关键词：Securities

条： 329 条文标题： 上市法团就其股份权益的拥有权等进行调查的权力 版本日期： 01/04/2003
详列交互参照：
316，317，318


第5分部─上市法团调查拥有权的权力

(1) 上市法团可就─
(a) 该法团有关股本中的股份权益；
(b) 该等股份的淡仓；或
(c) 以该等股份为相关股份的股本衍生工具的权益，
进行调查，调查方式是发出通知予它知道或有合理因由相信属当时拥有或持有，或在紧接发出该通知的日期前的3年内任何时间曾拥有该等权益或持有该等淡仓的人─
(i) 要求他确认该事实或表明情况是否如此(视属何情况而定)；及
(ii) 如该人拥有或持有或在上述期间内曾拥有该等权益或持有该等淡仓，则要求他提供可按照第(2)款要求提供的进一步资料。
(2) 第(1)款所指的通知─
(a) 可要求收件人提供他本人─
(i) 现时拥有的有关股份或股本衍生工具的权益或现时持有的有关股份的淡仓的详情；或
(ii) 过去在第(1)款提述的3年期间内任何时间拥有的该等权益或持有的该等淡仓的详情；
(b) 于以下情况下─
(i) 收件人拥有的有关股份或股本衍生工具的权益是一项现时权益，而任何其他人亦拥有该等股份或工具的权益；或
(ii) 在任何情况下，在第(1)款提述的3年期间内任何时间，当他本人拥有该等股份或工具的权益时，任何其他人亦拥有该等股份或工具的权益，
可要求收件人就他所知提供该通知所要求的、关于该其他人的权益的详情；
(c) 在收件人拥有的有关股份或股本衍生工具的权益是一项过去权益的情况下，可要求收件人就他所知提供在他不再拥有该等权益时拥有该等权益的人的身分详情；
(d) 于以下情况下─
(i) 收件人持有的有关股份的淡仓是一项现时淡仓，而任何其他人拥有该等股份权益或亦持有该等股份的淡仓；或
(ii) 在任何情况下，在第(1)款提述的3年期间内任何时间，当他本人持有该等股份的淡仓时，任何其他人拥有该等股份权益或亦持有该等股份的淡仓，
可要求收件人就他所知提供该通知所要求的、关于该其他人的权益或淡仓的详情；或
(e) 在收件人持有的有关股份的淡仓是一项过去权益的情况下，可要求收件人就他所知提供在他不再持有该等淡仓时拥有该等股份权益或持有该等股份的淡仓的人的身分详情。
(3) 第(2)(a)、(b)及(d)款提述的详情，包括─
(a) 拥有有关股份权益或持有有关股份的淡仓的人的身分详情；及
(b) 拥有同一股份的权益的人是否或曾否为─
(i) 第317条适用的协议的一方或各方的详情；或
(ii) 关乎行使因持有该等股份而获赋予的任何权利的任何协议或安排的一方或各方的详情。
(4) 第(1)款所指的通知须要求任何为回应该通知而提供的资料，须在该通知指明的合理时间内提供。
(5) 财政司司长可藉宪报公告豁免某人使他不受本条所规限。
(6) 第(5)款提述的公告不是附属法例。
(7) 第316至318及322条(但略去第322条中对第323条的提述)─ 〈* 注─详列交互参照：第316，317，318条 *〉
(a) 适用于解释本条中─
(i) 分别对拥有股份权益的人及对股份权益的提述；及
(ii) 分别对持有股份的淡仓的人及对股份淡仓的提述，
一如该等条文适用于对第2及4分部的解释；及
(b) 为施行本分部而适用，犹如在该等条文中，凡提述股份权益，包括提述以有关股份为相关股份的股本衍生工具的权益。
(8) 本条适用于现时或过往曾拥有认购某上市法团股份(该等股份一旦发行即会属该法团有关股本中的股份)的权利的人，以及现时或过去有权取得该权利的人，一如本条适用于现时或过去拥有该等股份权益的人；在上述情况下，在本条中，凡提述股份权益，须据此解释为包括提述该权利，而在本条中，凡提述股份，须据此解释为包括提述一旦发行即会属有关股本中的股份。

条： 330 条文标题： 向有关交易所公司、证监会及金融管理专员具报根据第329条提供的资料的责任 版本日期： 01/04/2003



(1) 每当任何上市法团根据第329条施加一项要求，并依据该项要求接获任何资料，它有责任向有关交易所公司及证监会具报该等资料。
(2) 有关交易所公司在接获第(1)款所指的任何资料后，须随即按证监会批准的方式并在该会批准的期间内，发表该等资料。
(3) 如任何上市法团是认可财务机构或是该机构的控股公司，而它根据第329条施加一项要求并依据该项要求接获任何资料，则除第(1)款施加的责任外，它亦有责任向金融管理专员具报该等资料。
(4) 如作出第(1)或(3)款所规定的具报的责任于某日产生，该具报须在该日后第一个营业日内作出。
(5) 如有违责情况以致第(1)、(3)或(4)款不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款。

条： 331 条文标题： 上市法团须应成员的请求书就其股份等权益的拥有权进行调查 版本日期： 01/04/2003



(1) 如任何上市法团的成员递交请求书，而该等成员在交存请求书当日持有该法团缴足股本中带有在该法团成员大会上投票的权利的股份，并且该等股份的总面值不少于该缴足股本的面值的十分之一，则该法团可被要求行使它在第329条下的权力。
(2) 请求书必须─
(a) 述明请求人要求该法团行使它在第329条下的权力；
(b) 指明请求人要求的行使该等权力的方式；及
(c) 就要求该法团按指明方式行使该等权力提出合理理由，
而且在不抵触第(3)款的条文下，必须由各请求人签署，并交存在该法团的注册办事处。
(3) 请求书可由多于一份格式相同的文件组成，每份由一名或多于一名请求人签署。
(4) 在符合本条规定的请求书交存后，有关法团有责任按该请求书指明的方式行使它在第329条下的权力。
(5) 如有违责情况以致第(4)款不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪─
(a) 一经循公诉程序定罪，可各处第6级罚款；或
(b) 一经循简易程序定罪，可各处第3级罚款。
(6) 在法团于香港并无注册办事处的情况下，在本条及第332及333条中，凡提述法团的注册办事处，须当作提述该法团在香港的主要营业地点。

条： 332 条文标题： 上法团向成员作出报告 版本日期： 01/04/2003



(1) 在依据第331条所指的请求书进行的调查完结后，上市法团有责任安排就根据该调查而得到的资料拟备报告。
(2) 根据第(1)款拟备的报告须于调查完结后10个营业日内存放在该法团的注册办事处。
(3) 凡─
(a) 任何上市法团依据第331条所指的请求书进行调查；而
(b) 调查未能在自交存请求书的日期翌日起计的3个月期间内完结，
则该法团有责任安排就于该期间及在调查完结前每段为期3个月的接续期间内依据调查而得到的资料，拟备中期报告。
(4) 每份就某期间而根据第(3)款拟备的报告，须─
(a) 在该期间终结后10个营业日内存放在该法团的注册办事处；及
(b) 按证监会藉宪报公告指明的方式，并在该会指明的时间及期间内，由有关上市法团发表。
(5) 根据本条拟备的报告，无须包括关乎任何有权利用《公司条例》(第32章)第128(3)或129(3)条所赋予的利益的法团的任何资料；但如有略去任何该等资料，则须在报告内述明此一事实。
(6) 上市法团须在根据本条拟备的报告存放在其注册办事处后3个营业日内，通知有关请求人该报告已如此存放。
(7) 如上市法团已作出一切就依据第331条所指的请求书而言属所需或合宜的查询，而对于每项查询，该法团已接获回应，或可作出回应的限期已届满，则就本条而言，该公司依据该请求书而进行的调查须视为已完结。
(8) 根据本条拟备的报告─
(a) 须自该报告按照第(2)或(4)款开始存放在该法团的注册办事处当日起备存于该办事处，直至自该日翌日起计的6年届满为止；及
(b) 在该报告如此备存的期间内，须按照第335条供人查阅。
(9) 如有违责情况以致第(1)、(2)、(3)、(4)(a)或(b)、(6)或(8)(a)款不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪─
(a) 一经循公诉程序定罪，可各处第6级罚款；或
(b) 一经循简易程序定罪，可各处第3级罚款。
(10) 依据第(4)(b)款刊登的公告不是附属法例。

条： 333 条文标题： 将根据第332条拟备的报告送交有关交易所公司、证监会及金融管理专员的责任 版本日期： 01/04/2003



(1) 每当任何上市法团根据第332条拟备报告，它有责任将该报告的文本送交有关交易所公司及证监会。
(2) 有关交易所公司在接获第(1)款所指的报告后，须随即按证监会批准的方式并在该会批准的期间内，发表该报告。
(3) 如任何上市法团是认可财务机构或是该机构的控股公司，而它根据第332条拟备报告，则除第(1)款施加的责任外，它亦有责任将该报告的文本送交金融管理专员。
(4) 上市法团须在有关报告开始存放在其注册办事处当日后第一个营业日内，履行第(1)及(3)款委予它的责任。
(5) 如有违责情况以致第(1)、(3)或(4)款不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款。

条： 334 条文标题： 没有提供上市法团所要求资料属犯罪 版本日期： 01/04/2003



(1) 除第(2)款另有规定外，任何人─
(a) 无合理辩解而没有遵从根据第329条发出的通知的要求；或
(b) 如─
(i) 在看来是遵从该等要求时，作出在要项上属虚假或具误导性的陈述；且
(ii) 知道该陈述在要项上属虚假或具误导性，或罔顾该陈述是否在要项上属虚假或具误导性，
即属犯罪─
(i) 一经循公诉程序定罪，可处第6级罚款及监禁2年；或
(ii) 一经循简易程序定罪，可处第3级罚款及监禁6个月。
(2) 任何人如在当其时获财政司司长根据第329(5)条批给豁免，即无须遵从根据第329条发出的通知的要求。
条： 335 条文标题： 查阅报告 版本日期： 01/04/2003



(1) 第332(8)(b)条规定须按照本条供查阅的报告，须于营业时间内(须受有关法团在成员大会上施加的合理限制所规限，但每日可供查阅的时间不得少于2小时)供该法团任何成员免费查阅，该等报告亦须供任何其他人查阅，但每次查阅须支付$10或该法团厘定的较低款额。
(2) 法团的任何成员或任何其他人均可在支付费用后，要求取得该报告或其任何部分的副本，收费按需复制副本的页数计算，每页收取$2或法团厘定的较低款额，而法团须在接获该要求当日后的10个营业日内，安排将该副本送交予他。
(3) 如任何人要求查阅根据本条须供查阅的报告而被拒绝，或根据本条要求取得的副本没有在第(2)款指明的期间内送交，则有关法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款，如属持续的罪行，则可就罪行持续期间的每一日，另各处罚款$200。
(4) 如任何人要求查阅根据本条须供查阅的报告而被拒绝，原讼法庭可藉命令饬令有关法团立即将该报告交出，以供查阅。
(5) 如根据本条要求取得的副本没有在第(2)款指明的期间内送交，原讼法庭可藉命令指示将该副本送交提出要求的人。
(6) 证监会可藉规则修订第(1)或(2)款指明的款额。

Section: 336 Heading: Register of interests in shares and short positions Version Date: 01/04/2003


Division 6-Keeping of register

(1) Every listed corporation shall keep a register of interests in shares and short positions.
(2) Whenever a listed corporation receives information from a person given in performance of a duty imposed on him by any provision of Divisions 2 to 5, the listed corporation is under a duty to record in the register, against the person's name, the information received and the date of the entry.
(3) Without prejudice to subsection (2), where a listed corporation receives a notification which includes a statement that the person giving the notification, or any other person, has ceased to be a party to an agreement to which section 317 applies, the listed corporation is under a duty to record that information against the name of the person who has ceased to be a party to that agreement in every place where his name appears in the register as a party to that agreement (including any entry relating to him made against another person's name).
(4) A duty imposed by subsection (2) or (3) shall be performed within 3 business days after the day on which that duty arises.
(5) A listed corporation is not, by virtue of anything done for the purposes of this section, affected with notice of, or put upon enquiry as to, the rights of any person in relation to any shares or equity derivatives.
(6) The register must be so made up that the entries against the several names recorded in it appear in chronological order.
(7) Unless the register is in such form as to constitute in itself an index, the listed corporation shall keep an index of the names recorded in the register which shall in respect of each name contain a sufficient indication to enable the information recorded against it to be readily found.
(8) The listed corporation shall, within 10 business days after the day on which a name is recorded in the register, make any necessary alteration in the index.
(9) Subject to section 283 of the Companies Ordinance (Cap 32), if the corporation ceases to be a listed corporation, it shall continue to keep the register and any index until the end of the period of 6 years beginning with the day next following that on which it ceases to be a listed corporation.
(10) The register and any index-
(a) shall be kept-
(i) if the corporation's register of members is kept at its registered office, at the corporation's registered office;
(ii) if the corporation's register of members is not so kept, at the corporation's registered office or the place where the register of members is kept; or
(iii) if the corporation does not have a registered office in Hong Kong, at the corporation's principal place of business in Hong Kong; and
(b) shall, for the purposes of Divisions 2 to 5 and for the purposes of-
(i) enabling members of the public to ascertain-
(A) the identities and the particulars of persons who are or were the true owners of, or have or had any interest or short position in, shares comprised in the relevant share capital of the listed corporation;
(B) the nature and the particulars of the interest or short position; and
(C) the capacity in which a person holds or held the interest or short position; and
(ii) providing the investing public with information to enable them to make informed investment decisions,
be made available, subject to subsection (11), for inspection in accordance with section 340.
(11) Neither the register nor any index shall be made available for inspection in accordance with section 340 in so far as it contains information with respect to a corporation for the time being entitled to avail itself of the benefit conferred by section 128(3) or 129(3) of the Companies Ordinance (Cap 32).
(12) The corporation shall send notice in the form specified by the Commission for the purposes of this section to the Registrar of Companies of-
(a) the place where the register is kept; and
(b) any change in that place,
unless the register has at all times been kept at the corporation's registered office.
(13) The duty imposed by subsection (12) shall be performed within 10 business days after the day on which the register is so kept or the change takes place (as the case may be).
(14) If default is made in complying with any provision of this section, the listed corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(15) For the purposes of this section, a reference to books and papers in section 283 of the Companies Ordinance (Cap 32) shall be construed as including a reference to the register and index required to be kept by a corporation under this section.


Section: 337 Heading: Registration of interests and short positions disclosed under section 329 Version Date: 01/04/2003


(1) Whenever in pursuance of a requirement imposed by a listed corporation on a person under section 329 the listed corporation receives any information, the listed corporation is under a duty to record, against the name of the person interested in those shares or having a short position in those shares (as the case may be), in a separate part of its register of interests in shares and short positions-
(a) the fact that the requirement was imposed and the date on which it was imposed; and
(b) any information received in pursuance of the requirement.
(2) Section 336(4) to (14) applies in relation to any part of the register kept in accordance with subsection (1) as it applies in relation to the remainder of the register.

Section: 338 Heading: Removal of entries from register Version Date: 01/04/2003


(1) A corporation may remove an entry against a person's name from its register of interests in shares and short positions if more than 6 years have expired since the date of the entry being made, and either-
(a) that entry recorded the fact that the person in question had ceased to have an interest notifiable under any provision of this Division or Divisions 2 to 5 in shares comprised in the relevant share capital of the corporation; or
(b) it has been superseded by a later entry made under section 336 against the same person's name,
and, in a case under paragraph (a), the corporation may also remove that person's name from the register.
(2) If a person in pursuance of a duty imposed on him by any provision of this Division or Divisions 2 to 5 gives to a listed corporation the name and address of another person as being interested in shares comprised in the relevant share capital of the corporation or having a short position in shares so comprised, the corporation shall, within 10 business days after the day on which it was given that information, notify the other person that he has been so named and shall include in that notification-
(a) particulars of any entry relating to him made, in consequence of its being given that information, by the corporation in its register of interests in shares and short positions; and
(b) a statement informing him of his right to apply to have the entry removed in accordance with the following provisions of this section.
(3) A person who has been notified by a listed corporation under subsection (2) that an entry relating to him has been made in the corporation's register of interests in shares and short positions may apply in writing to the corporation for the removal of that entry from the register; and the corporation shall remove the entry if satisfied that the information in pursuance of which the entry was made was incorrect.
(4) If a person who is identified in a corporation's register of interests in shares and short positions as being a party to an agreement to which section 317 applies (whether by an entry against his own name or by an entry relating to him made against another person's name as referred to in subsection (2)(a)) ceases to be a party to that agreement, he may apply in writing to the corporation for the inclusion of that information in the register; and if the corporation is satisfied that he has ceased to be a party to that agreement, it shall record that information (if not already recorded) in every place where his name appears as a party to that agreement in the register.
(5) If an application under subsection (3) or (4) is refused (in a case under subsection (4), otherwise than on the ground that the information has already been recorded), the applicant may apply to the Court of First Instance for an order directing the corporation to remove the entry in question from the register or to include the information in question in the register (as the case may be); and the Court of First Instance may, if it considers appropriate, make such an order.
(6) Where a name or an entry is removed from a corporation's register of interests in shares and short positions in pursuance of subsection (1) or (3) or an order under subsection (5), the corporation shall within 10 business days after the date of that removal make any necessary alteration in any index.
(7) If default is made in complying with subsection (2) or (6), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.

Section: 339 Heading: Otherwise, entries not to be removed from register Version Date: 01/04/2003


(1) Entries in a corporation's register of interests in shares and short positions shall not be removed except in accordance with section 338.
(2) If an entry is removed from a corporation's register of interests in shares and short positions in contravention of subsection (1), the corporation shall restore that entry to the register as soon as reasonably practicable.
(3) If default is made in complying with subsection (1) or (2), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.

Section: 340 Heading: Inspection of register Version Date: 01/04/2003


(1) Any register of interests in shares and short positions shall, during business hours (subject to such reasonable restrictions as the corporation concerned may in general meeting impose, but so that not less than 2 hours in each day are allowed for inspection), be open to inspection by any member of the corporation without charge or by any other person on payment of $10, or such less sum as the corporation may determine, for each inspection.
(2) Any member of the corporation or any other person may require a copy of any such register, or any part of it, on payment of $2, or such less sum as the corporation may determine, for each page required to be copied; and the corporation shall cause any copy so required by a member or person to be sent to him within 10 business days after the day on which the requirement is received by the corporation.
(3) If an inspection of the register required under this section is refused or a copy so required is not sent within the period specified in subsection (2), the corporation and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(4) In the case of a refusal of an inspection of the register required under this section, the Court of First Instance may by order compel an immediate inspection of it.
(5) In the case of a failure to send within the period specified in subsection (2) a copy required under this section, the Court of First Instance may by order direct that the copy required shall be sent to the person requiring it.
(6) The Commission may by rules amend the sum specified in subsection (1) or (2).

Section: 341 Heading: Duty of disclosure by director and chief executive Version Date: 01/04/2003


Division 7-Disclosure of interests and
short positions of directors
and chief executives

(1) A director or chief executive of a listed corporation comes under a duty of disclosure on the occurrence, while he is a director or chief executive of the listed corporation, of any of the following events-
(a) any event in consequence of which he becomes, or ceases to be, interested in shares in or debentures of the listed corporation or any associated corporation of the listed corporation (whether or not having or retaining an interest in other shares in or debentures of that corporation);
(b) the entering into by him of a contract to sell any such shares or debentures;
(c) the assignment by him of a right granted to him by the listed corporation to subscribe for shares in or debentures of the listed corporation;
(d) the grant to him by another corporation, being an associated corporation of the listed corporation, of a right to subscribe for shares in or debentures of that associated corporation, the exercise of such a right granted to him and the assignment by him of such a right so granted;
(e) any event in consequence of which the nature of his interest (or part thereof) in shares in or debentures of the listed corporation or any associated corporation of the listed corporation, which has previously been notified to the listed corporation and the relevant exchange company where the duty of disclosure arose under paragraph (a), (b), (c) or (d) or subsection (2), changes; and
(f) any event in consequence of which he comes to have or ceases to have a short position in shares in the listed corporation or any associated corporation of the listed corporation (whether or not having or retaining a short position in other shares in that corporation).
(2) A person who-
(a) is a director or chief executive of a corporation when the corporation becomes a listed corporation and at that time-
(i) is interested in shares in or debentures of the listed corporation or any associated corporation of the listed corporation; or
(ii) has a short position in shares in the listed corporation or any associated corporation of the listed corporation;
(b) at the commencement of this Part is a director or chief executive of a listed corporation and at that time-
(i) is interested in shares in or debentures of the listed corporation or any associated corporation of the listed corporation, and that interest has not previously been disclosed to the listed corporation and the Exchange Company under the Securities (Disclosure of Interests) Ordinance (Cap 396) before its repeal under section 406; or
(ii) has a short position in shares in the listed corporation or any associated corporation of the listed corporation;
(c) becomes a director or chief executive of a listed corporation and at the time when he does so-
(i) is interested in shares in or debentures of the listed corporation or any associated corporation of the listed corporation; or
(ii) has a short position in shares in the listed corporation or any associated corporation of the listed corporation; or
(d) is a director or chief executive of a listed corporation when a corporation becomes an associated corporation of the listed corporation and at that time-
(i) is interested in shares in or debentures of the associated corporation; or
(ii) has a short position in shares in the associated corporation,
comes under a duty of disclosure.
(3) A person who would otherwise come under a duty of disclosure under subsection (2) is not under such a duty where the occurrence of the relevant event comes to his knowledge after he has ceased to be a director or chief executive.
(4) Nothing in this section operates so as to impose a duty with respect to shares in a corporation which is the wholly owned subsidiary of another corporation for the purposes of section 124 of the Companies Ordinance (Cap 32).
(5) In subsection (1)(e), a reference to a change in the nature of the interest of a director or chief executive in shares or debentures includes a reference to a change in the nature of-
(a) his title to the shares or debentures;
(b) any of his interest whether legal or equitable in the shares or debentures; or
(c) any of his interest in the shares, which are the underlying shares of equity derivatives, on the exercise by, or against, him of rights under the equity derivatives,
but does not include a reference to a change in the nature of his interest in the shares or debentures-
(i) on delivery of the shares or debentures to him, if his equitable interest in those shares or debentures is notifiable, or has previously been notified to the listed corporation concerned and the relevant exchange company, under any provision of this Division or Division 8 or 9;
(ii) due to a change in the terms on which rights under any equity derivatives may be exercised resulting from a change in the number of the underlying shares in issue; or
(iii) where another person, being a qualified lender, comes to have an interest in his shares or debentures by way of security.


Section: 342 Heading: Interests to be disclosed by director and chief executive Version Date: 01/04/2003


(1) Subject to subsection (2), the interests to be taken into account for the purposes of the duty of disclosure arising under section 341 are those in shares in and debentures of the listed corporation concerned or any associated corporation of the listed corporation (whether issued or unissued).
(2) In subsection (1), a reference to interests in shares in the listed corporation concerned or any associated corporation of the listed corporation includes a reference to interests in such shares, which are the underlying shares of equity derivatives, that a person has, or ceases to have, by virtue of-
(a) the holding, writing or issuing by him of the equity derivatives;
(b) the exercise by, or against, him of rights under the equity derivatives; or
(c) the assignment by him, or the lapsing without exercise, of rights under the equity derivatives.


Section: 343 Heading: Short positions to be disclosed by director and chief executive Version Date: 01/04/2003


The short positions to be taken into account for the purposes of the duty of disclosure arising under section 341 are those in shares in the listed corporation concerned or any associated corporation of the listed corporation.

Section: 344 Heading: Notification of family and corporate interests and short positions by director and chief executive Version Date: 01/04/2003


(1) For the purposes of this Division and Divisions 8 and 9-
(a) a director or chief executive of a listed corporation is taken-
(i) to be interested in any shares or debentures in which his spouse (not being herself or himself a director or chief executive of the listed corporation) is interested; and
(ii) to have a short position in any shares in which his spouse (not being herself or himself a director or chief executive of the listed corporation) has a short position; and
(b) the same applies with respect to-
(i) an interest which a minor child (natural or adopted) of a director or chief executive of a listed corporation (such child not being himself or herself a director or chief executive of the listed corporation) has in shares or debentures; and
(ii) a short position which a minor child (natural or adopted) of a director or chief executive of a listed corporation (such child not being himself or herself a director or chief executive of the listed corporation) has in shares.
(2) For the purposes of this Division and Divisions 8 and 9-
(a) a contract, assignment or right of subscription entered into, exercised or made by, or a grant made to, the spouse of a director or chief executive of a listed corporation (not being herself or himself a director or chief executive of the listed corporation) shall be taken also to have been entered into, exercised or made by, or as having been made to (as the case may be) the director or chief executive; and
(b) the same applies with respect to a contract, assignment or right of subscription entered into, exercised or made by, or a grant made to, a minor child (natural or adopted) of a director or chief executive of a listed corporation (such child not being himself or herself a director or chief executive of the listed corporation).
(3) For the purposes of this Division and Divisions 8 and 9, a person is taken-
(a) to be interested in any shares in or debentures of the listed corporation or any associated corporation of the listed corporation in which a corporation is interested; and
(b) to have a short position in any shares in the listed corporation or any associated corporation of the listed corporation in which a corporation has a short position,
if-
(i) that corporation or its directors are accustomed or obliged to act in accordance with his directions or instructions; or
(ii) he is entitled to exercise or control the exercise of one-third or more of the voting power at general meetings of that corporation.
(4) Where-
(a) a person is entitled to exercise or control the exercise of one-third or more of the voting power at general meetings of a corporation; and
(b) that corporation is entitled to exercise or control the exercise of any of the voting power at general meetings of another corporation ("the effective voting power"),
then, for the purposes of subsection (3)(ii), the effective voting power is taken as exercisable by that person.
(5) For the purposes of subsections (3) and (4), a person is entitled to exercise or control the exercise of voting power if-
(a) he has a right (whether subject to conditions or not) the exercise of which would make him so entitled; or
(b) he is under an obligation (whether subject to conditions or not) the fulfilment of which would make him so entitled.
(6) A person who is taken to be interested in shares or debentures, or have a short position in shares, under subsection (3) shall be regarded as having ceased to be interested in the shares or debentures, or have a short position in the shares, if subsection (3)(i) or (ii) no longer applies.

条： 336 条文标题： 股份权益及淡仓登记册 版本日期： 01/04/2003



第6分部─备存登记册

(1) 每一上市法团均须备存股份权益及淡仓登记册。
(2) 每当上法团接获任何人因履行第2至5分部任何条文委予他的责任而提供的资料时，该法团有责任在登记册内该人的姓名或名称旁边，记录接获的资料及该记项的日期。
(3) 在不损害第(2)款的原则下，凡上市法团接获任何具报，而其中包括一项陈述，说明作出具报的人或任何其他人已不再是第317条适用的协议的一方，则该法团有责任在登记册内该不再属协议一方的人的姓名或名称以该方的名义出现的每一处(包括在另一人的姓名或名称旁边作出的关于该人的任何记项)，记录该项资料。
(4) 第(2)或(3)款委予的责任，须在该责任产生当日后3个营业日内履行。
(5) 就任何人对任何股份或股本衍生工具的权利而言，上市法团并不凭借任何为本条的目的而作出的事情，以致因知悉该等权利而受影响或须就该等权利进行查讯。
(6) 登记册必须按时间顺序显示记录在册内各姓名或名称旁边的记项。
(7) 除非登记册本身已采用索引形式编排，否则上市法团须备存一份索引，列出已记录在登记册内的姓名或名称，并就每一姓名或名称载有足够指示，以令查阅者容易找到记录在该姓名或名称旁边的资料。
(8) 上市法团须在将任何姓名或名称记录在登记册当日后10个营业日内，对索引作出所需的更改。
(9) 除《公司条例》(第32章)第283条另有规定外，即使任何法团不再是上市法团，该法团仍须在自它不再是上市法团的日期翌日起计的6年内，继续备存登记册及任何索引。
(10) 登记册及任何索引─
(a) 须─
(i) 在法团的成员登记册是备存于法团的注册办事处的情况下，备存于该办事处；
(ii) 在法团的成员登记册并非如此备存的情况下，备存于法团的注册办事处或备存成员登记册的地点；或
(iii) 在法团在香港并无注册办事处的情况下，备存于法团在香港的主要营业地点；及
(b) 须为施行第2至5分部及为以下目的─
(i) 令公众人士能够确定─
(A) 现时或曾经属有关的上市法团的有关股本中的股份的真正拥有人的身分及详情，或现时或曾经拥有该等股份的权益或持有该等股份的淡仓的人的身分及详情；
(B) 上述权益或淡仓的性质及详情；及
(C) 该人现时或曾经以什么身分拥有或持有上述权益或淡仓；及
(ii) 向投资大众提供资料，令他们能够作出有根据的投资决定，
而在不抵触第(11)款的条文下按照第340条供人查阅。
(11) 凡登记册或任何索引载有关乎任何在当其时有权利用《公司条例》(第32章)第128(3)或129(3)条所赋予的利益的法团的资料，则该登记册或索引中关乎该等资料的部分无须按照第340条供人查阅。
(12) 除非登记册时刻均备存于法团的注册办事处，否则法团须就以下事项，向公司注册处处长送交采用为施行本条而指明的表格或格式作出的通知─
(a) 备存登记册的地点；及
(b) 该地点的任何改变。
(13) 第(12)款委予的责任须在如此备存登记册或其备存地点有所改变(视属何情况而定)当日后10个营业日内履行。
(14) 如有违责情况以致本条任何条文不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款，如属持续的罪行，则可就罪行持续期间的每一日，另各处罚款$200。
(15) 为施行本条，《公司条例》(第32章)第283条中凡提述簿册及文据，须解释为包括提述法团根据本条须备存的登记册及索引。

条： 337 条文标题： 登记根据第329条披露的权益及淡仓 版本日期： 01/04/2003



(1) 每当任何上市法团根据第329条向任何人施加要求，而它依据该项要求接获关乎它的有关股本中的股份的资料，它有责任于股份权益及淡仓登记册(视属何情况而定)的一个独立部分，在拥有该等股份权益或持有该等股份的淡仓的人的姓名或名称旁边记录─
(a) 施加该项要求一事，以及施加日期；及
(b) 依据该项要求而接获的任何资料。
(2) 第336(4)至(14)条适用于登记册中按照第(1)款备存的任何部分，一如该等条文适用于登记册的其余部分。

条： 338 条文标题： 将登记册内的记项除去 版本日期： 01/04/2003



(1) 如自于法团股份权益及淡仓登记册内任何人的姓名或名称旁边作出记项的日期起计，已过了超过6年，并且有以下其中一种情况，则法团可将该记项除去─
(a) 该记项记录该人已不再拥有根据本分部或第2至5分部任何条文须具报的该法团有关股本中的股份权益的事实；或
(b) 该记项已被其后根据第336条在同一姓名或名称旁边作出的另一记项取代，
又如属(a)段所指的情况，该法团亦可将该人的姓名或名称从登记册内除去。
(2) 如任何人依据本分部或第2至5分部任何条文委予他的责任，向某上法团提供另一人的姓名或名称及地址，指该另一人拥有该法团有关股本中的股份权益或持有该等股份的淡仓，则该法团须在接获该等资料的日期后10个营业日内，通知该另一人他已被如此指名，并在通知内包括─
(a) 法团因接获该等资料而在其股份权益及淡仓登记册内作出的关于该另一人的任何记项的详情；及
(b) 一项陈述，告知该另一人他有权按照本条以下条文，申请将该记项除去。
(3) 任何人如接获上法团依据第(2)款发出的通知，表示已在其股份权益及淡仓登记册内作出关于他的记项，则他可以书面向该法团申请将该记项从该登记册内除去。如法团信纳在作出该记项时所依据的资料并不正确，则须将该记项除去。
(4) 任何人如在某法团的股份权益及淡仓登记册内被识别为第317条适用的协议的一方(不论是以在他本人的姓名或名称旁边作出的记项，或以如第(2)(a)款提述在另一人的姓名或名称旁边作出关于他的记项的方式识别)，则当他不再是该协议的一方时，可以书面向该法团申请将此项资料列入登记册内。如该法团信纳该人已不再是该协议的一方，则须于登记册内该人的姓名或名称以该协议一方身分出现(而又尚未记录该项资料)的每一处，记录该项资料。
(5) 如根据第(3)款提出的申请被拒绝，或根据第(4)款提出的申请因有关资料已被记录在登记册内以外的原因而被拒绝，申请人可向原讼法庭申请命令，指示该法团将有关记项从登记册内除去，或将有关资料列入登记册内(视属何情况而定)；原讼法庭如认为适当，可作出该项命令。
(6) 凡依据第(1)或(3)款，或依据在第(5)款下作出的命令，将任何姓名、名称或记项从法团的股份权益及淡仓登记册内除去，该法团须在除去该姓名、名称或记项的日期后10个营业日内，对任何有关索引作出所需的更改。
(7) 如有违责情况以致第(2)或(6)款不获遵守，则有关法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款，如属持续的罪行，则可就罪行持续期间的每一日，另各处罚款$200。

条： 339 条文标题： 不得在其他情况下除去记项 版本日期： 01/04/2003



(1) 除按照第338条的规定外，法团的股份权益及淡仓登记册内的记项不得除去。
(2) 如有记项在违反第(1)款的情况下从法团的股份权益及淡仓登记册内除去，该法团须在合理地切实可行的范围内尽快将该记项重新记入该登记册内。
(3) 如有违责情况以致第(1)或(2)款不获遵守，则有关法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款，如属持续的罪行，则可就罪行持续期间的每一日，另各处罚款$200。

条： 340 条文标题： 查阅登记册 版本日期： 01/04/2003



(1) 任何股份权益及淡仓登记册，须于营业时间内(须受有关法团在成员大会上施加的合理限制所规限，但每日可供查阅的时间不得少于2小时)供该法团任何成员免费查阅，该登记册亦须供任何其他人查阅，但每次查阅须支付$10或该法团厘定的较低款额。
(2) 法团的任何成员或任何其他人均可在支付费用后，要求取得该登记册或其任何部分的副本，收费按需复制副本的页数计算，每页收取$2或法团厘定的较低款额，而法团须在接获该要求当日后10个营业日内，安排将副本送交予他。
(3) 如任何人要求查阅根据本条须供查阅的登记册而被拒绝，或根据本条要求取得的副本没有在第(2)款指明的期间内送交，则有关法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款，如属持续的罪行，则可就罪行持续期间的每一日，另各处罚款$200。
(4) 如任何人要求查阅根据本条须供查阅的登记册而被拒绝，原讼法庭可藉命令饬令有关法团立即将该登记册交出，以供查阅。
(5) 如根据本条要求取得的副本没有在第(2)款指明的期间内送交，原讼法庭可藉命令指示将该副本送交提出要求的人。
(6) 证监会可藉规则修订第(1)或(2)款指明的款额。

条： 341 条文标题： 董事及最高行政人员的披露责任 版本日期： 01/04/2003



第7分部─披露董事及最高行政人员拥有的权益及淡仓

(1) 如在上市法团的董事或最高行政人员任职期间内─
(a) 发生任何事件，而由于该事件的发生，以致他成为拥有或不再拥有该法团或其任何相联法团的股份或债权证的权益(不论是否拥有或保留该法团其他股份或债权证的权益)；
(b) 他订立售卖任何该等股份或债权证的合约；
(c) 他将该法团授予他的认购该法团的股份或债权证的权利转让；
(d) 属该法团的相联法团的另一法团授予他认购该相联法团的股份或债权证的权利，而他行使该项权利或将该项权利转让；
(e) 发生任何事件，而由于该事件的发生，以致他拥有的该法团或其任何相联法团的股份或债权证的权益(或其部分)的性质有所改变，而他过往曾在有披露责任根据(a)、(b)、(c)或(d)段或第(2)款产生时，向该法团或有关交易所公司具报该等权益；或
(f) 发生任何事件，而由于该事件的发生，以致他变为持有或不再持有该法团或其任何相联法团的股份的淡仓(不论是否持有或保留该法团的其他股份的淡仓)，
则他有披露责任。
(2) 如任何人─
(a) 在某法团成为上市法团时是该法团的董事或最高行政人员，并于当时─
(i) 拥有该法团或其任何相联法团的股份或债权证的权益；或
(ii) 持有该法团或其任何相联法团的股份的淡仓；
(b) 在本部生效时是某上市法团的董事或最高行政人员，并于当时─
(i) 拥有该法团或其任何相联法团的股份或债权证的权益，而该项权益过往未有在《证券(披露权益)条例》(第396章)被第406条废除之前，根据该条例向该法团及交易所公司披露；或
(ii) 持有该法团或其任何相联法团的股份的淡仓；
(c) 成为某上市法团的董事或最高行政人员，并于此事发生时─
(i) 拥有该法团或其任何相联法团的股份或债权证的权益；或
(ii) 持有该法团或其任何相联法团的股份的淡仓；或
(d) 在某法团成为某上市法团的相联法团时是该上市法团的董事或最高行政人员，并于当时─
(i) 拥有该法团的股份或债权证的权益；或
(ii) 持有该法团的股份的淡仓，
则该人有披露责任。
(3) 如任何人在他已不再是董事或最高行政人员后，才知道有任何上述事件发生，则该人并不负有本应会根据第(2)款而负有的披露责任。
(4) 如某法团就《公司条例》(第32章)第124条而言是另一法团的全资附属公司，则本条的施行并不就前者的股份施加任何责任。
(5) 在第(1)(e)款中，凡提述任何董事或最高行政人员拥有的股份或债权证的权益的性质的改变，即包括提述─
(a) 他对该等股份或债权证的所有权的性质的改变；
(b) 他在法律上或衡平法上拥有的该等股份或债权证的权益的性质的改变；或
(c) 在他行使以他拥有的该等股份为相关股份的股本衍生工具下的权利时，或在该等工具下的权利针对他而行使时，他拥有的该等股份的权益的性质的改变，
但不包括提述─
(i) 在该等股份或债权证交付他时，他拥有的该等股份或债权证的权益的性质的改变，但前提是根据本分部或第8或9分部的任何条文，他在衡平法上拥有的该等股份或债权证的权益是须具报的，或他过往曾根据上述的任何条文，将该等权益向有关上法团及有关交易所公司具报；
(ii) 可行使股本衍生工具下的权利的条款的改变所导致的他拥有的该等股份或债权证的权益的性质的改变，而该项条款改变是由于有关的相关股份的数目有所改变而引致的；或
(iii) 他拥有的该等股份或债权证的权益的性质在以下情况出现时的改变：属合资格借出人的另一人以抵押方式变为拥有该等股份或债权证的权益。


条： 342 条文标题： 董事及最高行政人员须披露的权益 版本日期： 01/04/2003



(1) 在不抵触第(2)款的条文下，就根据第341条产生的披露责任而言，须顾及的权益为有关上市法团或其任何相联法团的股份(不论是已发行或未发行的)或债权证的权益。
(2) 在第(1)款中，凡提述上市法团或其任何相联法团的股份的权益，包括提述任何人凭借以下情况而拥有(或不再拥有)的上述股份中属股本衍生工具的相关股份的股份权益─
(a) 他持有、售卖或发行该等股本衍生工具；
(b) 他行使该等股本衍生工具下的权利，或该等股本衍生工具下的权利针对他而行使；或
(c) 他转让该等股本衍生工具下的权利，或该等权利在未被行使的情况下失效。


条： 343 条文标题： 董事及最高行政人员须披露的淡仓 版本日期： 01/04/2003



就根据第341条产生的披露责任而言，须顾及的淡仓为有关上市法团或其任何相联法团的股份的淡仓。

条： 344 条文标题： 董事及最高行政人员须就家属及法团的权益以及淡仓作出具报 版本日期： 08/07/2005



(1) 为施行本分部及第8及9分部─
(a) 任何上市法团的董事或最高行政人员的配偶(本身并非该法团的董事或最高行政人员者)─
(i) 拥有的任何股份或债权证的权益，须视为该董事或人员(视属何情况而定)拥有的权益；及
(ii) 持有的任何股份的淡仓，须视为该董事或人员(视属何情况而定)持有的淡仓；及
(b) 上述规定亦同样适用于─
(i) 上市法团的董事或最高行政人员的任何未成年子女(不论亲生或领养，而本身并非该法团的董事或最高行政人员者)拥有的股份或债权证的权益；及
(ii) 上市法团的董事或最高行政人员的任何未成年子女(不论亲生或领养，而本身并非该法团的董事或最高行政人员者)持有的股份的淡仓。
(2) 为施行本分部及第8及9分部─
(a) 任何上法团的董事或最高行政人员的配偶(本身并非该法团的董事或最高行政人员者)所订立、行使或作出的任何合约、转让或认购权，须视为是该董事或人员所订立、行使或作出(视属何情况而定)的；而向该配偶作出的任何授予，亦须视为是向该董事或人员(视属何情况而定)作出的；及
(b) 上述规定亦同样适用于任何上市法团的董事或最高行政人员的未成年子女(不论亲生或领养，而本身并非该法团的董事或最高行政人员者)所订立、行使或作出的任何合约、转让或认购权，或向该子女作出的任何授予。
(3) 为施行本分部及第8及9分部，如任何法团─
(a) 拥有任何上市法团或其任何相联法团的股份或债权证的权益；及
(b) 持有任何上市法团或其任何相联法团的股份的淡仓，
而─
(i) 该首述法团或其董事惯于或有义务按照某人的指令或指示行事；或
(ii) 某人有权在该首述法团的成员大会上行使不少于三分之一的投票权或控制该数量的投票权的行使，
则该人须视为拥有该等权益及持有该等淡仓。
(4) 凡─
(a) 某人有权在某法团的成员大会上行使不少于三分之一的投票权或控制该数量的投票权的行使；而
(b) 该法团有权在另一法团的成员大会上行使任何投票权或控制任何投票权的行使(“有效投票权”)，
则就第(3)(ii)款而言，有效投票权须视为可由该人行使。
(5) 就第(3)及(4)款而言，任何人符合以下说明─
(a) 有一项一旦行使便会令他有权行使投票权或控制投票权的行使的权利(不论是否受任何条件规限)；或
(b) 负有一项一旦履行便会令他有权行使投票权或控制投票权的行使的义务(不论是否受任何条件规限)，
他即属有权行使投票权或控制投票权的行使。 (由2005年第10号第201条修订)
(6) 如第(3)(i)或(ii)款不再适用，则根据第(3)款被视为拥有权益或持有淡仓的人，须视为不再拥有该等权益或持有该等淡仓。

Section: 345 Heading: Interests and short positions to be taken into account for the purpose of notification by director and chief executive Version Date: 01/04/2003


Division 8-Interests and short positions to be notified
by director and chief executive or disregarded

(1) This section applies, subject to section 346, in determining for the purposes of Divisions 7 and 9 whether a person has, or ceases to have, an interest in shares in or debentures of, or short position in shares in, a listed corporation or any associated corporation of the listed corporation that is notifiable.
(2) A reference to an interest in shares or debentures shall be construed as including a reference to an interest of any kind whatsoever in the shares or debentures, and for that purpose any restraint or restriction to which the exercise of a right attached to the interest may be subject shall be disregarded.
(3) In construing a reference to a short position in shares, any restraint or restriction to which the exercise of a right or the settlement of an obligation, by virtue of the short position, may be subject shall be disregarded.
(4) Where property is held on trust and an interest in shares or debentures, or short position in shares, is comprised in that property-
(a) a beneficiary of the trust who apart from this section does not have an interest in the shares or debentures, or a short position in the shares, is taken to have such an interest or short position (as the case may be); and
(b) in the case of a discretionary trust, the founder of the trust is taken to have an interest in the shares or debentures or a short position in the shares (as the case may be).
(5) A person is taken to have an interest in shares or debentures if-
(a) he enters into a contract for their purchase by him (whether for cash or other consideration); or
(b) he is entitled to-
(i) exercise any right conferred by the holding of the shares or debentures; or
(ii) control the exercise of any such right.
(6) For the purposes of subsection (5)(b), a person is taken to be entitled to exercise or control the exercise of any right conferred by the holding of shares or debentures if-
(a) he has a right (whether subject to conditions or not) the exercise of which would make him so entitled; or
(b) he is under an obligation (whether subject to conditions or not) the fulfilment of which would make him so entitled.
(7) A person is taken to have an interest in shares or debentures if, otherwise than by virtue of having an interest under a trust-
(a) he has a right to subscribe for the shares or debentures or call for delivery of the shares or debentures to himself or to his order; or
(b) he has a right to acquire an interest in the shares or debentures or is under an obligation to take delivery of the shares or debentures,
whether in any case the right or obligation is conditional or absolute.
(8) A person who is the holder, writer or issuer of equity derivatives is taken to have an interest in shares which are the underlying shares of the equity derivatives if, by virtue of his holding, writing or issuing of the equity derivatives-
(a) he has a right to require another person to deliver the underlying shares to him;
(b) he is under an obligation to take delivery of the underlying shares;
(c) he has a right to receive from another person an amount if the price of the underlying shares increases; or
(d) he has a right to avoid or reduce a loss if the price of the underlying shares increases,
before or on a certain date or within a certain period, whether in any case the right or obligation is conditional or absolute.
(9) The number of shares in which a person is taken to be interested under subsection (8) is-
(a) the number of the underlying shares of the equity derivatives-
(i) which he has a right to require another person to deliver to him; or
(ii) of which he is under an obligation to take delivery;
(b) the number of the underlying shares of the equity derivatives by reference to which, wholly or partly, the amount which he has a right to receive or the loss which he has a right to avoid or reduce, by virtue of his holding, writing or issuing of the equity derivatives, is derived or determined; or
(c) in the case of a stock futures contract, the contract multiplier which is to be used in calculating the amount he may receive in respect of his holding of the stock futures contract,
whether in any case the right or obligation is conditional or absolute.
(10) A person shall be regarded as having ceased to be interested in shares or debentures if-
(a) he delivers the shares or debentures to another person or to another person's order-
(i) in accordance with a contract under which he agreed to sell the shares or debentures to the other person;
(ii) in fulfilling an obligation to do so when called upon by the other person to deliver the shares or debentures; or
(iii) pursuant to a right to require the other person to take delivery of the shares or debentures;
(b) his right to subscribe for or call for delivery of the shares or debentures lapses or he assigns such a right to another person;
(c) his obligation to take delivery of the shares or debentures lapses or he assigns such an obligation to another person; or
(d) he receives from another person an amount, or avoids or reduces a loss, on assignment or settlement of any cash settled equity derivatives.
(11) The number of shares in which a person is regarded as having ceased to be interested under subsection (10)(d) is-
(a) the number of the underlying shares which are to be used in calculating the amount he may receive, or the loss he may avoid or reduce; or
(b) in the case of a stock futures contract, the contract multiplier which is to be used in calculating the amount he may receive in respect of his holding of the stock futures contract.
(12) The number of shares in which a person is regarded as having a short position by virtue of his holding, writing or issuing of any equity derivatives is-
(a) the number of the underlying shares of the equity derivatives which he is entitled, or may be required, to deliver;
(b) in the case of cash settled equity derivatives, the number of the underlying shares which are to be used in calculating the amount he may receive, or the loss he may avoid or reduce; or
(c) in the case of a stock futures contract, the contract multiplier which is to be used in calculating the amount he may receive in respect of his holding of the stock futures contract.
(13) The number of shares in which a person is regarded as having a short position under a securities borrowing and lending agreement is the number of shares which he is obliged to deliver under the securities borrowing and lending agreement, if called upon to do so, whether or not the obligation to deliver shares may be settled by payment of cash or by delivery of shares or otherwise.
(14) Persons having a joint interest or short position are taken each of them to have that interest or short position (as the case may be).
(15) It is immaterial that shares in which a person has an interest or short position are unidentifiable.

Section: 346 Heading: Interests and short positions to be disregarded for the purpose of notification by director and chief executive Version Date: 01/04/2003


(1) The following interests, and short positions, in shares in or debentures of a listed corporation or any associated corporation of the listed corporation shall be disregarded for the purposes of Divisions 7 to 9-
(a) so long as a person is entitled to receive income from trust property comprising shares or debentures during the lifetime of himself or another person, an interest in the shares or debentures in reversion or remainder;
(b) an interest of a person in shares or debentures if, and so long as, he holds the shares or debentures as a bare trustee;
(c) subject to subsection (3), an interest in shares or debentures comprised in the property under-
(i) a collective investment scheme authorized under section 104;
(ii) a pension scheme or a provident fund scheme registered under section 21 or 21A of the Mandatory Provident Fund Schemes Ordinance (Cap 485); or
(iii) a qualified overseas scheme,
of a holder, trustee or custodian of the scheme;
(d) an interest of a person subsisting by virtue of-
(i) a charitable scheme made by order of any court of competent jurisdiction; or
(ii) the vesting of a deceased's estate in any judicial officer between the time of death of the deceased and the grant of letters of administration; and
(e) such interests or interests of such a class, or such short positions or short positions of such a class, as are prescribed by regulations for the purposes of this section.
(2) A person is not taken to be interested in shares or debentures under section 345(5)(b) by reason only that he-
(a) has been appointed as a proxy to vote at a specified meeting of the listed corporation or associated corporation or of any class of its members and at any adjournment of that meeting; or
(b) has been appointed by a corporation to act as its representative at a meeting of the listed corporation or associated corporation or of any class of its members.
(3) An interest in shares or debentures of a holder, trustee or custodian of a scheme referred to in subsection (1)(c)(i), (ii) or (iii), comprised in the property under the scheme, shall not be disregarded under subsection (1)(c) if the holder, trustee or custodian (as the case may be) is also a manager of the scheme.
(4) For the purposes of subsection (1)(c), "qualified overseas scheme" (合资格海外计划) means a collective investment scheme, pension scheme or provident fund scheme which-
(a) is established in a place outside Hong Kong recognized for the purposes of this section by the Commission by notice published in the Gazette; and
(b) is authorized by or registered with the authority (if any) responsible for the authorization or registration of such scheme in the place where it is established, and complies with the requirements of such authority,
but does not include-
(i) an arrangement operated by a person otherwise than by way of business;
(ii) an arrangement under which less than 100 persons hold, or have the right to become holders of, interests (whether described as units or otherwise) that entitle the holders, directly or indirectly, to the income or property of the arrangement;
(iii) an arrangement under which less than 50 persons hold, or have the right to become holders of, interests (whether described as units or otherwise) that entitle the holders, directly or indirectly, to 75% or more of the income or property of the arrangement; and
(iv) such other arrangement as may be specified by the Commission by notice published in the Gazette.
(5) For the purposes of subsection (1), a person shall not be considered as not being a bare trustee in respect of any property by reason only that-
(a) the person for whose benefit the property is held is not absolutely entitled thereto as against the trustee only because he is a minor or is a person under a disability; or
(b) the trustee has the right to resort to the property to satisfy any outstanding charge or lien or for the payment of any duty, tax, cost or other outgoings.
(6) A notice published pursuant to subsection (4)(a) or (iv) is not subsidiary legislation.

条： 345 条文标题： 就董事及最高行政人员作出的具报而言须顾及的权益及淡仓 版本日期： 01/04/2003



第8分部─须由董事及最高行政人员
具报或无须理会的权益及淡仓

(1) 在不抵触第346条的情况下，本条适用于断定任何人就第7及9分部而言，是拥有抑或不再拥有须具报的上市法团或其任何相联法团的股份或债权证的权益，或是持有抑或不再持有须具报的上市法团或其任何相联法团的股份的淡仓。
(2) 凡提述股份或债权证的权益，须解释为包括提述股份或债权证中任何种类的权益；而为该目的，行使附于该等权益的任何权利所受到或可能受到的约束或限制，无须理会。
(3) 在解释对股份的淡仓的提述时，凭借该淡仓行使权利或履行义务所可能受到的约束或限制，无须理会。
(4) 凡以信托方式持有的财产包含任何股份或债权证的权益或任何股份的淡仓─
(a) 而该信托的受益人除根据本条外并不拥有该等权益或持有该等淡仓，该受益人须视为拥有该等权益或持有该等淡仓(视属何情况而定)；及
(b) 而该信托属酌情信托，该信托的成立人须视为拥有该等权益或持有该等淡仓(视属何情况而定)。
(5) 任何人如有以下情况，须视为拥有股份或债权证的权益─
(a) 他订立购买(不论以现金或其他代价)该等权益的合约；或
(b) 他有权─
(i) 行使因持有该等股份或债权证而获赋予的任何权利；或
(ii) 控制该等权利的行使。
(6) 就第(5)(b)款而言，任何人如有以下情况，须视为有权行使因持有股份或债权证而获赋予的任何权利或控制该等权利的行使─
(a) 他拥有假若行使便会使他有权行使该等权利或控制其行使的另一项权利(不论是否受条件规限)；或
(b) 他负有一项义务(不论是否受条件规限)，而履行该义务会使他有权行使该等权利或控制其行使。
(7) 凡任何人─
(a) 有权认购股份或债权证，或要求将股份或债权证交付他本人或依照他的指示交付；或
(b) 有权取得股份或债权证的权益，或有义务提取股份或债权证，
而他并非凭借拥有某项信托下的权益而享有上述权利，则不论上述权利或义务是否在任何情况下附有条件，他均须视为拥有该等股份或债权证的权益。
(8) 任何股本衍生工具的持有人、卖方或发行人如凭借持有、售卖或发行(视属何情况而定)该等工具而─
(a) 有权要求另一人在某日期或之前或某期间内，向他交付该等工具的相关股份；
(b) 有义务在某日期或之前或某期间内，提取该等相关股份；
(c) 在该等相关股份的价格在某日期或之前或某期间内上升的情况下，有权从另一人收取一笔款项；或
(d) 在该等相关股份的价格在某日期或之前或某期间内上升的情况下，有权避免或减少损失，
则不论上述权利或义务是否在任何情况下附有条件，他均须视为拥有属该等相关股份的股份的权益。
(9) 任何人根据第(8)款须视为拥有权益的股份的数目─
(a) 是─
(i) 他有权要求另一人向他交付的；或
(ii) 他有义务提取的，
有关衍生工具的相关股份的数目；
(b) 是该等相关股份的数目，而他凭借持有、售卖或发行有关股本衍生工具而有权收取的款项或有权避免或减少的损失，是完全或部分参照该数目而得出或厘定的；或
(c) 如属股票期货合约的情况，则为用以计算他可就持有的股票期货合约收取的款项的合约乘数，
不论上述权利或义务是否在任何情况下附有条件，而他被视为拥有权益的股份的总面值，须据此计算。
(10) 如有以下情况，任何人即视为已不再拥有股份或债权证的权益─
(a) 他将该等股份或债权证交付另一人或依照另一人的指示将该等股份或债权证交付─
(i) 而他是按照他同意将该等股份或债权证售予该另一人的合约如此行事的；
(ii) 以履行他在该另一人要求他交付该等股份或债权证时须如此行事的义务；或
(iii) 而他是依据一项要求另一人提取该等股份或债权证的权利如此行事的；
(b) 他认购或要求交付该等股份或债权证的权利已失时效或他将该权利转让予另一人；
(c) 他须提取该等股份或债权证的义务已失时效或他将该义务转让予另一人；或
(d) 他在转让或结算任何现金结算股本衍生工具时，向另一人收取一笔款项或得以藉此避免或减少损失。
(11) 任何人根据第(10)(d)款视为已不再拥有权益的股份的数目─
(a) 是将用以计算他可收取的款项或他可避免或减少的损失的相关股份数目；或
(b) 如属股票期货合约的情况，则为将用以计算他可就持有的股票期货合约收取的款项的合约乘数。
(12) 任何人凭借持有、售卖或发行股本衍生工具而须视为持有淡仓的股份的数目─
(a) 是他有权交付或可能须交付的该等工具的相关股份的数目；
(b) 如属现金结算股本衍生工具的情况，则为将用以计算他可收取的款项或他可避免或减少的损失的相关股份的数目；或
(c) 如属股票期货合约的情况，则为将用以计算他可就持有的股票期货合约收取的款项的合约乘数。
(13) 任何人根据证券借贷协议而须视为持有淡仓的股份的数目，是他在被要求时有义务根据该协议交付的股份的数目，不论该交付股份的义务可否以支付现金、交付股份或其他方式履行。
(14) 如有多于一人共同拥有一项权益或持有同一淡仓，他们当中的每一人均须视为拥有该项权益或持有该淡仓(视属何情况而定)。
(15) 任何人拥有权益的股份或持有淡仓所涉的股份并非可识辨一事，属无关重要。

条： 346 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权益及淡仓 版本日期： 01/04/2003



(1) 就第7至9分部而言，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及淡仓无须理会─
(a) 凡信托财产包含股份或债权证，则在有人有权在其本人或另一人在生时收取来自该信托财产的收入的情况下，无须理会该等股份或债权证的复归权益或剩余权益；
(b) 就任何以被动受托人身分持有股份或债权证的人而言，在他以该身分持有该股份或债权证的期间，无须理会他拥有的该股份或债权证的权益；
(c) 除第(3)款另有规定外，由─
(i) 根据第104条认可的集体投资计划；
(ii) 根据《强制性公积金计划条例》(第485章)第21或21A条注册的退休金计划或公积金计划；或
(iii) 合资格海外计划，
的持有人、受托人或保管人拥有的在该计划下的财产中的股份或债权证的权益；
(d) 凭借以下形式而存续的属于任何人的权益─
(i) 藉具有司法管辖权的法院的命令而成立的慈善计划；或
(ii) 死者遗产在死者去世至授予遗产管理书期间归属司法人员；及
(e) 为施行本条而藉规例订明的权益或淡仓，或属于如此订明的类别的权益或淡仓。
(2) 任何人不得仅因有以下情况而视为根据第345(5)(b)条拥有股份或债权证的权益─
(a) 他获委任在某上市法团或相联法团或其任何类别成员的某指明会议上，以及在该会议的延会上，以代表身分投票；或
(b) 该人获任何法团委任在某上市法团或相联法团或其任何类别成员的会议上，以该法团的代表身分行事。
(3) 如第(1)(c)(i)、(ii)或(iii)款提述的计划的持有人、受托人或保管人(视属何情况而定)亦是该计划的管理人，则他所拥有的在该计划下的财产中的股份或债券权益不得根据第(1)(c)款不予理会。
(4) 就第(1)(c)款而言，“合资格海外计划”(qualified overseas scheme) 指符合以下说明的集体投资计划、退休金计划或公积金计划─
(a) 在香港以外地方成立，并获证监会为施行本条藉宪报公告认可；及
(b) 已获该地方负责认可或注册该等计划的主管当局(如有的话)认可或注册，并符合该当局的规定，
但不包括─
(i) 由任何人并非以业务形式营办的安排；
(ii) 符合以下说明的安排：在该安排下，少于100人拥有权益(不论是否以单位描述)或有权成为权益(不论是否以单位描述)的拥有人，而该权益令拥有人直接或间接对该安排的入息或财产有权利；
(iii) 符合以下说明的安排：在该安排下，少于50人拥有权益(不论是否以单位描述)或有权成为权益(不论是否以单位描述)的拥有人，而该权益令拥有人直接或间接对该安排的不少于75%的入息或财产有权利；及
(iv) 证监会藉宪报公告指明的其他安排。
(5) 为施行第(1)款，某人不得仅因以下理由而不被视为任何财产的被动受托人─
(a) 该财产是为另一人的利益而持有的，而仅因该另一人是未成年人或无行为能力的人，以致相对于受托人而言该另一人对该财产没有绝对享有权；或
(b) 受托人有权使用该财产，以清偿任何尚未清偿的押记，解除任何尚未解决的留置权，或缴付任何税项、税款、费用或其他开支。
(6) 依据第(4)(a)或(iv)款刊登的公告不是附属法例。

Section: 347 Heading: Notification to be given by director and chief executive Version Date: 01/04/2003


Division 9-Requirements for giving notification
by director and chief executive

(1) Where a person comes under a duty of disclosure under section 341, he shall give notification to the listed corporation concerned and to the relevant exchange company of-
(a) the interests which he has, or ceases to have, in shares in or debentures of the listed corporation or any associated corporation of the listed corporation; and
(b) the short position (if any) which he has, or ceases to have, in shares in the listed corporation or any associated corporation of the listed corporation.
(2) A notification required by this section shall be given to the listed corporation concerned and the relevant exchange company at the same time or (if it is not practicable to do so) one immediately after the other.
(3) The Commission may, by notice published in the Gazette, specify the form in respect of a notification required by this section, either generally or in any particular case, and, without limiting the generality of the foregoing, may in the form-
(a) notwithstanding section 397(1), include directions and instructions relating to the manner in which the form is to be completed, signed, executed and authenticated; and
(b) specify documents by which it is to be accompanied.
(4) For the purposes of subsection (3), the Commission may specify any form by referring in a notice published in the Gazette to the form as separately published by such electronic means as the Commission considers appropriate, instead of setting out the form in a notice published in the Gazette, whereupon the Commission shall for all purposes be regarded as having duly specified the form under subsection (3).
(5) For the purposes of subsection (3), the Commission may specify that different forms are to be used in different circumstances.
(6) Subject to subsection (7), where the Commission has specified any form under subsection (3) in respect of a notification required by this section to be given when a duty of disclosure arises under section 341, the duty shall not be regarded as having been performed unless the notification-
(a) is in the form specified;
(b) is completed, signed, executed and authenticated in accordance with such directions and instructions as are included in the form; and
(c) is accompanied by such documents as are specified in the form.
(7) A notification required by this section shall not by reason of any deviation from a form specified in respect of it by notice published pursuant to subsection (3) cease to be regarded as being in that form, if the deviation does not affect the substance of the form.
(8) A notice published pursuant to subsection (3) is not subsidiary legislation.

Section: 348 Heading: Time of notification by director and chief executive Version Date: 01/04/2003


(1) A notification required by section 347 shall be given, where the duty of disclosure arises under section 341(1)(a), (b), (c), (d), (e) or (f)-
(a) in the case that at the time at which the relevant event occurs the person concerned knows of its occurrence, within 3 business days after the day on which the relevant event occurs; or
(b) otherwise, within 3 business days after the day on which the occurrence of the relevant event comes to his knowledge.
(2) A notification required by section 347 shall be given, where the duty of disclosure arises under section 341(2)-
(a) within 10 business days after the day on which the relevant event occurs; or
(b) in the case that at the time at which the relevant event occurs the person concerned is not aware-
(i) that he has an interest in shares in or debentures of the listed corporation concerned or any associated corporation of the listed corporation; or
(ii) that he has a short position in shares in the listed corporation or any associated corporation of the listed corporation,
within 10 business days after the day on which he becomes aware that he has such an interest or short position (as the case may be).


Section: 349 Heading: Particulars to be contained in notification by director and chief executive Version Date: 01/04/2003


(1) Where a duty of disclosure arises under section 341, a person shall, in performing the duty of disclosure, specify in the notification his name, identifying him also as a director or chief executive (as the case may be), and his address, and (so far as he is aware)-
(a) the date on which the relevant event occurred and-
(i) the date (if later) on which he became aware of the occurrence of the relevant event; or
(ii) in the case referred to in section 348(2)(b), the date on which he became aware that he has the interest in the shares in or debentures of, or the short position in the shares in, the listed corporation or the associated corporation of the listed corporation (as the case may be);
(b) subject to subsection (3), the total number and class of-
(i) shares in the listed corporation and any associated corporation of the listed corporation in which he was interested immediately before the relevant time specifying the percentage figure of his interest in the shares in each class; and
(ii) shares in the listed corporation and any associated corporation of the listed corporation in which he is interested immediately after the relevant time specifying the percentage figure of his interest in the shares in each class;
(c) subject to subsection (3), the amount of-
(i) debentures of the listed corporation and any associated corporation of the listed corporation in which he was interested immediately before the relevant time; and
(ii) debentures of the listed corporation and any associated corporation of the listed corporation in which he is interested immediately after the relevant time;
(d) subject to subsection (3), the total number and class of-
(i) shares in the listed corporation and any associated corporation of the listed corporation in which he had a short position immediately before the relevant time specifying the percentage figure of his short position in the shares in each class; and
(ii) shares in the listed corporation and any associated corporation of the listed corporation in which he has a short position immediately after the relevant time specifying the percentage figure of his short position in the shares in each class;
(e) the circumstances in which he comes under the duty of disclosure;
(f) where the duty of disclosure arises under section 341(1)-
(i) the number and class of shares in the listed corporation or any associated corporation of the listed corporation in which-
(A) he has acquired an interest, or ceased to have an interest, at the relevant time;
(B) he has come to have, or ceased to have, a short position at the relevant time; or
(C) the nature of his interest changes at the relevant time; and
(ii) the amount of debentures of the listed corporation or any associated corporation of the listed corporation in which-
(A) he has acquired an interest, or ceased to have an interest, at the relevant time; or
(B) the nature of his interest changes at the relevant time;
(g) where he acquires or disposes of the interest referred to in paragraph (f)(i)(A)-
(i) through an on-exchange transaction, the highest price and the average price paid or received per share for the interest he acquires or disposes of (or, in the case that no price is paid or received, that fact); or
(ii) through an off-exchange transaction, the nature of the consideration given or received, and the highest amount and the average amount of the consideration given or received per share, for the interest he acquires or disposes of (or, in the case that no consideration is given or received, that fact);
(h) where he acquires or disposes of the interest referred to in paragraph (f)(ii)(A)-
(i) through an on-exchange transaction, the highest price and the average price paid or received per unit for the interest he acquires or disposes of (or, in the case that no price is paid or received, that fact); or
(ii) through an off-exchange transaction, the nature of the consideration given or received, and the highest amount and the average amount of the consideration given or received per unit, for the interest he acquires or disposes of (or, in the case that no consideration is given or received, that fact);
(i) subject to subsection (3), the capacity in which the interest in shares in or debentures of, or the short position in shares in, the listed corporation or any associated corporation of the listed corporation is held immediately after the relevant time and, if the interest in the shares or debentures, or the short position in the shares, is held in more than one capacity, the number of shares or amount of debentures held in each capacity;
(j) subject to subsection (3), where the duty of disclosure arises on the occurrence of an event in consequence of which the nature of his interest in shares in or debentures of the listed corporation or any associated corporation of the listed corporation changes, the nature of his interest immediately before and immediately after the relevant time;
(k) subject to subsection (3), where he is taken to be interested in shares in or debentures of, or have a short position in shares in, the listed corporation or any associated corporation of the listed corporation under section 344(1), 344(2), 344(3) or 345(14)-
(i) the number and class of the shares or amount of the debentures; and
(ii) the name and address of, and his relationship with, each of the other persons having an interest in the shares or debentures or having a short position in the shares,
in which he is so taken to be interested or have a short position under each of those sections taken separately;
(l) where he no longer has an interest in shares in or debentures of, or a short position in shares in, the listed corporation or any associated corporation of the listed corporation, the fact that he no longer has such an interest or short position; and
(m) such other information as may be required in the form specified for the purpose.
(2) Where any shares the particulars of which have to be specified in a notification by a person under subsection (1)(b), (d), (f), (j) or (k) are the underlying shares of equity derivatives, the person shall also specify, subject to subsection (3), separately in the notification-
(a) the total number of shares which are the underlying shares of any of the following categories of equity derivatives that are listed or traded on a recognized stock market or traded on a recognized futures market, in which he was interested, or had a short position, immediately before the relevant time-
(i) cash settled equity derivatives (specifying separately if they are futures or options); or
(ii) physically settled equity derivatives (specifying separately if they are futures or options);
(b) the total number of shares which are the underlying shares of any of the following categories of equity derivatives that are neither listed or traded on a recognized stock market nor traded on a recognized futures market, in which he was interested, or had a short position, immediately before the relevant time-
(i) cash settled equity derivatives (specifying separately if they are futures or options); or
(ii) physically settled equity derivatives (specifying separately if they are futures or options);
(c) the total number of shares which are the underlying shares of any of the equity derivatives referred to in paragraph (a) in which he is interested, or has a short position, immediately after the relevant time;
(d) the total number of shares which are the underlying shares of any of the equity derivatives referred to in paragraph (b) in which he is interested, or has a short position, immediately after the relevant time;
(e) the period within which rights under each of the equity derivatives may be exercised ("exercise period"); and
(f) the expiry date of the exercise period.
(3) Where a duty of disclosure arises under section 341(1)-
(a) subsection (1)(b), (c) and (d) shall apply in relation to a person as if a reference to the listed corporation and any associated corporation of the listed corporation in that subsection was a reference to the corporation-
(i) in the shares in or debentures of which he has acquired an interest, or ceased to have an interest, at the relevant time;
(ii) in the shares in or debentures of which he has come to have, or ceased to have, a short position at the relevant time; or
(iii) the nature of his interest in the shares in or debentures of which changes at the relevant time;
(b) the particulars required to be specified under subsection (1)(i), (j) or (k) or (2) shall relate only to-
(i) the shares in which-
(A) he has (or is taken to have) acquired an interest, or ceased to have an interest, at the relevant time;
(B) he has (or is taken to have) come to have, or ceased to have, a short position at the relevant time; or
(C) the nature of his interest changes (or is taken to change) at the relevant time; and
(ii) the debentures in which-
(A) he has (or is taken to have) acquired an interest, or ceased to have an interest, at the relevant time; or
(B) the nature of his interest changes (or is taken to change) at the relevant time.
(4) Where a duty of disclosure arises under section 341(2)(a)(i), (b)(i), (c)(i) or (d)(i), a person shall, in performing the duty of disclosure, also specify in the notification-
(a) in respect of his interest in the shares which are the subject of the disclosure acquired-
(i) through an on-exchange transaction, the highest price and the average price paid per share for the interest acquired within 4 months immediately before the day on which the relevant event occurred; or
(ii) through an off-exchange transaction, the nature of the consideration given, and the highest amount and the average amount of the consideration given per share, for the interest acquired within 4 months immediately before the day on which the relevant event occurred; and
(b) in respect of his interest in the debentures which are the subject of the disclosure acquired-
(i) through an on-exchange transaction, the highest price and the average price paid per unit for the interest acquired within 4 months immediately before the day on which the relevant event occurred; or
(ii) through an off-exchange transaction, the nature of the consideration given, and the highest amount and the average amount of the consideration given per unit, for the interest acquired within 4 months immediately before the day on which the relevant event occurred.
(5) For the purposes of subsection (1)(b), "percentage figure" (百分率数字), subject to subsections (6) and (7), means the percentage figure found by expressing the number of all the shares in the listed corporation concerned or the associated corporation of the listed corporation in which the person is interested immediately before or immediately after (as the case may be) the relevant time as a percentage of the number of the issued shares in the listed corporation or associated corporation (as the case may be).
(6) For the purposes of subsection (5), where the listed corporation concerned or the associated corporation of the listed corporation grants to the person rights to subscribe for, or offers to the person, its shares, as part of a rights issue, the number of the issued shares in the listed corporation or associated corporation (as the case may be) at all times from the grant or offer (as the case may be) up to the completion or termination of the rights issue (whichever is the earlier) is taken to be the aggregate of-
(a) the number of the issued shares in the listed corporation or associated corporation (as the case may be) immediately before the grant or offer (as the case may be); and
(b) the number of the new shares to be issued upon the completion of the rights issue.
(7) For the purposes of subsection (5)-
(a) in determining the number of shares in which a person is interested, there shall be disregarded any short position which that person has in the shares which, if included in the calculation of the number of shares in which the person is interested, would reduce the number of shares in which the person is interested; and
(b) the particulars of the shares in which that person has a short position, or has ceased to have a short position, shall be specified separately in the notification.
(8) For the purposes of subsection (1)(d), "percentage figure" (百分率数字) means the percentage figure found by expressing the number of all the shares in the listed corporation concerned or the associated corporation of the listed corporation in which the person has a short position immediately before or immediately after (as the case may be) the relevant time as a percentage of the number of the issued shares in the listed corporation or associated corporation (as the case may be).
(9) Where the share capital of the listed corporation or the associated corporation of the listed corporation is divided into different classes of shares-
(a) a reference in this section to the number of shares in the listed corporation or associated corporation (as the case may be) in which the person is interested or has a short position shall be construed as a reference to the number of the shares in each of the classes taken separately; and
(b) a reference in this section to a percentage of the number of the issued shares in the listed corporation or associated corporation (as the case may be) shall be construed as a reference to a percentage of the number of the issued shares in each of the classes taken separately.
(10) In subsection (6), "completion" (完成), in relation to a rights issue, means the issue of shares in the listed corporation or the associated corporation of the listed corporation pursuant to the rights issue.
(11) Where an event on the occurrence of which a director or chief executive comes under a duty of disclosure under section 341 arises from the grant by the listed corporation, or any associated corporation of the listed corporation, of debentures or rights to subscribe for debentures, or the exercise or assignment of those rights so granted, the notification shall also specify-
(a) the-
(i) price paid or received-
(A) for the grant of those debentures or those rights; or
(B) on the exercise or assignment of those rights,
(or, in the case that no price is paid or received, that fact); or
(ii) consideration given or received-
(A) for the grant of those debentures or those rights; or
(B) on the exercise or assignment of those rights,
(or, in the case that no consideration is given or received, that fact),
(as the case may be);
(b) the period within which those rights may be exercised ("exercise period"); and
(c) the expiry date of the exercise period.
(12) Where an event on the occurrence of which a director or chief executive comes under a duty of disclosure under section 341 arises from the grant by the listed corporation, or any associated corporation of the listed corporation, of equity derivatives or rights under any equity derivatives, or the exercise or assignment of those rights so granted, the notification shall also specify the-
(a) price paid or received-
(i) for the grant of those equity derivatives or those rights; or
(ii) on the exercise or assignment of those rights,
(or, in the case that no price is paid or received, that fact); or
(b) consideration given or received-
(i) for the grant of those equity derivatives or those rights; or
(ii) on the exercise or assignment of those rights,
(or, in the case that no consideration is given or received, that fact),
(as the case may be).
(13) Subject to subsection (12), nothing in this section shall require details of the price that has been paid or may be payable, or the consideration that has been given or may be given, for or under equity derivatives (where the underlying shares of the equity derivatives are shares which are the subject of the disclosure) to be specified in the notification.

Section: 350 Heading: Duty to publish and notify Monetary Authority of information given under Division 9 Version Date: 01/04/2003


(1) Upon receipt of any information under any provision of this Division or any regulations made, or rules made by the Commission, for the purposes of this Division, the relevant exchange company shall forthwith publish such information in such manner and for such period as may be approved by the Commission.
(2) Whenever a listed corporation that is, or is the holding company of, an authorized financial institution receives information from a director or chief executive under any provision of this Division, the listed corporation is under a duty to notify the Monetary Authority of that information.
(3) If a listed corporation is under a duty to give any notification required by subsection (2), the notification shall be given before the end of the business day after the day on which that duty arises.
(4) If default is made in complying with subsection (2) or (3), the listed corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1.

Section: 351 Heading: Offences for non-compliance with notification requirements by director and chief executive Version Date: 01/04/2003


A person-
(a) who, without reasonable excuse, fails to perform, within the period specified in section 348(1)(a) or (b) or (2)(a) or (b) (as the case may be), a duty of disclosure arising under Division 7 in accordance with the provisions of this Part applicable to that duty; or
(b) who-
(i) in purported performance of any such duty makes to a listed corporation or to the relevant exchange company a statement which is false or misleading in a material particular; and
(ii) knows that, or is reckless as to whether, the statement is false or misleading in a material particular,
commits an offence and is liable-
(i) on conviction on indictment to a fine at level 6 and to imprisonment for 2 years; or
(ii) on summary conviction to a fine at level 3 and to imprisonment for 6 months.

条： 347 条文标题： 董事及最高行政人员须作出的具报 版本日期： 08/07/2005



第9分部─董事及最高行政人员
作出具报的规定

(1) 凡任何人根据第341条有披露责任，他须就以下事项向有关上市法团及有关交易所公司作出具报─
(a) 他拥有或不再拥有的该法团或其任何相联法团的股份或债权证的权益；及
(b) 他持有或不再持有的该法团或其任何相联法团的股份的淡仓(如有的话)。
(2) 任何本条规定的具报，须同时向有关上市法团及有关交易所公司作出，如上述做法并不切实可行，则须在紧接向该法团或该公司作出后，向另一方作出。 (由2005年第10号第202条修订)
(3) 证监会可藉宪报公告，一般地或就任何个别个案指明本条规定的具报所采用的表格，并在不局限上文的一般性的原则下，该会可在表格中─
(a) (不论第397(1)条有任何规定)附有关乎填具、签署、签立及认证该表格的方式的指令及指示；及
(b) 指明须随附该表格的文件。
(4) 为施行第(3)款，证监会可藉在于宪报刊登的公告中提述以证监会认为适当的电子方式另行发布的表格，指明该表格，以代替在于宪报刊登的公告中列明该表格。凡证监会以上述方法指明表格，则就所有目的而言，证监会须视为已妥善地根据第(3)款指明该表格。
(5) 为施行第(3)款，证监会可指明在不同情况下采用不同表格。
(6) 除第(7)款另有规定外，凡证监会已根据第(3)款，就本条规定须在一项披露责任根据第341条产生时作出的具报指明表格，则除非该具报符合以下条件，否则该责任不得视为已履行─
(a) 采用指明的表格；
(b) 按照附于该表格的指示及指令填具、签署、签立及认证；及
(c) 附有该表格指明的随附文件。
(7) 任何本条规定的具报不得由于偏离第(3)款提述的公告指明的表格的格式而不被视为采用该表格，但前提是该项偏离不影响该表格的实质内容。
(8) 依据第(3)款刊登的公告不是附属法例。

条： 348 条文标题： 董事及最高行政人员作出具报的时间 版本日期： 01/04/2003



(1) 凡披露责任是根据第341(1)(a)、(b)、(c)、(d)、(e)或(f)条产生的，第347条规定的具报须─
(a) (如在有关事件发生时有关的人知道有此事发生)在有关事件发生当日后3个营业日内作出；或
(b) (如属其他情况)在有关的人知道有关事件发生当日后3个营业日内作出。
(2) 凡披露责任是根据第341(2)条产生的─
(a) 第347条规定的具报须在有关事件发生当日后10个营业日内作出；或
(b) 如在有关事件发生时有关的人不察觉─
(i) 他拥有有关上市法团或其任何相联法团的股份或债权证的权益；或
(ii) 他持有有关上市法团或其任何相联法团的股份的淡仓，
则第347条规定的具报须在他察觉他拥有该项权益或持有该淡仓(视属何情况而定)当日后10个营业日内作出。

条： 349 条文标题： 董事及最高行政人员作出的具报须载有的详情 版本日期： 01/04/2003



(1) 凡有披露责任根据第341条产生，任何人在履行该等责任时，须在有关具报中指明自己的姓名或名称及地址，表明自己的身分是董事或最高行政人员(视属何情况而定)，以及(尽其所知)─
(a) 指明有关事件发生的日期，及─
(i) 他察觉有关事件发生的日期(如他是在较后的日期才察觉的话)；或
(ii) (如属第348(2)(b)条提述的情况)他察觉他拥有有关上市法团或其相联法团的股份或债权证的权益或持有该等股份的淡仓(视属何情况而定)的日期；
(b) 在符合第(3)款的规定下，指明以下股份的总数及类别─
(i) 他在紧接有关时间之前拥有权益的有关上市法团及其任何相联法团的股份，并指明他拥有的每一类别该等股份权益所占的百分率数字；及
(ii) 他在紧接有关时间之后拥有权益的有关上市法团及其任何相联法团的股份，并指明他拥有的每一类别该等股份权益所占的百分率数字；
(c) 在符合第(3)款的规定下，指明以下债权证的数额─
(i) 他在紧接有关时间之前拥有权益的有关上市法团及其任何相联法团的债权证；及
(ii) 他在紧接有关时间之后拥有权益的有关上市法团及其任何相联法团的债权证；
(d) 在符合第(3)款的规定下，指明以下股份的总数及类别─
(i) 他在紧接有关时间之前持有淡仓的有关上市法团及其任何相联法团的股份，并指明他持有的每一类别该等股份的淡仓所占的百分率数字；及
(ii) 他在紧接有关时间之后持有淡仓的有关上市法团及其任何相联法团的股份，并指明他持有的每一类别该等股份的淡仓所占的百分率数字；
(e) 指明导致产生披露责任的情况；
(f) 凡披露责任是根据第341(1)条产生的─
(i) 指明符合以下说明的有关上市法团或其任何相联法团的股份的数目及类别─
(A) 他在有关时间已取得该等股份的权益或不再拥有该等股份的权益；
(B) 他在有关时间已持有该等股份的淡仓或不再持有该等股份的淡仓；或
(C) 他在该等股份中所拥有的权益的性质在有关时间有所改变；及
(ii) 指明符合以下说明的有关上市法团或其任何相联法团的债权证的数额─
(A) 他在有关时间已取得该等债权证的权益或不再拥有该等债权证的权益；或
(B) 他在该等债权证中所拥有的权益的性质在有关时间有所改变；
(g) 如他是─
(i) 透过场内交易而取得或处置(f)(i)(A)段提述的权益，则指明他为该等权益而支付或收取的以每一股计算的最高价格及平均价格(如并无支付或收取任何价格，则指明此一事实)；或
(ii) 透过场外交易而取得或处置(f)(i)(A)段提述的权益，则指明他为该等权益而付出或收取的代价的性质，及以每一股计算的该代价的最高数额及平均数额(如并无付出或收取任何代价，则指明此一事实)；
(h) 如他是─
(i) 透过场内交易而取得或处置(f)(ii)(A)段提述的权益，则指明他为该等权益而支付或收取的以每一单位计算的最高价格及平均价格(如并无支付或收取任何价格，则指明此一事实)；或
(ii) 透过场外交易而取得或处置(f)(ii)(A)段提述的权益，则指明他为该等权益而付出或收取的代价的性质，及以每一单位计算的该代价的最高数额及平均数额(如并无付出或收取任何代价，则指明此一事实)；
(i) 在符合第(3)款的规定下，指明他是以哪种身分在紧接有关时间之后拥有有关上市法团或其任何相联法团的股份或债权证的权益或持有该等股份的淡仓；如该等权益或淡仓是以多于一种身分拥有或持有，则指明以每种身分拥有权益或持有淡仓所涉的股份的数目或债权证的数额；
(j) 凡在某情况下，他拥有的有关上市法团或其任何相联法团的股份或债权证的权益的性质在紧接有关时间之前和之后并不相同，而披露责任在该情况下产生，则在符合第(3)款的规定下，指明他拥有的该等股份或债权证的权益在紧接有关时间之前和之后的性质；
(k) 凡他根据第344(1)、344(2)、344(3)或345(14)条视为拥有有关上市法团或其任何相联法团的股份或债权证的权益或持有该等股份的淡仓，则在符合第(3)款的规定下，须就该四条条文中的每一条分别指明─
(i) 关乎该条的该等股份的数目及类别或该等债权证的数额；及
(ii) 每名亦拥有关乎该条的该等股份或债权证的权益或持有该等淡仓的其他人的姓名或名称及地址，及他与该其他人的关系；
(l) 凡他不再拥有有关上市法团或其任何相联法团的股份或债权证的权益或不再持有该等股份的淡仓，则指明此一事实；及
(m) 指明为此目的而指明的表格或格式规定须载有的其他资料。
(2) 凡某人根据第(1)(b)、(d)、(f)、(j)或(k)款须在具报中指明详情的股份是股本衍生工具的相关股份，他亦须在符合第(3)款的规定下，在该具报中另外指明─
(a) 属以下任何一类在认可证券市场上市或买卖或在认可期货市场买卖的股本衍生工具的相关股份的股份总数─
(i) 现金结算股本衍生工具(如属期货或期权，须另外指明)；或
(ii) 实物结算股本衍生工具(如属期货或期权，须另外指明)，
而他是在紧接有关时间之前拥有该等股份的权益或持有该等股份的淡仓；
(b) 属以下任何一类既无在认可证券市场上市或买卖亦无在认可期货市场买卖的股本衍生工具的相关股份的股份总数─
(i) 现金结算股本衍生工具(如属期货或期权，须另外指明)；或
(ii) 实物结算股本衍生工具(如属期货或期权，须另外指明)，
而他是在紧接有关时间之前拥有该等股份的权益或持有该等股份的淡仓；
(c) 属(a)段提述的任何一类股本衍生工具的相关股份的股份总数，而该人是在紧接有关时间之后拥有该等股份的权益或持有该等股份的淡仓；
(d) 属(b)段提述的任何一类股本衍生工具的相关股份的股份总数，而该人是在紧接有关时间之后拥有该等股份的权益或持有该等股份的淡仓；
(e) 行使在每种股本衍生工具下的权利的限期(“行使期”)；及
(f) 行使期的届满日期。
(3) 凡披露责任是根据第341(1)条产生的─
(a) 第(1)(b)、(c)及(d)款须在犹如该款中提述上市法团及其任何相联法团之处是提述符合以下说明的法团的情况下，就有关的人而适用─
(i) 他在有关时间已取得该法团的股份或债权证的权益或不再拥有该等股份或债权证的权益；
(ii) 他在有关时间已持有该法团的股份或债权证的淡仓或不再持有该等股份或债权证的淡仓；或
(iii) 他在该法团的股份或债权证中拥有的权益的性质在有关时间有所改变；
(b) 第(1)(i)、(j)或(k)或(2)款规定指明的详情须只关乎─
(i) 符合以下说明的股份─
(A) 他在有关时间已(或视作已)取得该等股份的权益或不再拥有该等股份的权益；
(B) 他在有关时间已(或视作已)持有该等股份的淡仓或不再持有该等股份的淡仓；或
(C) 他在该等股份中拥有的权益的性质在有关时间有所改变(或视作有所改变)；及
(ii) 符合以下说明的债权证─
(A) 他在有关时间已(或视作已)取得该等债权证的权益或不再拥有该等债权证的权益；或
(B) 他在该等债权证中拥有的权益的性质在有关时间有所改变(或视作有所改变)。
(4) 凡有披露责任根据第341(2)(a)(i)、(b)(i)、(c)(i)或(d)(i)条产生，任何人在履行该责任时，亦须在有关具报中─
(a) 就他─
(i) 透过场内交易取得的属该项披露的标的的股份权益，指明他在紧接有关事件发生当日之前的4个月内，为取得该等权益而支付的以每一股计算的最高价格及平均价格；或
(ii) 透过场外交易取得的属该项披露的标的的股份权益，指明他在紧接有关事件发生当日之前的4个月内，为取得该等权益而付出的代价的性质，及以每一股计算的该代价的最高数额及平均数额；及
(b) 就他─
(i) 透过场内交易取得的属该项披露的标的的债权证权益，指明他在紧接有关事件发生当日之前的4个月内，为取得该等权益而支付的以每一单位计算的最高价格及平均价格；或
(ii) 透过场外交易取得的属该项披露的标的的债权证权益，指明他在紧接有关事件发生当日之前的4个月内，为取得该等权益而付出的代价的性质，及以每一单位计算的该代价的最高数额及平均数额。
(5) 在不抵触第(6)及(7)款的条文下，就第(1)(b)款而言，“百分率数字”(percentage figure) 指以下述方式表达的百分率数字∶在紧接有关时间之前或之后(视属何情况而定)在有关上市法团或其相联法团的股份中所有属该人拥有权益的股份数目，在该法团或相联法团(视属何情况而定)的已发行股份数目中所占的百分率。
(6) 为施行第(5)款，凡有关上市法团或其相联法团作为供股的一部分，而批予有关的人认购该上市法团或相联法团的股份的权利，或向有关的人提出该上市法团或相联法团的股份的要约，则该上市法团或相联法团(视属何情况而定)的已发行股份自作出该项批予或提出该项要约(视属何情况而定)开始至该项供股完成或终止(以较早者为准)之间所有时间的数目，须视为以下数目的总和─
(a) 在紧接作出该项批予或提出该项要约(视属何情况而定)之前该上市法团或相联法团(视属何情况而定)的已发行股份数目；及
(b) 在完成该项供股时将予以发行或将就其提出要约的新股份数目。
(7) 为施行第(5)款，在厘定任何人拥有权益的股份的数目时─
(a) 如在计算他拥有权益的股份的数目时，将他持有的股份的淡仓计算在内，是会减低他拥有权益的股份的数目的，则不得将该等淡仓计算在内；及
(b) 须在有关具报中另外指明该人持有或不再持有淡仓所涉的股份的详情。
(8) 就第(1)(d)款而言，“百分率数字”(percentage figure) 指以下述方式表达的百分率数字∶在紧接有关时间之前或之后(视属何情况而定)所有由有关的人持有淡仓的有关上市法团或其相联法团的股份的数目，在该法团或相联法团(视属何情况而定)的已发行股份数目中所占的百分率。
(9) 凡上市法团或其相联法团的股本分为不同类别的股份─
(a) 在本条中，凡提述某人拥有权益的该上市法团或相联法团(视属何情况而定)的股份或持有淡仓的该等股份的数目，须解释为提述分开处理的每一该等类别中的股份的数目；及
(b) 在本条中，凡提述该上市法团或相联法团(视属何情况而定)的已发行股份的数目的一个百分率，须解释为提述分开处理的每一该等类别中的已发行股份的数目的一个百分率。
(10) 在第(6)款中，“完成”(completion) 就某项供股而言，指依据该项供股而发行有关上市法团或其相联法团的股份。
(11) 凡发生某事件以致根据第341条任何董事或最高行政人员有披露责任，而该事件是有关上市法团或其任何相联法团将债权证或认购债权证的权利授予他而导致，或是因行使或转让该等权利而导致，则具报亦须载有一项陈述，述明─
(a) (i) 以下价格─
(A) 就该项授予所支付或收取的价格；或
(B) 在行使或转让该等权利时所支付或收取的价格，
(如并无支付或收取任何价格，则述明此一事实)；或
(ii) 以下代价─
(A) 就该项授予所付出或收取的代价；或
(B) 在行使或转让该等权利时所付出或收取的代价，
(如并无付出或收取任何代价，则述明此一事实)，
视属何情况而定；
(b) 可行使该等权利的限期(“行使期间”)；及
(c) 行使期间的届满日期。
(12) 凡发生某事件以致根据第341条任何董事或最高行政人员有披露责任，而该事件是因有关上市法团或其任何相联法团将股本衍生工具或任何股本衍生工具下的权利授予他而导致，或是因行使或转让该等权利而导致，则具报亦须指明─
(a) 以下价格─
(i) 就该项授予所支付或收取的价格；或
(ii) 在行使或转让该等权利时所支付或收取的价格，
(如并无支付或收取任何价格，则述明此一事实)；或
(b) 以下代价─
(i) 就该项授予所付出或收取的代价；或
(ii) 在行使或转让该等权利时所付出或收取的代价，
(如并无付出或收取任何代价，则述明此一事实)，
视属何情况而定。
(13) 在不抵触第(12)款的条文下，凡任何股本衍生工具的相关股份是某项披露的标的的股份，本条并不规定须在有关具报中，指明已就或可能须就(或已根据或可能须根据)该等股本衍生工具支付的价格或付出的代价的详情。

条： 350 条文标题： 将根据第9分部提供的资料发表及向金融管理专员作出具报的责任 版本日期： 01/04/2003



(1) 有关交易所公司在接获根据本分部、为施行本分部而订立的规例或证监会为施行本分部而订立的规则任何条文提供的资料后，须随即按证监会批准的方式并在该会批准的期间内，发表该等资料。
(2) 如任何上市法团是认可财务机构或该机构的控股公司，则每当该法团接获董事或最高行政人员根据本分部任何条文提供的资料后，该法团有责任向金融管理专员具报该资料。
(3) 如作出第(2)款所规定的具报的责任于某日产生，该具报须在该日后第一个营业日内作出。
(4) 如有违责情况以致第(2)或(3)款不获遵守，则有关上市法团及其每名违责的高级人员均属犯罪，一经定罪，可各处第1级罚款。

条： 351 条文标题： 董事及最高行政人员不遵从具报规定的罪行 版本日期： 01/04/2003



任何人─
(a) 无合理辩解而没有在第348(1)(a)或(b)或(2)(a)或(b)条(视属何情况而定)指明的期间内，按照本分部适用于根据第7分部产生的披露责任的条文，履行该责任；或
(b) 如─
(i) 在看来是履行任何该等责任时，向上市法团或有关交易所公司作出在要项上属虚假或具误导性的陈述；且
(ii) 知道该陈述在要项上属虚假或具误导性，或罔顾该陈述是否在要项上属虚假或具误导性，
即属犯罪─
(i) 一经循公诉程序定罪，可处第6级罚款及监禁2年；或
(ii) 一经循简易程序定罪，可处第3级罚款及监禁6个月。


条： 351 条文标题： 董事及最高行政人员不遵从具报规定的罪行 版本日期： 01/04/2003



任何人─
(a) 无合理辩解而没有在第348(1)(a)或(b)或(2)(a)或(b)条(视属何情况而定)指明的期间内，按照本分部适用于根据第7分部产生的披露责任的条文，履行该责任；或
(b) 如─
(i) 在看来是履行任何该等责任时，向上市法团或有关交易所公司作出在要项上属虚假或具误导性的陈述；且
(ii) 知道该陈述在要项上属虚假或具误导性，或罔顾该陈述是否在要项上属虚假或具误导性，
即属犯罪─
(i) 一经循公诉程序定罪，可处第6级罚款及监禁2年；或
(ii) 一经循简易程序定罪，可处第3级罚款及监禁6个月。

Section: 352 Heading: Register of directors' and chief executives' interests and short positions Version Date: 01/04/2003


Division 10-Keeping of register of directors' and
chief executives' interests and short positions

(1) Every listed corporation shall keep a register of directors' and chief executives' interests and short positions.
(2) Whenever a listed corporation receives information from a director or chief executive given in performance of a duty of disclosure imposed on him by any provision of Divisions 7 to 9, the listed corporation is under a duty to record in the register, against the director's name or the chief executive's name (as the case may be), the information received and the date of the entry.
(3) The listed corporation is also under a duty, whenever it grants to a director or chief executive a right to subscribe for shares in or debentures of the listed corporation, to record in the register against his name-
(a) the date on which the right is granted;
(b) the period during which, or the time at which, the right is exercisable;
(c) the consideration for the grant (or, if there is no consideration, that fact); and
(d) the description of the shares or debentures involved, the number of those shares or amount of those debentures, and the price to be paid for them (or the consideration, if otherwise than in money).
(4) Whenever the right referred to in subsection (3) is exercised by a director or chief executive, the listed corporation is under a duty to record in the register against his name-
(a) that fact (identifying the right);
(b) the number of shares or amount of debentures in respect of which it is exercised; and
(c) if-
(i) they were registered in his name, that fact; or
(ii) they were not registered in his name, the name or names of the person or persons in whose name or names they were registered, together (if they were registered in the names of 2 persons or more) with the number of the shares or amount of the debentures registered in the name of each of them.
(5) A duty imposed by subsection (2), (3) or (4) shall be performed within 3 business days after the day on which that duty arises.
(6) A listed corporation is not, by virtue of anything done for the purposes of this section, affected with notice of, or put upon enquiry as to, the rights of any person in relation to any shares or debentures or equity derivatives.
(7) The register must be so made up that the entries against the several names recorded in it appear in chronological order.
(8) Unless the register is in such form as to constitute in itself an index, the listed corporation shall keep an index of the names recorded in the register which shall in respect of each name contain a sufficient indication to enable the information recorded against it to be readily found.
(9) The listed corporation shall, within 10 business days after the day on which a name is recorded in the register, make any necessary alteration in the index.
(10) Subject to section 283 of the Companies Ordinance (Cap 32), if the corporation ceases to be a listed corporation, it shall continue to keep the register and any index until the end of the period of 6 years beginning with the day next following that on which it ceases to be a listed corporation.
(11) The register and any index-
(a) shall be kept at the place where the corporation's register of interests in shares and short positions is kept; and
(b) shall, for the purposes of Divisions 7 to 9 and for the purposes of-
(i) enabling members of the public to ascertain-
(A) the identities and the particulars of directors and chief executives (as well as their spouses and minor children) who have or had any interest or short position in shares in, or any interest in debentures of, the listed corporation or any associated corporation of the listed corporation;
(B) the nature and the particulars of the interest or short position; and
(C) the capacity in which a person holds or held the interest or short position; and
(ii) providing the investing public with information to enable them to make informed investment decisions,
be made available, subject to subsection (12), for inspection in accordance with section 355.
(12) Neither the register nor any index shall be made available for inspection in accordance with section 355 in so far as it contains information with respect to a corporation for the time being entitled to avail itself of the benefit conferred by section 128(3) or 129(3) of the Companies Ordinance (Cap 32).
(13) The corporation shall send notice in the form specified by the Commission for the purposes of this section to the Registrar of Companies of-
(a) the place where the register is kept; and
(b) any change in that place,
unless the register has at all times been kept at the corporation's registered office.
(14) The duty imposed by subsection (13) shall be performed within 10 business days after the day on which the register is so kept or the change takes place (as the case may be).
(15) The register shall be produced at the commencement of the corporation's annual general meeting and remain open and accessible during the continuance of the meeting to any person attending the meeting.
(16) If default is made in complying with any provision of this section, the listed corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(17) For the purposes of this section, a reference to books and papers in section 283 of the Companies Ordinance (Cap 32) shall be construed as including a reference to the register and index required to be kept by a corporation under this section.


Section: 353 Heading: Removal of entries from register of directors' and chief executives' interests and short positions Version Date: 01/04/2003


(1) A corporation may remove an entry against a person's name from its register of directors' and chief executives' interests and short positions if more than 6 years have expired since the date of the entry being made, and either-
(a) that entry recorded the fact that the person in question had ceased to have an interest notifiable under any provision of this Division or Divisions 7 to 9 in shares in or debentures of the corporation or any associated corporation of the corporation; or
(b) it has been superseded by a later entry made under section 352 against the same person's name,
and, in a case under paragraph (a), the corporation may also remove that person's name from the register.
(2) If a person in pursuance of a duty imposed on him by any provision of this Division or Divisions 7 to 9 gives to a listed corporation the name and address of another person as being interested in shares in or debentures of, or having a short position in shares in, the corporation or any associated corporation of the corporation, the corporation shall, within 10 business days after the day on which it was given that information, notify the other person that he has been so named and shall include in that notification-
(a) particulars of any entry relating to him made, in consequence of its being given that information, by the corporation in its register of directors' and chief executives' interests and short positions; and
(b) a statement informing him of his right to apply to have the entry removed in accordance with the following provisions of this section.
(3) A person who has been notified by a listed corporation under subsection (2) that an entry relating to him has been made in the corporation's register of directors' and chief executives' interests and short positions may apply in writing to the corporation for the removal of that entry from the register; and the corporation shall remove the entry if satisfied that the information in pursuance of which the entry was made was incorrect.
(4) If an application under subsection (3) is refused, the applicant may apply to the Court of First Instance for an order directing the corporation to remove the entry in question from the register; and the Court of First Instance may, if it considers appropriate, make such an order.
(5) Where a name or an entry is removed from a corporation's register of directors' and chief executives' interests and short positions in pursuance of subsection (1) or (3) or an order under subsection (4), the corporation shall within 10 business days after the date of that removal make any necessary alteration in any index.
(6) If default is made in complying with subsection (2) or (5), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.


Section: 354 Heading: Otherwise, entries not to be removed from register of directors' and chief executives' interests and short positions Version Date: 01/04/2003


(1) Entries in a corporation's register of directors' and chief executives' interests and short positions shall not be removed except in accordance with section 353.
(2) If an entry is removed from a corporation's register of directors' and chief executives' interests and short positions in contravention of subsection (1), the corporation shall restore that entry to the register as soon as reasonably practicable.
(3) If default is made in complying with subsection (1) or (2), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.


Section: 354 Heading: Otherwise, entries not to be removed from register of directors' and chief executives' interests and short positions Version Date: 01/04/2003


(1) Entries in a corporation's register of directors' and chief executives' interests and short positions shall not be removed except in accordance with section 353.
(2) If an entry is removed from a corporation's register of directors' and chief executives' interests and short positions in contravention of subsection (1), the corporation shall restore that entry to the register as soon as reasonably practicable.
(3) If default is made in complying with subsection (1) or (2), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.

Section: 355 Heading: Inspection of register of directors' and chief executives' interests and short positions Version Date: 01/04/2003


(1) Any register of directors' and chief executives' interests and short positions shall, during business hours (subject to such reasonable restrictions as the corporation concerned may in general meeting impose, but so that not less than 2 hours in each day are allowed for inspection), be open to inspection by any member of the corporation without charge or by any other person on payment of $10, or such less sum as the corporation may determine, for each inspection.
(2) Any member of the corporation or any other person may require a copy of any such register, or any part of it, on payment of $2, or such less sum as the corporation may determine, for each page required to be copied; and the corporation shall cause any copy so required by a member or person to be sent to him within 10 business days after the day on which the requirement is received by the corporation.
(3) If an inspection of the register required under this section is refused or a copy so required is not sent within the period specified in subsection (2), the corporation and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(4) In the case of a refusal of an inspection of the register required under this section, the Court of First Instance may by order compel an immediate inspection of it.
(5) In the case of a failure to send within the period specified in subsection (2) a copy required under this section, the Court of First Instance may by order direct that the copy required shall be sent to the person requiring it.
(6) The Commission may by rules amend the sum specified in subsection (1) or (2).