
(B) 第3类受规管活动$2420
(ii) (除第(iii)节另有规定外)删除任何受规管活动 每一类受规管活动$200
(iii) 删除在牌照内指明的所有受规管活动 $0
(c) 如属注册机构─
(i) 增加任何受规管活动 每一类受规管活动$23500
(ii) (除第(iii)节另有规定外)删除任何受规管活动 每一类受规管活动$200
(iii) 删除在注册证明书内指明的所有受规管活动 $0
14. 根据本条例第130(1)条于申请批准某处所时须缴付的订明费用 $1000
15. 根据本条例第132(1)条于申请核准成为或继续作为大股东时须缴付的订明费用 $3000
16. 根据本条例第134(1)条于申请对以下事项作出修改或宽免时须缴付的订明费用─
(a) 本条例第118条指明的任何条件或根据本条例第116、117、119、120、121、126或132条施加的任何条件或本条例第121(2)(a)条的任何规定 $2000
(b) 本条例第116(2)(b)及125(1)及(2)条的任何规定 $2000
(c) 本条例第116(2)(c)及130条的任何规定 $2000
(d) 本条例第129条的任何规定 $4000
(e) 《证券及期货(财政资源)规则》(第571章，附属法例N)的任何规定(与对冲或套戥程式有关的规定除外) $6000
(f) 《证券及期货(财政资源)规则》(第571章，附属法例N)与对冲或套戥程式有关的任何规定─ 
(i) 凡投资组合至少有一方面少于$10000000 $10000
(ii) 如属任何其他情况 $20000
(g) 《证券及期货(客户证券)规则》(第571章，附属法例H)的任何规定 $6000
(h) 《证券及期货(客户款项)规则》(第571章，附属法例I)的任何规定 $6000
(i) 《证券及期货(备存纪录)规则》(第571章，附属法例O)的任何规定 $6000
(j) 《证券及期货(成交单据、户口结单及收据)规则》(第571章，附属法例Q)的任何规定 $6000
17. 根据本条例第136(5)(b)条须为取得根据本条例第136条备存的纪录册的任何记项或摘录的副本缴付的订明费用 每页$9
18. 根据本条例第138(1)条须缴付的订明年费─
(a) 如属根据本条例第116条获发牌的法团 (A) 每一类受规管活动(第3类受规管活动除外)$4740；及
(B) 第3类受规管活动$129730
(b) 如属根据本条例第120(1)条获发牌的个人─ 
(i) 就该个人并无根据本条例第126(1)条获核准为负责人员的任何受规管活动 (A) 每一类受规管活动(第3类受规管活动除外)$1790；及
(B) 第3类受规管活动$2420
(ii) 就该个人根据本条例第126(1)条获核准为负责人员的任何受规管活动 (A) 每一类受规管活动(第3类受规管活动除外)$4740；及
(B) 第3类受规管活动$5370
(c) 如属注册机构 每一类受规管活动$35000
19. 根据《证券及期货(财政资源)规则》(第571章，附属法例N)第58条于申请任何核准时须缴付的订明费用 $6000
20. 根据《证券及期货(权益披露─证券借贷)规则》(第571章，附属法例X)第8(2)(b)条于申请核准为核准借出代理人时须缴付的订明申请费用 $24000

Chapter: 571AG Title: SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS-EXCLUSIONS) REGULATION Gazette Number: L.N. 229 of 2002; L.N. 12 of 2003
  Heading: Empowering section Version Date: 01/04/2003



(Cap 571, section 376(1))



[1 April 2003] L.N. 12 of 2003

(L.N. 229 of 2002)


Section: 1 Heading: (Omitted as spent) Version Date: 01/04/2003



(Omitted as spent)


Section: 2 Heading: Interpretation Version Date: 01/04/2003



In this Regulation, unless the context otherwise requires-
"associated corporation" (相联法团) has the meaning assigned to it by section 308 of the Ordinance;
"back-to-back contract" (背对背合约) means a contract-
(a) made between an intermediary and its client, pursuant to a previous agreement made between them, for the sale or purchase of a stock futures contract or a stock options contract;
(b) the terms of which are identical to those of an exchange contract entered into by the intermediary pursuant to the instructions of the client; and
(c) entered into by the intermediary-
(i) where the intermediary is a purchaser under the corresponding exchange contract, as a seller; and
(ii) where the intermediary is a seller under the corresponding exchange contract, as a purchaser;
"client" (客户), in relation to an intermediary, means a person for whom the intermediary provides a service the provision of which constitutes a regulated activity;
"conditional offer" (有条件要约) means an offer to purchase shares in a listed corporation made by or on behalf of an offeror to the holders of all the shares or all the shares of a particular class in the listed corporation other than (in either case) shares held by or on behalf of-
(a) the offeror;
(b) the offeror's holding company, the offeror's subsidiary or a subsidiary of the offeror's holding company; or
(c) any person who has agreed that no such offer is to be made in respect of the shares he holds,
subject to the condition that acceptances have to be received in respect of such proportion of the shares for which the offer is made as specified in, or ascertained by reference to, the terms of the offer;
"exchange contract" (交易所合约) means a contract entered into by an intermediary and another intermediary for the sale or purchase of a stock futures contract or a stock options contract through the trading facilities provided by, and subject to the rules of, the relevant exchange company;
"listed corporation" (上市法团) has the meaning assigned to it by section 308 of the Ordinance;
"Official Trustee" (法定受托人) means the Official Trustee appointed under, or the person acting as the Official Trustee by virtue of, section 66 of the Trustee Ordinance (Cap 29);
"recognized occupational retirement scheme" (认可职业退休计划) has the meaning assigned to it by section 2(1) and (2A) of the Inland Revenue Ordinance (Cap 112);
"relevant exchange company" (有关交易所公司), in relation to-
(a) dealings in stock futures contracts, means the Futures Exchange Company; or
(b) dealings in stock options contracts, means the Stock Exchange Company;
"relevant share capital" (有关股本) has the meaning assigned to it by section 308 of the Ordinance;
"short position" (淡仓) has the meaning assigned to it by section 308 of the Ordinance;
"stock futures contract" (股票期货合约) means a stock futures contract specified in column 2 of Schedule 1 to the Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap 571 sub. leg. Y);
"stock options contract" (股票期权合约) means a stock options contract specified in column 2 of Schedule 2 to the Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap 571 sub. leg. Y);
"trading day" (交易日) means a day other than-
(a) a public holiday;
(b) a Saturday;
(c) a gale warning day or a black rainstorm warning day as defined in section 71(2) of the Interpretation and General Clauses Ordinance (Cap 1); and
(d) a day throughout or for part of which trading on a recognized stock market is suspended.



Section: 3 Heading: Prescribed interests and short positions to be disregarded for the purpose of notification Version Date: 01/04/2003



(1) The following interests, and short positions, in shares comprised in the relevant share capital of a listed corporation are prescribed for the purposes of section 323 of the Ordinance-
(a) an interest or short position of a person in his capacity as a beneficiary under a trust constituted exclusively for the purposes of a recognized occupational retirement scheme;
(b) an interest or short position of the Official Trustee held in his official capacity;
(c) an interest acquired by the offeror as a result of the acceptance of a conditional offer by the shareholders of the listed corporation, being an interest subsisting while the condition of the offer remains unfulfilled; and
(d) subject to subsection (2), an interest or short position which an intermediary licensed or registered for Type 1 or Type 2 regulated activity has by virtue of its-
(i) entering into an exchange contract in the ordinary course of its business as such an intermediary pursuant to the instructions of its client who is a person other than a related corporation of the intermediary; and
(ii) designating the exchange contract as being entered into for the account of the client.
(2) For the purposes of subsection (1)(d), an interest or short position shall not be regarded as being prescribed for the purposes of section 323 of the Ordinance unless the intermediary concerned also enters into a back-to-back contract with its client on the same day as entering into an exchange contract pursuant to the instructions of the client.


Section: 4 Heading: Prescribed interests and short positions to be disregarded for the purpose of notification by director and chief executive Version Date: 01/04/2003



The following interests in shares in or debentures of, and short positions in shares in, a listed corporation or any associated corporation of the listed corporation, are prescribed for the purposes of section 346 of the Ordinance-
(a) an interest or short position of a person in his capacity as a trustee of any trust, or as a personal representative of any estate, of which the Official Trustee is also a trustee (otherwise than as a custodian trustee) or a personal representative (as the case may be);
(b) an interest or short position of a person in his capacity as a trustee of, or as a beneficiary under, a trust constituted exclusively for the purposes of a recognized occupational retirement scheme; and
(c) an interest or short position which a person is taken to have under section 344(3) of the Ordinance, where it is an interest or short position (as the case may be) of the corporation concerned in its capacity as a trustee of any such trust as is referred to in paragraph (b).



Section: 5 Heading: Exclusion from requirements
for notification in certain circumstances of change in nature of interest Version Date: 01/04/2003



A person is not required to give notification under section 324 of the Ordinance, where a duty of disclosure arises under section 310(1) of the Ordinance in the circumstances specified in section 313(1)(d) of the Ordinance because of a change in the nature of the person's interest in shares comprised in the relevant share capital of the listed corporation concerned, if the change is due to his entering into a contract for the sale of the shares so comprised in which he is interested, under which he is required to deliver the shares to the purchaser under the contract within 4 trading days after the date of the contract.

： 571AG 标题： 证券及期货(披露权益─除外情况)规例 宪报编号： L.N. 229 of 2002; L.N. 12 of 2003
  条文标题： 赋权条文 版本日期： 01/04/2003



(第571章第376(1)条)
[2003年4月1日] 2003年第12号法律公告

(本为2002年第229号法律公告)


条： 1 条文标题： (已失时效而略去) 版本日期： 01/04/2003



(已失时效而略去)


条： 2 条文标题： 释义 版本日期： 01/04/2003



在本规例中，除文意另有所指外─
“上市法团”(listed corporation) 具有本条例第308条给予该词的涵义；
“交易日”(trading day) 指不属以下任何日子的日子─
(a) 公众假日；
(b) 星期六；
(c) 《释义及通则条例》(第1章)第71(2)条界定的烈风警告日或黑色暴雨警告日；及
(d) 全日或其中部分时间暂停在认可证券市场进行交易的日子；
“交易所合约”(exchange contract) 指某中介人与另一中介人为买卖股票期货合约或股票期权合约而订立的合约，而该等买卖是透过有关交易所公司提供的交易设施进行并受该交易所公司的规章规限的；
“有条件要约”(conditional offer) 指由要约人或他人代要约人向某上市法团所有股份或所有某一类别股份的持有人提出的购买该法团股份的要约，但(在两者任何一种情况下)该等所有股份不包括由以下的人持有或他人代以下的人持有的股份─
(a) 要约人；
(b) 要约人的控股公司、要约人的附属公司，或要约人的控股公司的附属公司；或
(c) 已同意无须就其所持股份作出该要约的人，
而该要约受以下条件所规限：要约须就要约条款中指明的比例的要约标的股份(或参照要约条款而确定的比例的要约标的股份) 而获得接受；
“有关交易所公司”(relevant exchange company)─
(a) 就股票期货合约的交易而言，指期交所；或
(b) 就股票期权合约的交易而言，指联交所；
“有关股本”(relevant share capital) 具有本条例第308条给予该词的涵义；
“法定受托人”(Official Trustee) 指根据《受托人条例》(第29章)第66条委任的法定受托人，或凭借该条以法定受托人身分行事的人；
“股票期货合约”(stock futures contract) 指在《证券及期货(合约限量及须申报的持仓量)规则》(第571章，附属法例Y)附表1第2栏指明的股票期货合约；
“股票期权合约”(stock options contract) 指在《证券及期货(合约限量及须申报的持仓量)规则》(第571章，附属法例Y)附表2第2栏指明的股票期权合约；
“客户”(client) 就向任何人提供构成受规管活动的服务的中介人而言，指该人；
“背对背合约”(back-to-back contract) 指符合以下说明的合约─
(a) 由某中介人与其客户依据他们过往订立的协议就买卖股票期货合约或股票期权合约而订立；
(b) 合约条款与该中介人依据该客户的指示订立的交易所合约的条款相同；及
(c) 在─
(i) 该中介人是该相关的交易所合约的买方的情况下，由该中介人以卖方身分订立；及
(ii) 该中介人是该相关的交易所合约的卖方的情况下，由该中介人以买方身分订立；
“相联法团”(associated corporation) 具有本条例第308条给予该词的涵义；
“淡仓”(short position) 具有本条例第308条给予该词的涵义；
“认可职业退休计划”(recognized occupational retirement scheme) 具有《税务条例》(第112章)第2(1)及(2A)条给予该词的涵义。


条： 3 条文标题： 就具报而言无须理会的订明权益及淡仓 版本日期： 01/04/2003



(1) 为施行本条例第323条，现订明以下的上市法团有关股本中的股份的权益及淡仓─
(a) 任何人在纯粹为认可职业退休计划的目的而成立的信托下，以受益人身分拥有的权益或持有的淡仓；
(b) 法定受托人以其公务身分拥有的权益或持有的淡仓；
(c) 要约人因该上市法团的股东接受一项有条件要约而取得的权益，而该权益是在该要约的条件尚未获符合时存在的；及
(d) 在符合第(2)款的规定下，就第1类或第2类受规管活动获发牌或获注册的中介人凭借它作出以下行动而拥有的权益或持有的淡仓─
(i) 在它作为中介人的日常业务运作过程中，依据其客户(并非该中介人的有连系法团者)的指示订立交易所合约；并
(ii) 指定该交易所合约是为该客户订立的。
(2) 为施行第(1)(d)款，除非有关的中介人在依据其客户的指示订立交易所合约的同一日，亦与该客户订立背对背合约，否则某权益或淡仓不得视为为施行本条例第323条而订明。


条： 4 条文标题： 就董事及最高行政人员作出的具报而言无须理会的订明权益及淡仓 版本日期： 01/04/2003



为施行本条例第346条，现订明以下的上市法团或其任何相联法团的股份或债权证的权益以及该等法团的股份的淡仓─
(a) 任何人在任何信托下以受托人身分或在任何遗产中以遗产代理人身分拥有的权益或持有的淡仓，而法定受托人亦为该信托的受托人(作为保管受托人则除外)或该遗产的遗产代理人(视属何情况而定)；
(b) 任何人在纯粹为认可职业退休计划的目的而成立的信托下，以受托人或受益人身分拥有的权益或持有的淡仓；及
(c) 根据本条例第344(3)条视为由某人拥有的权益或持有的淡仓，而该权益或淡仓(视属何情况而定)是有关法团以(b)段提述信托的受托人身分拥有或持有(视属何情况而定)的。



条： 5 条文标题： 在某些权益的性质有所改变的情况下无须遵守作出具报的规定 版本日期： 01/04/2003



凡因某人所拥有的有关上市法团有关股本中的股份的权益的性质有所改变，以致有披露责任根据本条例第310(1)条在本条例第313(1)(d)条指明的情况下产生，如该改变是因为该人订立合约出售他拥有权益的该等股份，而根据该合约他须在合约日期后4个交易日内向该合约的买方交付该等股份，则该人无须根据本条例第324条作出具报。

Chapter: 571AH Title: SECURITIES AND FUTURES (OFFENCES AND PENALTIES) REGULATION Gazette Number: L.N. 230 of 2002; L.N. 12 of 2003
  Heading: Empowering section Version Date: 01/04/2003



(Cap 571, section 398(6))



[1 April 2003] L.N. 12 of 2003

(L.N. 230 of 2002)


Section: 1 Heading: (Omitted as spent) Version Date: 01/04/2003



(Omitted as spent)


Section: 2 Heading: Offences Version Date: 01/04/2003



Any person who, without reasonable excuse, contravenes a provision specified in column 2 of the Schedule commits an offence and is liable on conviction to the penalty specified in column 3 of that Schedule opposite the reference to that provision.


Schedule:  Heading: SCHEDULE Version Date: 01/04/2003



[section 2]
Item Specified provision Specified penalty
1. Section 3(1) of the Securities and Futures (Miscellaneous) Rules (Cap 571 sub. leg. U) A fine at level 5
2. Section 4(1) of the Securities and Futures (Miscellaneous) Rules (Cap 571 sub. leg. U) A fine at level 6
3. Section 4(2) of the Securities and Futures (Miscellaneous) Rules (Cap 571 sub. leg. U) A fine at level 6
4. Section 4(3) of the Securities and Futures (Miscellaneous) Rules (Cap 571 sub. leg. U) A fine at level 6

章： 571AH 标题： 证券及期货(罪行及罚则)规例 宪报编号： L.N. 230 of 2002; L.N. 12 of 2003
  条文标题： 赋权条文 版本日期： 01/04/2003



(第571章第398(6)条)
[2003年4月1日] 2003年第12号法律公告

(本为2002年第230号法律公告)


条： 1 条文标题： (已失时效而略去) 版本日期： 01/04/2003



(已失时效而略去)


条： 2 条文标题： 罪行 版本日期： 01/04/2003



任何人无合理辩解而违反附表第2栏所指明的条文，即属犯罪，一经定罪，可处在该附表第3栏中与对该条文的提述相对之处指明的罚则。


附表：  条文标题： 附表 版本日期： 01/04/2003



[第2条]

项 指明条文 指明罚则
1. 《证券及期货(杂项)规则》(第571章，附属法例U)第3(1)条 第5级罚款
2. 《证券及期货(杂项)规则》(第571章，附属法例U)第4(1)条 第6级罚款
3. 《证券及期货(杂项)规则》(第571章，附属法例U)第4(2)条 第6级罚款
4. 《证券及期货(杂项)规则》(第571章，附属法例U)第4(3)条 第6级罚款

Chapter: 571AI Title: SECURITIES AND FUTURES (INSURANCE) RULES Gazette Number: L.N. 11 of 2003; L.N. 12 of 2003
  Heading: Empowering section Version Date: 01/04/2003



(Cap 571, section 116(5))



[1 April 2003] L.N. 12 of 2003

(L.N. 11 of 2003)


Section: 1 Heading: (Omitted as spent) Version Date: 01/04/2003



(Omitted as spent)



Section: 2 Heading: Interpretation Version Date: 01/04/2003



(1) In these Rules, unless the context otherwise requires-
"dealing in futures contracts" (期货合约交易) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance;
"dealing in securities" (证券交易) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance;
"insurer" (保险人) means a person-
(a) carrying on insurance business in or from Hong Kong in compliance with section 6(1) of the Insurance Companies Ordinance (Cap 41); or
(b) carrying on insurance business in or from any place outside Hong Kong under the law of that place;
"period of insurance" (保险期) means a period covered by a policy of insurance approved by the Commission under section 5(1) or (2)(a) or (b);
"specified amount" (指明款额) means the insured amount (if any) specified in Schedule 2 per period of insurance;
"specified credit rating" (指明信贷评级) means any one of the credit ratings specified in Schedule 3;
"specified licensed corporation" (指明持牌法团) means a corporation to which these Rules apply by virtue of section 3;
"specified risks" (指明风险) means the risks specified in Schedule 1.
(2) In these Rules, a reference to a deductible amount, in relation to a policy of insurance, means the amount of any loss or claim that an insured must himself bear under that policy and the insurer's liability will only arise when the insured's loss or claim exceeds such amount.



Section: 3 Heading: Application Version Date: 01/04/2003



These Rules apply to a corporation that is granted a licence under section 116(1) of the Ordinance to carry on any regulated activity other than such a corporation that-
(a) is not an exchange participant of the Stock Exchange Company or of the Futures Exchange Company; and
(b) is granted a licence under section 116(1) of the Ordinance to carry on any regulated activity subject to a condition that the corporation shall not hold client assets


Section: 4 Heading: Duty of specified licensed corporations to take out and maintain insurance Version Date: 01/04/2003



(1) Where the Commission has approved a master policy of insurance under section 5(1) in respect of a period of insurance for a regulated activity, a specified licensed corporation licensed for that regulated activity shall take out and maintain insurance for that regulated activity in relation to the specified risks for not less than the specified amount during that period of insurance under-
(a) that master policy of insurance approved by the Commission; or
(b) any other policy of insurance with one or more insurer that-
(i) is not a related corporation of the specified licensed corporation; and
(ii) has a specified credit rating on the date of commencement of the policy of insurance.
(2) Where the Commission has approved a master policy of insurance under section 5(2)(a) in respect of a period of insurance for the regulated activity of dealing in securities, a specified licensed corporation that is an exchange participant of the Stock Exchange Company licensed for that regulated activity shall, in addition to an insurance (if any) that it is required to take out and maintain under other provisions of this section, take out and maintain insurance for that regulated activity in relation to the specified risks for not less than the specified amount during that period of insurance under that master policy of insurance.
(3) Where the Commission has approved a master policy of insurance under section 5(2)(b) in respect of a period of insurance for the regulated activity of dealing in futures contracts, a specified licensed corporation that is an exchange participant of the Futures Exchange Company licensed for that regulated activity shall, in addition to an insurance (if any) that it is required to take out and maintain under other provisions of this section, take out and maintain insurance for that regulated activity in relation to the specified risks for not less than the specified amount during that period of insurance under that master policy of insurance.
(4) Each master policy of insurance approved by the Commission under section 5 and the policy of insurance referred to in subsection (1)(b) may specify a deductible amount not exceeding $3000000.
(5) For the avoidance of doubt, a specified licensed corporation shall not be required to take out and maintain insurance in relation to a regulated activity under subsection (1) where that specified licensed corporation is required to take out and maintain insurance for that regulated activity under subsection (2) or (3).


Section: 5 Heading: Commission may approve master policy of insurance Version Date: 01/04/2003



(1) With the exception of the policies of insurance that may be approved under subsection (2), the Commission may, in respect of any period of insurance, approve one policy of insurance in respect of a regulated activity to be the master policy of insurance for all specified licensed corporations licensed for that regulated activity.
(2) The Commission may, in respect of any period of insurance-
(a) approve one policy of insurance in respect of the regulated activity of dealing in securities to be the master policy of insurance for all specified licensed corporations that are exchange participants of the Stock Exchange Company licensed for that regulated activity; and
(b) approve one policy of insurance in respect of the regulated activity of dealing in futures contracts to be the master policy of insurance for all specified licensed corporations that are exchange participants of the Futures Exchange Company licensed for that regulated activity.
(3) The Commission shall not approve a master policy of insurance under this section unless the insurer of the master policy of insurance (or, if the master policy of insurance is jointly undertaken by more than one insurer, each insurer) has the specified credit rating on the date of the approval.


Schedule: 1 Heading: SPECIFIED RISKS Version Date: 01/04/2003



[section 2]

1. The risks in relation to which a specified licensed corporation shall take out and maintain insurance under these Rules are the risks of loss arising out of the loss of client assets that are received or held by the specified licensed corporation (including client assets that are received or held by an associated entity of the specified licensed corporation) in relation to its carrying on in Hong Kong of a regulated activity, attributable to-
(a) fraudulent or dishonest conduct by employees of the specified licensed corporation (or its associated entity or service bureau);
(b) robbery or theft while the client assets are in the custody of the specified licensed corporation (or its associated entity);
(c) forgery or fraudulent alteration of a cheque or other negotiable instrument;
(d) fraudulent use of an information system; and
(e) forged or fraudulent instructions relating to the client assets.

2. For the purposes of this Schedule-
"employee" (雇员), in relation to a specified licensed corporation (or its associated entity or service bureau), includes an individual who is or has been an employee, officer or licensed representative of, or who is or has been engaged whether under a contract of service or otherwise by, the specified licensed corporation (or its associated entity or service bureau);
"service bureau" (服务单位), in relation to a specified licensed corporation, means a person to whom the specified licensed corporation has delegated the duty to perform certain functions that are ancillary to the carrying on by the specified licensed corporation of any regulated activity.


Schedule: 2 Heading: SPECIFIED AMOUNT Version Date: 01/04/2003



[section 2]
PART 1

REGULATED ACTIVITIES CARRIED ON IN HONG KONG

1. Where a specified licensed corporation is licensed to carry on in Hong Kong one regulated activity, the insured amount in respect of a period of insurance for the specified risks arising out of that regulated activity shall be the amount specified in column 2 of Part 2 opposite to that regulated activity which it is licensed to carry on in Hong Kong.

2. Where a specified licensed corporation is licensed to carry on in Hong Kong more than one regulated activity-
(a) if it takes out and maintains a single policy of insurance for the specified risks arising out of all those regulated activities, the insured amount in respect of a period of insurance for all those regulated activities which it is licensed to carry on in Hong Kong shall be $25000000;
(b) if it takes out and maintains a separate policy of insurance for the specified risks arising out of each of those regulated activities, the insured amount in respect of a period of insurance for each relevant regulated activity shall be the amount specified in column 2 of Part 2 opposite to that relevant regulated activity which it is licensed to carry on in Hong Kong.

3. The insured amount referred to in sections 1 and 2 is the amount of insurance to be maintained in respect of the aggregate of all claims that may be made during any period of insurance and, subject to those sections, there shall be no limit on the amount of each claim.

PART 2

INSURED AMOUNT
Regulated activity Insured amount
($)
1. Dealing in securities 15000000
2. Dealing in futures contracts 15000000
3. Leveraged foreign exchange trading Nil
4. Advising on securities Nil
5. Advising on futures contracts Nil
6. Advising on corporate finance Nil
7. Providing automated trading services Nil
8. Securities margin financing 15000000
9. Asset management Nil

Each of the regulated activities specified in column 1 of this Part shall have the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance.


Schedule: 3 Heading: SPECIFIED CREDIT RATINGS Version Date: 01/04/2003



[section 2]

1. A Moody's Investors Service rating of A or above for Long-Term Insurance Financial Strength.
2. A Standard & Poor's Corporation rating of A or above for Insurer Financial Strength.
3. A Fitch Ratings Limited rating of A or above for Insurer Financial Strength.

章： 571AI 标题： 证券及期货(保险)规则 宪报编号： L.N. 11 of 2003; L.N. 12 of 2003
  条文标题： 赋权条文 版本日期： 01/04/2003



(第571章第116(5)条)



[2003年4月1日] 2003年第12号法律公告

(本为2003年第11号法律公告)


条： 1 条文标题： (已失时效而略去) 版本日期： 01/04/2003



(已失时效而略去)

条： 2 条文标题： 释义 版本日期： 01/04/2003



(1) 在本规则中，除文意另有所指外─
“指明持牌法团”(specified licensed corporation) 指本规则凭借第3条而适用的法团；
“指明信贷评级”(specified credit rating) 指附表3所指明的任何一个信贷评级；
“指明风险”(specified risks) 指附表1所指明的风险；
“指明款额”(specified amount) 指附表2所指明的每个保险期的投保额(如有的话)；
“保险人”(insurer) 指─
(a) 在遵守《保险公司条例》(第41章)第6(1)条的规定下在香港或从香港经营保险业务的人；或
(b) 根据香港以外地方的法律在该地方或从该地方经营保险业务的人；
“保险期”(period of insurance) 指证监会根据第5(1)或(2)(a)或(b)条核准的保险单所涵盖的期间；
“期货合约交易”(dealing in futures contracts) 具有本条例附表5第2部给予该词的涵义；
“证券交易”(dealing in securities) 具有本条例附表5第2部给予该词的涵义。
(2) 如根据某保险单，受保人本人必须就任何损失或申索承担某款额，而保险人的法律责任在受保人的损失或申索超过该款额时方会产生，则就该保险单而言，在本规则中凡提述可扣除款额，即指该款额。


条： 3 条文标题： 适用范围 版本日期： 01/04/2003



本规则适用于根据本条例第116(1)条获批给牌照进行任何受规管活动的法团，但符合以下说明的该等法团除外─
(a) 并非联交所或期交所的交易所参与者；及
(b) 根据本条例第116(1)条获批给牌照进行任何受规管活动，而该牌照是受该法团不得持有客户资产的条件所规限的。


条： 4 条文标题： 指明持牌法团投购保险并将之保持有效的责任 版本日期： 01/04/2003



(1) 如证监会已为某类受规管活动而根据第5(1)条就某保险期核准某份总保险单，则就该类受规管活动获发牌的指明持牌法团须为该类受规管活动在该保险期内并─
(a) 在该份获证监会核准的总保险单下；或
(b) 在由一名或多于一名符合以下说明的保险人提供的任何其他保险单下─
(i) 并非该指明持牌法团的有连系法团；及
(ii) 在该保险单生效日期具有指明信贷评级，
就指明风险投购款额不少于指明款额的保险并将之保持有效。
(2) 如证监会已为属证券交易的受规管活动而根据第5(2)(a)条就某保险期核准某份总保险单，则就该类受规管活动获发牌的属联交所的交易所参与者的指明持牌法团，除投购它须根据本条的其他条文投购并将之保持有效的保险(如有的话)外，亦须为该类受规管活动在该保险期内并在该总保险单下，就指明风险投购款额不少于指明款额的保险并将之保持有效。
(3) 如证监会已为属期货合约交易的受规管活动而根据第5(2)(b)条就某保险期核准某份总保险单，则就该类受规管活动获发牌的属期交所的交易所参与者的指明持牌法团，除投购它须根据本条的其他条文投购并将之保持有效的保险(如有的话)外，亦须为该类受规管活动在该保险期内并在该总保险单下，就指明风险投购款额不少于指明款额的保险并将之保持有效。
(4) 每份获证监会根据第5条核准的总保险单以及第(1)(b)款提述的保险单，均可指明款额不超过$3000000的可扣除款额。
(5) 为免生疑问，某指明持牌法团如须根据第(2)或(3)款为某类受规管活动投购保险并将之保持有效，则无须根据第(1)款为该类受规管活动投购保险并将之保持有效。
(2003年第45号法律公告)


条： 5 条文标题： 证监会可核准总保险单 版本日期： 01/04/2003



(1) 除根据第(2)款核准的保险单外，证监会可就某类受规管活动就某保险期核准一份保险单，作为所有就该类受规管活动获发牌的指明持牌法团的总保险单。
(2) 证监会可─ (2003年第45号法律公告)
(a) 就属证券交易的受规管活动就某保险期核准一份保险单，作为所有就该类受规管活动获发牌的属联交所的交易所参与者的指明持牌法团的总保险单；及
(b) 就属期货合约交易的受规管活动就某保险期核准一份保险单，作为所有就该类受规管活动获发牌的属期交所的交易所参与者的指明持牌法团的总保险单。
(3) 除非总保险单的保险人(如总保险单是由多于一名保险人共同提供的，则每名保险人)在核准日期具有指明信贷评级，否则证监会不得根据本条核准该总保险单。
(2003年第45号法律公告)

附表： 1 条文标题： 指明风险 版本日期： 01/04/2003



[第2条]

1. 指明持牌法团须根据本规则投购保险并将之保持有效所针对的风险，是因该法团就在香港进行某类受规管活动所收取或持有的客户资产(包括由该法团的有联系实体所收取或持有的客户资产)的可归因于以下情况的损失所引起的损失风险─
(a) 该指明持牌法团(或其有联系实体或服务单位)的雇员作出的欺诈或不诚实行为；
(b) 客户资产在由该指明持牌法团(或其有联系实体)保管期间发生的抢劫或盗窃事件；
(c) 伪造支票或其他可流转票据，或对支票或其他可流转票据作欺诈性窜改；
(d) 欺诈性使用资讯系统；及
(e) 伪造关乎客户资产的指示或作出关乎客户资产的欺诈性指示。

2. 就本附表而言─
“服务单位”(service bureau) 就某指明持牌法团而言，指获该法团转授执行若干附带于该法团进行的任何受规管活动的职能的责任的人；
“雇员”(employee) 就某指明持牌法团(或其有联系实体或服务单位)而言，包括现时或曾经是该法团(或其有联系实体或服务单位)的雇员、高级人员或持牌代表的个人，或现时或曾经(不论是根据服务合约或以其他方式)获该法团(或其有联系实体或服务单位)聘用的个人。

附表： 2 条文标题： 指明款额 版本日期： 01/04/2003



[第2条]
第1部

在香港进行的受规管活动

1. 凡某指明持牌法团获发牌在香港进行一类受规管活动，则须就某保险期就该类受规管活动所引起的指明风险投购保险的投保额，是在第2部第2栏与该法团获发牌在香港进行的该类受规管活动相对之处指明的款额。

2. 凡某指明持牌法团获发牌在香港进行多于一类的受规管活动─
(a) (如该法团就所有该等受规管活动所引起的指明风险投购单一份保险单并将之保持有效)则须就某保险期为该法团获发牌在香港进行的所有该等受规管活动投购保险的投保额是$25000000；
(b) (如该法团就每类该等受规管活动所引起的指明风险分别投购一份保险单并将之保持有效)则须就某保险期为每类有关受规管活动投购保险的投保额，是在第2部第2栏与该法团获发牌在香港进行的该类有关受规管活动相对之处指明的款额。

3. 第1及2条提述的投保额，是须就可在任何保险期内提出的所有申索的合计总额保持有效的保险款额，而在该两条的规限下，每项申索的款额并无上限。

第2部

投保额
受规管活动 投保额
($)
1. 证券交易 15000000
2. 期货合约交易 15000000
3. 杠杆式外汇交易 零
4. 就证券提供意见 零
5. 就期货合约提供意见 零
6. 就机构融资提供意见 零
7. 提供自动化交易服务 零
8. 提供证券保证金融资 15000000
9. 提供资产管理 零

在本部第1栏指明的每类受规管活动，均具有本条例附表5第2部给予该词的涵义。


附表： 3 条文标题： 指明信贷评级 版本日期： 01/04/2003



[第2条]

1. 就长期保险财务实力而言，经穆迪投资者服务公司评定为A级或以上。
2. 就保险公司财政实力而言，经标准普尔公司评定为A级或以上。
3. 就保险公司财政实力而言，经惠誉国际评级有限公司评定为A级或以上。

Chapter 32 COMPANIES ORDIN

ANCE 
    CAP 32 COMPANIES ORDINANCE 
    CAP 32A COMPANIES (REQUIREMENTS FOR DOCUMENTS) REGULATION 
    CAP 32B COMPANIES (FORMS) REGULATIONS 
    CAP 32C COMPANIES (FEES AND PERCENTAGES) ORDER 
    CAP 32D COMPANIES (EXEMPTION FROM STATEMENT OF TURNOVER) ORDER 
    CAP 32E COMPANIES (SPECIFICATION OF NAMES) ORDER 
    CAP 32F COMPANIES ORDINANCE (FEE FOR TAKING AFFIDAVIT, AFFIRMATION OR DECLARATION) NOTICE 
    CAP 32H COMPANIES (WINDING-UP) RULES 
    CAP 32I COMPANIES (DISQUALIFICATION ORDERS) REGULATION 
    CAP 32J COMPANIES (REPORTS ON CONDUCT OF DIRECTORS) REGULATION 
    CAP 32K COMPANIES (DISQUALIFICATION OF DIRECTORS) PROCEEDINGS RULES 
    CAP 32L COMPANIES ORDINANCE (EXEMPTION OF COMPANIES AND PROSPECTUSES FROM COMPLIANCE WITH PROVISIONS) NOTICE 
    CAP 32M COMPANIES (SUMMARY FINANCIAL REPORTS OF LISTED COMPANIES) REGULATION 
    CAP 32N COMPANIES (REVISION OF ACCOUNTS AND REPORTS) REGULATION

Chapter 32 COMPANIES ORDINANCE 
    CAP 32 COMPANIES ORDINANCE 
    Cap 32 Long title 30/06/1997   
    Cap 32 s 1 Short title 30/06/1997   
    Cap 32 s 2 Interpretation 14/12/2007   
    Cap 32 s 2A Registrar to specify forms 13/02/2004   
    Cap 32 s 2B Construction of references to parent company, etc. 01/12/2005   
    Cap 32 s 3 (Repealed 6 of 1984 s. 3) 30/06/1997   
    Cap 32 s 4 Mode of forming incorporated company 13/02/2004   
    Cap 32 s 5 Requirements with respect to memorandum 30/06/1997   
    Cap 32 s 5A Powers of a company 30/06/1997   
    Cap 32 s 5B Power limited by memorandum, etc. 30/06/1997   
    Cap 32 s 5C Exclusion of deemed notice 30/06/1997   
    Cap 32 s 6 Signature of memorandum 30/06/1997   
    Cap 32 s 7 Restriction on alteration of memorandum 30/06/1997   
    Cap 32 s 8 Mode in which and extent to which objects may be altered 13/02/2004   
    Cap 32 s 9 Articles prescribing regulations for companies 30/06/1997   
    Cap 32 s 10 Regulations required in case of unlimited company or company limited by guarantee 30/06/1997   
    Cap 32 s 11 Adoption and application of Table A 30/06/1997   
    Cap 32 s 12 Printing and signature of articles 30/06/1997   
    Cap 32 s 13 Alteration of articles by special resolution 11/11/1999   
    Cap 32 s 14 Statutory forms of memorandum and articles 30/06/1997   
    Cap 32 s 15 Registration of memorandum and articles 30/06/1997   
    Cap 32 s 16 Effect of registration 30/06/1997   
    Cap 32 s 17 Power of company to hold lands 30/06/1997   
    Cap 32 s 18 Conclusiveness of certificate of incorporation 13/02/2004   
    Cap 32 s 19 Unlimited companies may be re-registered as limited 30/06/1997   
    Cap 32 s 20 Restriction on registration of companies by certain names 01/07/1997   
    Cap 32 s 20A (Repealed 60 of 1990 s. 4) 30/06/1997   
    Cap 32 s 21 Power to dispense with certain words in name of charitable and other companies 01/07/2000

Cap 32 s 21 Power to dispense with certain words in name of charitable and other companies 01/07/2000   
    Cap 32 s 22 Change of name 13/02/2004   
    Cap 32 s 22A Power of Registrar to require company to abandon misleading name 30/06/1997   
    Cap 32 s 22B Specification of names by Chief Executive 13/02/2004   
    Cap 32 s 22C Registrar's index of company names 01/07/1997   
    Cap 32 s 23 Effect of memorandum and articles 13/02/2004   
    Cap 32 s 24 Provision as to memorandum and articles of companies limited by guarantee 30/06/1997   
    Cap 32 s 25 Alterations in memorandum or articles increasing liability to contribute to share capital not to bind existing members without consent 30/06/1997   
    Cap 32 s 25A Power to alter conditions in memorandum which could have been contained in articles 13/02/2004   
    Cap 32 s 26 Copies of memorandum and articles to be given to members 30/06/1997   
    Cap 32 s 27 Issued copies of memorandum to embody alterations 30/06/1997   
    Cap 32 s 28 Definition of member 30/06/1997   
    Cap 32 s 28A Membership of holding company 30/06/1997   
    Cap 32 s 29 Meaning of private company 30/06/1997   
    Cap 32 s 30 Circumstances in which company ceases to be or to enjoy privileges of a private company 01/07/1997   
    Cap 32 s 31 (Repealed 28 of 2003 s. 12) 13/02/2004   
    Cap 32 s 32 Form of contracts 30/06/1997   
    Cap 32 s 32A Pre-incorporation contracts 30/06/1997   
    Cap 32 s 33 Bills of exchange and promissory notes 30/06/1997   
    Cap 32 s 34 Execution of deeds abroad 30/06/1997   
    Cap 32 s 35 Power for company to have official seal for use abroad 30/06/1997   
    Cap 32 s 36 Authentication of documents 30/06/1997   
    Cap 32 s 37 Dating of prospectus 30/06/1997   
    Cap 32 s 38 Specific requirements as to particulars in prospectus 03/12/2004   
    Cap 32 s 38A Exemption of certain persons and prospectuses from compliance with certain requirements 03/12/2004   
    Cap 32 s 38B Advertisements concerning prospectuses 03/12/2004   
    Cap 32 s 38BA Commission may publish guidelines relating to publications falling within section 38B(2) 03/12/2004   
    Cap 32 s 38C Expert's consent to issue of prospectus containing statement by him 30/06/1997   
    Cap 32 s 38D Registration of prospectus 03/12/2004   
    Cap 32 s 39 (Repealed 6 of 1984 s. 23)
Cap 32 s 39 (Repealed 6 of 1984 s. 23) 30/06/1997   
    Cap 32 s 39A Amendment of prospectus consisting of one document 03/12/2004   
    Cap 32 s 39B Prospectus may consist of more than one document, etc. 03/12/2004   
    Cap 32 s 39C Submission of certified copies 08/07/2005   
    Cap 32 s 40 Civil liability for misstatements in prospectus 03/12/2004   
    Cap 32 s 40A Criminal liability for misstatements in prospectus 03/12/2004   
    Cap 32 s 40B Right to damages and compensation not affected 30/06/1997   
    Cap 32 s 41 Document containing offer of shares or debentures for sale to be deemed prospectus 30/06/1997   
    Cap 32 s 41A Interpretation of provisions relating to prospectuses 03/12/2004   
    Cap 32 s 42 Prohibition of allotment unless minimum subscription received 30/06/1997   
    Cap 32 s 43 Prohibition of allotment in certain cases unless statement in lieu of prospectus delivered to Registrar 03/12/2004   
    Cap 32 s 44 Effect of irregular allotment 30/06/1997   
    Cap 32 s 44A Applications for, and allotment of, shares and debentures 30/06/1997   
    Cap 32 s 44B Allotment of shares and debentures to be listed on stock exchange 30/06/1997   
    Cap 32 s 45 Return as to allotments 13/02/2004   
    Cap 32 s 46 Power to pay certain commissions, and prohibition of payment of all other commissions, discounts, &c. 30/06/1997   
    Cap 32 s 47 (Repealed 80 of 1974 s. 3) 30/06/1997   
    Cap 32 s 47A Financial assistance generally prohibited 30/06/1997   
    Cap 32 s 47B Definitions 13/02/2004   
    Cap 32 s 47C Transactions not prohibited by section 47A 30/06/1997   
    Cap 32 s 47D Special restriction for listed companies 30/06/1997   
    Cap 32 s 47E Relaxation of section 47A for unlisted companies 13/02/2004   
    Cap 32 s 47F Directors' statement under section 47E 13/02/2004   
    Cap 32 s 47G Special resolution under section 47E 13/02/2004   
    Cap 32 s 48 Time for giving financial assistance under section 47E 13/02/2004   
    Cap 32 s 48A Construction of references to offering shares or debentures to the public 03/12/2004   
    Cap 32 s 48B Application of premiums received on issue of shares 11/11/1999   
    Cap 32 s 48C Merger relief 11/11/1999   
    Cap 32 s 48D Relief in respect of group reconstructions 11/11/1999   
    Cap 32 s 48E Provisions supplementary to sections 48C and 48D
Version Date   
    Cap 32 s 48E Provisions supplementary to sections 48C and 48D 11/11/1999   
    Cap 32 s 48F Provision for extending or restricting relief from section 48B 11/11/1999   
    Cap 32 s 49 Power to issue redeemable shares 30/06/1997   
    Cap 32 s 49A Financing etc. of redemption 30/06/1997   
    Cap 32 s 49B Power of company to purchase own shares 01/04/2003   
    Cap 32 s 49BA Requirements for listed company to purchase own shares 13/02/2004   
    Cap 32 s 49C Payments apart from purchase price to be made out of distributable profits 30/06/1997   
    Cap 32 s 49D Authority for purchase by unlisted company 01/07/2000   
    Cap 32 s 49E Authority for contingent purchase contract 30/06/1997   
    Cap 32 s 49F Assignment or release of company's right to purchase own shares 30/06/1997   
    Cap 32 s 49G Disclosure by company of purchase of own shares 30/06/1997   
    Cap 32 s 49H The capital redemption reserve 30/06/1997   
    Cap 32 s 49I Power of private companies to redeem or purchase own shares out of capital 30/06/1997   
    Cap 32 s 49J Availability of profits for purposes of section 49I 13/02/2004   
    Cap 32 s 49K Conditions for payment out of capital 13/02/2004   
    Cap 32 s 49L Procedure for special resolution under section 49K 13/02/2004   
    Cap 32 s 49M Publicity for proposed payment out of capital 13/02/2004   
    Cap 32 s 49N Objections by company's members or creditors 30/06/1997   
    Cap 32 s 49O Powers of court on application under section 49N 30/06/1997   
    Cap 32 s 49P Effect of company's failure to redeem or purchase 30/06/1997   
    Cap 32 s 49Q Power for Chief Executive in Council to modify certain sections 13/02/2004   
    Cap 32 s 49R Transitional cases arising under sections 49 to 49S; and savings 30/06/1997   
    Cap 32 s 49S Definitions for sections 49 to 49R 30/06/1997   
    Cap 32 s 50 Power to issue shares at a discount 30/06/1997   
    Cap 32 s 51 Power of company to arrange for different amounts being paid on shares 30/06/1997   
    Cap 32 s 52 Reserve liability of limited company 30/06/1997   
    Cap 32 s 53 Power of company limited by shares to alter its share capital 30/06/1997   
    Cap 32 s 54 Notice to Registrar of consolidation of share capital, conversion of shares into stock, &c. 13/02/2004   
    Cap 32 s 55 Notice of increase of capital 13/02/2004   
    Cap 32 s 56 Power of unlimited company to provide for reserve share capital on re-registration 30/06/1997
Cap 32 s 56 Power of unlimited company to provide for reserve share capital on re-registration 30/06/1997   
    Cap 32 s 57 Power of company to pay interest out of capital in certain cases 30/06/1997   
    Cap 32 s 57A Non voting shares and shares with different voting rights 30/06/1997   
    Cap 32 s 57B Approval of company required for allotment of shares by directors 01/07/2000   
    Cap 32 s 57C Validation of shares improperly issued 30/06/1997   
    Cap 32 s 58 Special resolution for reduction of share capital 13/02/2004   
    Cap 32 s 59 Application to court for confirming order, objections by creditors and settlement of list of objecting creditors 13/02/2004   
    Cap 32 s 60 Order confirming reduction and powers of court on making such order 30/06/1997   
    Cap 32 s 61 Registration of order and minute of reduction 13/02/2004   
    Cap 32 s 61A Registration of special resolution, minute and statement where court confirmation is not required 13/02/2004   
    Cap 32 s 62 Liability of members in respect of reduced shares 30/06/1997   
    Cap 32 s 63 Penalty for concealing name of creditor 30/06/1997   
    Cap 32 s 63A Variation of rights attached to special classes of shares 13/02/2004   
    Cap 32 s 64 Rights of holders of special classes of shares 30/06/1997   
    Cap 32 s 64A Documents relating to rights of holders of special classes of shares to be filed with Registrar 01/07/2000   
    Cap 32 s 65 Nature of shares 30/06/1997   
    Cap 32 s 65A Numbering of shares 30/06/1997   
    Cap 32 s 66 Transfer not to be registered except on production of instrument of transfer 30/06/1997   
    Cap 32 s 67 Transfer by personal representative 30/06/1997   
    Cap 32 s 68 Registration of transfer at request of transferor 30/06/1997   
    Cap 32 s 69 Notice of refusal to register transfer 30/06/1997   
    Cap 32 s 69A Certification of transfers 30/06/1997   
    Cap 32 s 70 Duties of company with respect to issue of certificates 13/02/2004   
    Cap 32 s 71 Certificate to be evidence of title 30/06/1997   
    Cap 32 s 71A Procedure for replacement of lost certificate 01/04/2003   
    Cap 32 s 72 Evidence of grant of probate 30/06/1997   
    Cap 32 s 73 Issue and effect of share warrants to bearer 30/06/1997   
    Cap 32 s 73A Official seals for sealing share certificates etc. 30/06/1997   
    Cap 32 s 74 Power to make compensation for losses from forged transfers 30/06/1997   
    Cap 32 s 74A Company's register of debenture holders
Cap 32 s 74A Company's register of debenture holders 30/06/1997   
    Cap 32 s 74B Construction of provision of instrument relating to form of register of debenture holders 30/06/1997   
    Cap 32 s 75 Rights of inspection of register of debenture holders and to copies of register and trust deed or other document 30/06/1997   
    Cap 32 s 75A Meetings of debenture holders 30/06/1997   
    Cap 32 s 75B Liability of trustees for debenture holders 30/06/1997   
    Cap 32 s 76 Perpetual debentures 30/06/1997   
    Cap 32 s 77 Power to re-issue redeemed debentures on certain cases 30/06/1997   
    Cap 32 s 78 Specific performance of contracts to subscribe for debentures 30/06/1997   
    Cap 32 s 79 Payment of certain debts out of assets subject to floating charge in priority to claims under the charge 30/06/1997   
    Cap 32 s 79A Interpretation 13/02/2004   
    Cap 32 s 79B Certain distributions prohibited 30/06/1997   
    Cap 32 s 79C Restriction on distribution of assets 30/06/1997   
    Cap 32 s 79D Exemption of certain companies 30/06/1997   
    Cap 32 s 79E Realised profits of insurance company with long term business 30/06/1997   
    Cap 32 s 79F Distribution to be justified by reference to company's accounts 30/06/1997   
    Cap 32 s 79G Requirement for last annual accounts 30/06/1997   
    Cap 32 s 79H Requirement for interim accounts 30/06/1997   
    Cap 32 s 79I Requirements for initial accounts 30/06/1997   
    Cap 32 s 79J Method of applying section 79F to successive distributions 30/06/1997   
    Cap 32 s 79K Treatment of assets in the relevant accounts 30/06/1997   
    Cap 32 s 79L Distributions in kind 30/06/1997   
    Cap 32 s 79M Consequences of unlawful distribution 30/06/1997   
    Cap 32 s 79N Saving for provision in articles operative before the appointed day 30/06/1997   
    Cap 32 s 79O Application to certain companies 30/06/1997   
    Cap 32 s 79P Saving for other restraints on distribution 30/06/1997   
    Cap 32 s 80 Registration of charges created by companies 30/06/1997   
    Cap 32 s 81 Duty of company to register charges created by company 30/06/1997   
    Cap 32 s 82 Duty of company to register charges existing on property acquired 30/06/1997   
    Cap 32 s 83 Register of charges to be kept by Registrar 13/02/2004   
    Cap 32 s 84 (Repealed 6 of 1984 s. 50)
Version Date   
    Cap 32 s 84 (Repealed 6 of 1984 s. 50) 30/06/1997   
    Cap 32 s 85 Entries of satisfaction and release of property from charge 14/12/2007   
    Cap 32 s 86 Extension of time for registration, and rectification of register of charges 13/02/2004   
    Cap 32 s 87 Notice to Registrar of appointment of receiver or manager, or of mortgagee taking possession, etc. 13/02/2004   
    Cap 32 s 88 Copies of instruments creating charges to be kept by company 30/06/1997   
    Cap 32 s 89 Company's register of charges 30/06/1997   
    Cap 32 s 90 Right to inspect copies of instruments creating mortgages and charges and company's register of charges 30/06/1997   
    Cap 32 s 91 Application of Part III to non-Hong Kong companies 14/12/2007   
    Cap 32 s 92 Registered office of company 13/02/2004   
    Cap 32 s 93 Publication of name of company 14/12/2007   
    Cap 32 s 94 Adequacy of certain descriptions of companies 30/06/1997   
    Cap 32 s 95 Register of members 13/02/2004   
    Cap 32 s 95A Statement that company has only one member 13/02/2004   
    Cap 32 s 96 Index of members of company 30/06/1997   
    Cap 32 s 97 Provisions as to entries in register in relation to share warrants 30/06/1997   
    Cap 32 s 98 Inspection of register of members 30/06/1997   
    Cap 32 s 98A Consequences of failure to comply with requirements as to register owing to agent's default 30/06/1997   
    Cap 32 s 99 Power to close register of members and register of debenture holders 30/06/1997   
    Cap 32 s 100 Power of court to rectify register 30/06/1997   
    Cap 32 s 101 Trusts not to be entered on register 30/06/1997   
    Cap 32 s 102 Register to be evidence 30/06/1997   
    Cap 32 s 103 Power of company to keep branch register 13/02/2004   
    Cap 32 s 104 Regulations as to branch register 30/06/1997   
    Cap 32 s 105 (Repealed 31 of 1981 s. 95) 30/06/1997   
    Cap 32 s 106 Provisions as to branch registers of oversea companies kept in Hong Kong 01/07/1997   
    Cap 32 s 107 Annual return to be made by company 13/02/2004   
    Cap 32 s 108 (Repealed 3 of 1997 s. 31) 30/06/1997   
    Cap 32 s 109 General provisions as to annual returns 13/02/2004   
    Cap 32 s 110 Certificates to be sent by private company with annual return 01/07/2000   
    Cap 32 s 111 Annual general meeting
Cap 32 s 111 Annual general meeting 01/07/2000   
    Cap 32 s 112 (Repealed 6 of 1984 s. 74 ) 30/06/1997   
    Cap 32 s 113 Convening of extraordinary general meeting on requisition 01/07/2000   
    Cap 32 s 114 Length of notice for calling meetings 11/11/1999   
    Cap 32 s 114A General provisions as to meetings and votes 13/02/2004   
    Cap 32 s 114AA Quorum where company has only one member 13/02/2004   
    Cap 32 s 114B Power of court to order meeting 30/06/1997   
    Cap 32 s 114C Proxies 30/06/1997   
    Cap 32 s 114D Right to demand a poll 30/06/1997   
    Cap 32 s 114E Voting on a poll 30/06/1997   
    Cap 32 s 115 Representation of companies at meetings of other companies and of creditors 01/04/2003   
    Cap 32 s 115A Circulation of members' resolutions, etc. 13/02/2004   
    Cap 32 s 116 Special resolutions 30/06/1997   
    Cap 32 s 116A Restriction on alteration of articles to improve director's emoluments 30/06/1997   
    Cap 32 s 116B Written resolutions of companies 01/07/2000   
    Cap 32 s 116BA Duty to notify auditors of proposed written resolution 01/07/2000   
    Cap 32 s 116BB Written resolutions: supplementary provisions 01/07/2000   
    Cap 32 s 116BC Written record where company has only one member 13/02/2004   
    Cap 32 s 116C Resolutions requiring special notice 30/06/1997   
    Cap 32 s 117 Registration and copies of certain resolutions and agreements 13/02/2004   
    Cap 32 s 118 Resolutions passed at adjourned meetings 30/06/1997   
    Cap 32 s 119 Minutes of proceedings of meetings and directors 30/06/1997   
    Cap 32 s 119A Place where minute book is to be kept and notice of change of place 30/06/1997   
    Cap 32 s 120 Inspection of minute books 30/06/1997   
    Cap 32 s 121 Keeping of books of account 30/06/1997   
    Cap 32 s 122 Profit and loss account and balance sheet 30/06/1997   
    Cap 32 s 123 General provisions as to contents and form of accounts 01/12/2005   
    Cap 32 s 124 Obligation to lay group accounts before holding company 30/06/1997   
    Cap 32 s 125 Form of group accounts 30/06/1997   
    Cap 32 s 126 Contents of group accounts 01/12/2005   
Cap 32 s 126 Contents of group accounts 01/12/2005   
    Cap 32 s 127 Financial year of holding company and subsidiary 01/12/2005   
    Cap 32 s 128 Particulars to be shown in company's accounts in relation to subsidiaries 01/12/2005   
    Cap 32 s 129 Particulars to be shown in company's accounts in relation to companies not being subsidiaries whose shares it holds 13/02/2004   
    Cap 32 s 129A Particulars to be shown in subsidiary company's accounts in relation to its ultimate parent undertaking 01/12/2005   
    Cap 32 s 129B Signing of balance sheet 13/02/2004   
    Cap 32 s 129C Accounts to be annexed, and auditors' report to be attached, to balance sheet 04/01/2002   
    Cap 32 s 129D Directors' report to be attached to balance sheet 01/12/2005   
    Cap 32 s 129E Directors' report to show, for items included under authority of proviso to section 141C corresponding amounts for preceding financial year 30/06/1997   
    Cap 32 s 129F Penalization of failure by directors to secure compliance with requirements of sections 129D and 129E 04/09/1998   
    Cap 32 s 129G Right to receive copies of balance sheets and directors' and auditors' reports 04/01/2002   
    Cap 32 s 130 (Repealed 6 of 1983 s. 60) 30/06/1997   
    Cap 32 s 131 Appointment and removal of auditors 30/06/1997   
    Cap 32 s 132 Supplementary provisions relating to appointment and removal of auditors 30/06/1997   
    Cap 32 s 133 Powers of auditors in relation to subsidiaries 30/06/1997   
    Cap 32 s 134 False statements etc. to auditors 30/06/1997   
    Cap 32 s 135 (Repealed 68 of 1972 s. 52) 30/06/1997   
    Cap 32 s 136 (Repealed 68 of 1972 s. 52) 30/06/1997   
    Cap 32 s 137 (Repealed 68 of 1972 s. 52) 30/06/1997   
    Cap 32 s 138 (Repealed 68 of 1972 s. 52) 30/06/1997   
    Cap 32 s 139 (Repealed 68 of 1972 s. 52) 30/06/1997   
    Cap 32 s 140 Disqualifications for appointment as auditor 01/12/2005   
    Cap 32 s 140A Resignation of auditor 13/02/2004   
    Cap 32 s 140B Right of auditor who resigns to requisition meeting of company, etc. 30/06/1997   
    Cap 32 s 141 Auditor's report and rights of access to books and to attend and be heard at meetings 30/06/1997   
    Cap 32 s 141A (Repealed 30 of 1999 s. 9) 11/11/1999   
    Cap 32 s 141B (Repealed 30 of 1999 s. 9) 11/11/1999   
    Cap 32 s 141C Construction of references to documents annexed to accounts 30/06/1997   
    Cap 32 s 141CA Restrictions on sending of summary financial reports of listed companies 04/01/2002   
    Cap 32 s 141CB Circumstances where entitled persons are to be treated as having sent notices of intent to listed companies
Version Date   
    Cap 32 s 141CB Circumstances where entitled persons are to be treated as having sent notices of intent to listed companies 04/01/2002   
    Cap 32 s 141CC Restrictions on sending of summary financial reports, etc. of listed companies where there are "relevant dates" 04/01/2002   
    Cap 32 s 141CD Duties of listed companies to comply with certain requests made by entitled persons 04/01/2002   
    Cap 32 s 141CE Certain circumstances in which no summary financial reports shall be sent in place of relevant financial documents 04/01/2002   
    Cap 32 s 141CF Form and contents, etc. of summary financial reports 04/01/2002   
    Cap 32 s 141CG Prohibition orders against circulation, etc. of summary financial reports 04/01/2002   
    Cap 32 s 141CH Circumstances in which listed companies may comply with section 129G by use of computer network 04/01/2002   
    Cap 32 s 141D Power of shareholders of certain private companies to waive compliance with requirements as to accounts 01/04/2003   
    Cap 32 s 141E Voluntary revision of accounts, summary financial reports or directors' reports 20/04/2007   
    Cap 32 s 142 Investigation of the affairs of a company on application of members 30/06/1997   
    Cap 32 s 143 Investigation of the affairs of a company in other cases 30/06/1997   
    Cap 32 s 144 Power of an inspector to investigate affairs of related company 30/06/1997   
    Cap 32 s 145 Production of documents, and evidence, on investigation 30/06/1997   
    Cap 32 s 145A Delegation of powers by inspector 30/06/1997   
    Cap 32 s 145B Power of inspector to call for director's accounts 13/02/2004   
    Cap 32 s 146 Inspector's report 30/06/1997   
    Cap 32 s 146A Extension of Financial Secretary's powers of investigation to certain bodies incorporated outside Hong Kong 30/06/1997   
    Cap 32 s 147 Proceedings on inspector's report 15/07/2005   
    Cap 32 s 148 Expenses of investigation of the affairs of a company 30/06/1997   
    Cap 32 s 149 Inspector's report to be evidence 30/06/1997   
    Cap 32 s 149A (Repealed 72 of 1994 s. 5) 30/06/1997   
    Cap 32 s 150 Saving for solicitors and bankers 30/06/1997   
    Cap 32 s 151 Notice to Registrar 13/02/2004   
    Cap 32 s 152 Power of company to appoint inspector 30/06/1997   
    Cap 32 s 152A Power of Financial Secretary to require production of documents 30/06/1997   
    Cap 32 s 152B Entry and search of premises 30/06/1997   
    Cap 32 s 152C Provision for security of information 30/06/1997   
    Cap 32 s 152D Penalization of destruction, mutilation, etc. of company documents 30/06/1997   
    Cap 32 s 152E Penalization of furnishing false information under section 152A 30/06/1997   
    Cap 32 s 152F Saving for solicitors and bankers
Version Date   
    Cap 32 s 152F Saving for solicitors and bankers 30/06/1997   
    Cap 32 s 152FA Order for inspection 15/07/2005   
    Cap 32 s 152FB Ancillary orders 15/07/2005   
    Cap 32 s 152FC Disclosure or use of information or document obtained as a result of inspection 15/07/2005   
    Cap 32 s 152FD Legal professional privilege 15/07/2005   
    Cap 32 s 152FE Protection of personal data 15/07/2005   
    Cap 32 s 153 Directors of companies other than private companies 13/02/2004   
    Cap 32 s 153A Directors of private companies 13/02/2004   
    Cap 32 s 153B Directors vicariously liable for acts of alternates, etc. 13/02/2004   
    Cap 32 s 153C Written record of decision of sole director of private company 13/02/2004   
    Cap 32 s 154 Secretary 13/02/2004   
    Cap 32 s 154A Restriction on body corporate being director 01/04/2003   
    Cap 32 s 154B Avoidance of acts done by person in dual capacity as director and secretary 30/06/1997   
    Cap 32 s 155 Qualification of director 30/06/1997   
    Cap 32 s 155A Approval of company required for disposal by directors of company's fixed assets 01/04/2003   
    Cap 32 s 155B Notices of resolutions to contain explanation of their effect and particulars of relevant interests of directors 30/06/1997   
    Cap 32 s 155C Directors' duty to shareholders regarding prospectus or statement in lieu 03/12/2004   
    Cap 32 s 156 Provisions as to undischarged bankrupts acting as directors 11/11/1999   
    Cap 32 s 157 Validity of acts of directors 30/06/1997   
    Cap 32 s 157A Appointment of directors to be voted on individually 30/06/1997   
    Cap 32 s 157B Removal of directors 13/02/2004   
    Cap 32 s 157C Minimum age limit for directors 30/06/1997   
    Cap 32 s 157D Resignation of director or secretary 13/02/2004   
    Cap 32 s 157E (Repealed 30 of 1994 s. 3) 30/06/1997   
    Cap 32 s 157F (Repealed 30 of 1994 s. 3) 30/06/1997   
    Cap 32 s 157G (Repealed 75 of 1993 s. 10) 30/06/1997   
    Cap 32 s 157H Prohibition of loans, etc., to directors and other persons 13/02/2004   
    Cap 32 s 157HA Excepted transactions 13/02/2004   
    Cap 32 s 157I Civil consequences of transactions contravening section 157H 13/02/2004   
    Cap 32 s 157J Criminal penalties for contravention of section 157H
Cap 32 s 157J Criminal penalties for contravention of section 157H 13/02/2004   
    Cap 32 s 158 Register of directors and secretaries 13/02/2004   
    Cap 32 s 158A Place where register of directors and secretaries is kept 30/06/1997   
    Cap 32 s 158B Duty to make disclosure for purposes of section 158 13/02/2004   
    Cap 32 s 158C Registrar to keep an index of directors 11/11/1999   
    Cap 32 s 159 Limited company may have directors with unlimited liability 30/06/1997   
    Cap 32 s 160 Special resolution of limited company making liability of directors unlimited 30/06/1997   
    Cap 32 s 161 Particulars in accounts of directors' emoluments, pensions, etc. 01/12/2005   
    Cap 32 s 161A Statements annexed to accounts showing certain items to include corresponding amounts for preceding financial year 30/06/1997   
    Cap 32 s 161B Particulars in accounts of loans to officers, etc. 13/02/2004   
    Cap 32 s 161BA Further provisions relating to loans to officers, etc. of authorized financial institutions 13/02/2004   
    Cap 32 s 161BB Further provisions relating to quasi-loans and credit transactions, etc. 13/02/2004   
    Cap 32 s 161C General duty to make disclosure for purposes of sections 161 and 161B 13/02/2004   
    Cap 32 s 162 Disclosure by directors of material interests in contracts 30/06/1997   
    Cap 32 s 162A Special provision relating to management contracts 30/06/1997   
    Cap 32 s 162B Contracts with sole member who is also a director 13/02/2004   
    Cap 32 s 163 Approval of company requisite for payment by it to director or past director for loss of office etc. 30/06/1997   
    Cap 32 s 163A Approval of company requisite for any payment, in connexion with transfer of its property, to director or past director for loss of office etc. 30/06/1997   
    Cap 32 s 163B Duty of director or past director to disclose payment for loss of office, etc., made in connexion with transfer of shares in company 01/12/2005   
    Cap 32 s 163C Approval of company requisite for payment of damages or pension to director or past director in certain cases 30/06/1997   
    Cap 32 s 163D Provisions supplementary to sections 163, 163A, 163B and 163C 30/06/1997   
    Cap 32 s 164 Provisions as to assignment of office by directors 30/06/1997   
    Cap 32 s 165 Provisions as to liability of officers and auditors 13/02/2004   
    Cap 32 s 166 Power to compromise with creditors and members 30/06/1997   
    Cap 32 s 166A Information as to compromises with creditors and members 30/06/1997   
    Cap 32 s 167 Provisions for facilitating reconstruction and amalgamation of companies 30/06/1997   
    Cap 32 s 168 Rights of company and minority shareholders in case of successful take-over offer 30/06/1997   
    Cap 32 s 168A Alternative remedy to winding up in cases of unfair prejudice 15/07/2005   
    Cap 32 s 168B Rights of company and minority shareholders in case of successful buy out by share repurchase 30/06/1997   
    Cap 32 s 168BA Definition
Cap 32 s 168BA Definition 15/07/2005   
    Cap 32 s 168BB Application 15/07/2005   
    Cap 32 s 168BC Members may bring or intervene in proceedings 15/07/2005   
    Cap 32 s 168BD Service of written notice 15/07/2005   
    Cap 32 s 168BE Court’s power to strike out proceedings brought or intervention in proceedings by members under common law 15/07/2005   
    Cap 32 s 168BF Effect of approval or ratification 15/07/2005   
    Cap 32 s 168BG General powers of court 15/07/2005   
    Cap 32 s 168BH Protection of personal data 15/07/2005   
    Cap 32 s 168BI Power of court to make orders about costs 15/07/2005   
    Cap 32 s 168BJ Discontinuance or settlement 15/07/2005   
    Cap 32 s 168BK Rules of court 15/07/2005   
    Cap 32 s 168C Interpretation 14/12/2007   
    Cap 32 s 168D Disqualification orders: general 30/06/1997   
    Cap 32 s 168E Disqualification on conviction of indictable offence 01/07/1997   
    Cap 32 s 168F Disqualification for persistent breaches of Ordinance 30/06/1997   
    Cap 32 s 168G Disqualification for fraud, etc., in winding up 30/06/1997   
    Cap 32 s 168H Duty of court to disqualify unfit directors of insolvent companies 30/06/1997   
    Cap 32 s 168I Applications to court under section 168H: reporting provisions 01/07/2000   
    Cap 32 s 168IA Power to order public examination 01/07/2000   
    Cap 32 s 168J Disqualification after investigation of company 30/06/1997   
    Cap 32 s 168K Matters for determining unfitness of directors 30/06/1997   
    Cap 32 s 168L Fraudulent trading 30/06/1997   
    Cap 32 s 168M Criminal penalties 30/06/1997   
    Cap 32 s 168N Offences by body corporate 30/06/1997   
    Cap 32 s 168O Personal liability for company's debts where person acts while disqualified 30/06/1997   
    Cap 32 s 168P Application for disqualification order 30/06/1997   
    Cap 32 s 168Q Application for leave under an order 30/06/1997   
    Cap 32 s 168R Register of disqualification orders 01/04/2003   
    Cap 32 s 168S Regulations 01/07/1997   
    Cap 32 s 168T Transitional
Cap 32 s 168T Transitional 30/06/1997   
    Cap 32 s 169 Modes of winding up 30/06/1997   
    Cap 32 s 170 Liability as contributories of present and past members 30/06/1997   
    Cap 32 s 171 Definition of contributory 30/06/1997   
    Cap 32 s 172 Nature of liability of contributory 30/06/1997   
    Cap 32 s 173 Contributories in case of death of member 30/06/1997   
    Cap 32 s 174 Contributories in case of bankruptcy of member 30/06/1997   
    Cap 32 s 175 (Repealed 27 of 1971 s. 15) 30/06/1997   
    Cap 32 s 176 Jurisdiction to wind up companies 01/07/1997   
    Cap 32 s 177 Circumstances in which company may be wound up by court 13/02/2004   
    Cap 32 s 178 Definition of inability to pay debts 13/02/2004   
    Cap 32 s 179 Provisions as to applications for winding up 13/02/2004   
    Cap 32 s 179A Appearance of Official Receiver 30/06/1997   
    Cap 32 s 180 Powers of court on hearing petition 30/06/1997   
    Cap 32 s 180A Hearing of unopposed petition by Registrar of High Court 01/07/1997   
    Cap 32 s 181 Power to stay or restrain proceedings against company 01/07/1997   
    Cap 32 s 182 Avoidance of dispositions of property, &c. after commencement of winding up 30/06/1997   
    Cap 32 s 183 Avoidance of attachments, &c. 30/06/1997   
    Cap 32 s 184 Commencement of winding up by the court 30/06/1997   
    Cap 32 s 185 Copy of order to be delivered to Registrar 30/06/1997   
    Cap 32 s 186 Actions stayed on winding-up order 30/06/1997   
    Cap 32 s 187 Effect of winding-up order 30/06/1997   
    Cap 32 s 188 (Repealed 30 of 1999 s. 15) 01/07/2000   
    Cap 32 s 189 (Repealed 6 of 1984 s. 136) 30/06/1997   
    Cap 32 s 190 Statement of company's affairs to be submitted to provisional liquidator or liquidator 01/07/2000   
    Cap 32 s 191 Report by Official Receiver or liquidator 01/07/2000   
    Cap 32 s 192 Power of court to appoint liquidators 01/07/2000   
    Cap 32 s 193 Appointment and powers of provisional liquidator 30/06/1997   
    Cap 32 s 194 Appointment, style, etc. of liquidators 01/07/2000   
    Cap 32 s 195 Provisions where person other than Official Receiver is appointed liquidator 13/02/2004
Cap 32 s 195 Provisions where person other than Official Receiver is appointed liquidator 13/02/2004   
    Cap 32 s 196 General provisions as to liquidators 01/07/2000   
    Cap 32 s 197 Custody of company's property 30/06/1997   
    Cap 32 s 198 Vesting of property of company in liquidator 30/06/1997   
    Cap 32 s 199 Powers of liquidator 13/02/2004   
    Cap 32 s 200 Exercise and control of liquidator's powers 30/06/1997   
    Cap 32 s 201 Books to be kept by liquidator 30/06/1997   
    Cap 32 s 202 Payments of liquidator into bank or Treasury 11/11/1999   
    Cap 32 s 203 Audit of liquidator's accounts 30/06/1997   
    Cap 32 s 204 Control of Official Receiver over liquidators 30/06/1997   
    Cap 32 s 205 Release of liquidators 30/06/1997   
    Cap 32 s 206 Meetings of creditors and contributories to determine whether committee of inspection shall be appointed 30/06/1997   
    Cap 32 s 207 Constitution and proceedings of committee of inspection 30/06/1997   
    Cap 32 s 208 Powers of court where no committee of inspection 30/06/1997   
    Cap 32 s 209 Power to stay winding up 30/06/1997   
    Cap 32 s 209A Power of court to order winding up to be conducted as creditors' voluntary winding up 01/07/2000   
    Cap 32 s 209B Consequences of an order under section 209A 30/06/1997   
    Cap 32 s 209C Transitional 30/06/1997   
    Cap 32 s 210 Settlement of list of contributories and application of assets 30/06/1997   
    Cap 32 s 211 Delivery of property to liquidator 30/06/1997   
    Cap 32 s 212 Payment of debts due by contributory to company and extent to which set-off allowed 30/06/1997   
    Cap 32 s 213 Power of court to make calls 30/06/1997   
    Cap 32 s 214 Payment into bank of moneys due to company 30/06/1997   
    Cap 32 s 215 Order on contributory conclusive evidence 30/06/1997   
    Cap 32 s 216 Appointment of special manager 01/07/2000   
    Cap 32 s 217 Exclusion of creditors not proving in time 30/06/1997   
    Cap 32 s 218 Adjustment of rights of contributories 30/06/1997   
    Cap 32 s 219 Inspection of books by creditors and contributories 30/06/1997   
    Cap 32 s 220 Power to order costs of winding up to be paid out of assets 30/06/1997   
    Cap 32 s 221 Power to summon persons suspected of having property of company
Cap 32 s 221 Power to summon persons suspected of having property of company 30/06/1997   
    Cap 32 s 222 Power to order public examination of promoters, directors, etc. 01/07/2000   
    Cap 32 s 222A Jurisdiction of Registrar 08/07/2005   
    Cap 32 s 223 (Repealed 6 of 1984 s. 154) 30/06/1997   
    Cap 32 s 224 Power to arrest absconding contributory or officer 30/06/1997   
    Cap 32 s 225 Powers of court cumulative 30/06/1997   
    Cap 32 s 226 Delegation to liquidator of certain powers of court 30/06/1997   
    Cap 32 s 226A Dissolution of company otherwise than by order of court 13/02/2004   
    Cap 32 s 227 Dissolution of company by order of court 30/06/1997   
    Cap 32 s 227A Court may make a regulating order 30/06/1997   
    Cap 32 s 227B Appointment of liquidator and committee of inspection 30/06/1997   
    Cap 32 s 227C Informing creditors and contributories and ascertaining their wishes and directions 30/06/1997   
    Cap 32 s 227D Compromises and arrangements with creditors 30/06/1997   
    Cap 32 s 227E Proof of debts 30/06/1997   
    Cap 32 s 227F Application of Ordinance to small winding up 01/07/2000   
    Cap 32 s 228 Circumstances in which company may be wound up voluntarily 13/02/2004   
    Cap 32 s 228A Special procedure for voluntary winding up of company in case of inability to continue its business 08/09/2004   
    Cap 32 s 229 Notice of resolution to wind up voluntarily 30/06/1997   
    Cap 32 s 230 Commencement of voluntary winding up 13/02/2004   
    Cap 32 s 231 Effect of voluntary winding up on business and status of company 30/06/1997   
    Cap 32 s 232 Avoidance of transfers, &c., after commencement of voluntary winding up 30/06/1997   
    Cap 32 s 233 Certificate of solvency in case of proposal to wind up voluntarily 13/02/2004   
    Cap 32 s 234 Provisions applicable to members' winding up 30/06/1997   
    Cap 32 s 235 Power of company to appoint and fix remuneration of liquidators 30/06/1997   
    Cap 32 s 235A Power to remove liquidator 30/06/1997   
    Cap 32 s 236 Power to fill vacancy in office of liquidators 30/06/1997   
    Cap 32 s 237 Power of liquidator to accept shares, &c. as consideration for sale of property of company 01/07/1997   
    Cap 32 s 237A Duty of liquidator to call creditors' meeting in case of insolvency 13/02/2004   
    Cap 32 s 238 Duty of liquidator to call general meeting at end of each year 30/06/1997   
    Cap 32 s 239 Final meeting and dissolution
Cap 32 s 239 Final meeting and dissolution 30/06/1997   
    Cap 32 s 239A Alternative provisions as to annual and final meetings in case of insolvency 30/06/1997   
    Cap 32 s 240 Provisions applicable to creditors' winding up 30/06/1997   
    Cap 32 s 241 Meeting of creditors 30/06/1997   
    Cap 32 s 242 Appointment of liquidator 30/06/1997   
    Cap 32 s 243 Appointment of committee of inspection 30/06/1997   
    Cap 32 s 244 Fixing of liquidators' remuneration and cesser of directors' powers 30/06/1997   
    Cap 32 s 245 Power to fill vacancy in office of liquidator 30/06/1997   
    Cap 32 s 246 Application of section 237 to a creditors' voluntary winding up 30/06/1997   
    Cap 32 s 247 Duty of liquidator to call meetings of company and of creditors at end of each year 30/06/1997   
    Cap 32 s 248 Final meeting and dissolution 30/06/1997   
    Cap 32 s 249 Provisions applicable to every voluntary winding up 30/06/1997   
    Cap 32 s 250 Distribution of property of company 30/06/1997   
    Cap 32 s 251 Powers and duties of liquidator in voluntary winding up 30/06/1997   
    Cap 32 s 252 Court may appoint and remove liquidator in voluntary winding up 30/06/1997   
    Cap 32 s 253 Notice by liquidator of his appointment or ceasing to act 13/02/2004   
    Cap 32 s 254 Arrangement, when binding on creditors 30/06/1997   
    Cap 32 s 255 Power to apply to court to have questions determined or powers exercised 30/06/1997   
    Cap 32 s 255A Audit of liquidator's accounts in voluntary winding up 30/06/1997   
    Cap 32 s 256 Costs of voluntary winding up 30/06/1997   
    Cap 32 s 257 Saving for rights of creditors and contributories 30/06/1997   
    Cap 32 s 258 (Repealed 6 of 1984 s. 179) 30/06/1997   
    Cap 32 s 259 (Repealed 6 of 1984 s. 179) 30/06/1997   
    Cap 32 s 260 (Repealed 6 of 1984 s. 179) 30/06/1997   
    Cap 32 s 261 (Repealed 6 of 1984 s. 179) 30/06/1997   
    Cap 32 s 262 (Repealed 6 of 1984 s. 179) 30/06/1997   
    Cap 32 s 263 Debts of all descriptions to be proved 30/06/1997   
    Cap 32 s 264 Application of bankruptcy rules in winding up of insolvent companies 30/06/1997   
    Cap 32 s 264A Interest on debts 13/02/2004   
    Cap 32 s 264B Extortionate credit transactions
Cap 32 s 264B Extortionate credit transactions 13/02/2004   
    Cap 32 s 265 Preferential payments 01/01/2007   
    Cap 32 s 266 Fraudulent preference 30/06/1997   
    Cap 32 s 266A Liabilities and rights of certain fraudulently preferred persons 30/06/1997   
    Cap 32 s 266B Fraudulent preference deemed to be an unfair preference 01/04/1998   
    Cap 32 s 267 Effect of floating charge 30/06/1997   
    Cap 32 s 268 Disclaimer of onerous property in case of company wound up 30/06/1997   
    Cap 32 s 269 Restriction of rights of creditor as to execution or attachment in case of company being wound up 01/07/1997   
    Cap 32 s 270 Duties of bailiff as to goods taken in execution 30/06/1997   
    Cap 32 s 271 Offences by officers of companies in liquidation 13/02/2004   
    Cap 32 s 272 Penalty for falsification of books 30/06/1997   
    Cap 32 s 273 Frauds by officers of companies which have gone into liquidation 30/06/1997   
    Cap 32 s 274 Liability where proper accounts not kept 30/06/1997   
    Cap 32 s 275 Responsibility of directors for fraudulent trading 01/04/1998   
    Cap 32 s 276 Power of court to assess damages against delinquent officer, etc. 01/04/1998   
    Cap 32 s 277 Prosecution of delinquent officers and members of company 01/07/1997   
    Cap 32 s 278 Disqualification for appointment as liquidator 30/06/1997   
    Cap 32 s 278A Corrupt inducement affecting appointment as liquidator 30/06/1997   
    Cap 32 s 279 Enforcement of duty of liquidator to make returns, &c. 30/06/1997   
    Cap 32 s 280 Notification that a company is in liquidation 30/06/1997   
    Cap 32 s 281 Exemption of certain documents from stamp duty on winding up of companies 30/06/1997   
    Cap 32 s 282 Books of company to be evidence 30/06/1997   
    Cap 32 s 283 Disposal of books and papers of company 30/06/1997   
    Cap 32 s 284 Information as to pending liquidations 30/06/1997   
    Cap 32 s 285 Unclaimed assets to be paid to companies liquidation account 30/06/1997   
    Cap 32 s 286 Resolutions passed at adjourned meetings of creditors and contributories 30/06/1997   
    Cap 32 s 287 Meetings to ascertain wishes of creditors or contributories 30/06/1997   
    Cap 32 s 288 (Repealed 6 of 1984 s. 201) 30/06/1997   
    Cap 32 s 289 Affidavits, &c. 01/07/1997   
    Cap 32 s 290 Power of court to declare dissolution of company void
Version Date   
    Cap 32 s 290 Power of court to declare dissolution of company void 30/06/1997   
    Cap 32 s 290A (Repealed 30 of 1999 s. 18) 11/11/1999   
    Cap 32 s 290B (Repealed 30 of 1999 s. 18) 11/11/1999   
    Cap 32 s 290C Government disclaimer of property other than immovable property vesting as bona vacantia 11/11/1999   
    Cap 32 s 290D Effect of Government disclaimer under section 290C 11/11/1999   
    Cap 32 s 290E (Repealed 30 of 1999 s. 21) 11/11/1999   
    Cap 32 s 291 Registrar may strike defunct company off register 30/06/1997   
    Cap 32 s 291A Power of court to order company to be struck off and dissolved 30/06/1997   
    Cap 32 s 291AA Application to Registrar for deregistration of defunct private company 11/11/1999   
    Cap 32 s 291AB Reinstatement of deregistered company 11/11/1999   
    Cap 32 s 291B Registrar to act as representative of defunct company in certain events 30/06/1997   
    Cap 32 s 292 Property and books etc. of dissolved company 11/11/1999   
    Cap 32 s 292A Effect on section 292 of company's revival after dissolution 11/11/1999   
    Cap 32 s 293 Companies liquidation account 01/07/1997   
    Cap 32 s 294 Investment of surplus funds on general account 01/07/1997   
    Cap 32 s 295 Separate accounts of particular estates 01/07/1997   
    Cap 32 s 296 General rules and fees 30/06/1997   
    Cap 32 s 297 Disqualification for appointment as receiver 30/06/1997   
    Cap 32 s 297A Disqualification of undischarged bankrupts 30/06/1997   
    Cap 32 s 298 Power to appoint Official Receiver as receiver for debenture holders or creditors 30/06/1997   
    Cap 32 s 298A Receivers and managers appointed out of court 30/06/1997   
    Cap 32 s 299 Notification that receiver or manager appointed 30/06/1997   
    Cap 32 s 300 Power of court to fix remuneration on application of liquidator 30/06/1997   
    Cap 32 s 300A Provisions as to information where receiver or manager is appointed 13/02/2004   
    Cap 32 s 300B Special provisions as to statement submitted to receiver 13/02/2004   
    Cap 32 s 301 Delivery to Registrar of accounts of receivers and managers 30/06/1997   
    Cap 32 s 302 Enforcement of duty of receiver to make returns, &c. 30/06/1997   
    Cap 32 s 302A Construction of references to receivers and managers 30/06/1997   
    Cap 32 s 303 Registration offices and appointment of officers for purposes of this Ordinance 01/07/1997   
    Cap 32 s 303A (Repealed 28 of 2003 s. 94)
   
    wilfully 20/04/2007