关键词：Securities

Schedule: 2 Heading: SECURITIES AND FUTURES COMMISSION Version Date: 23/06/2006


[sections 3, 7 & 10 &
Schedules 1 & 10]

PART 1

CONSTITUTION AND PROCEEDINGS OF COMMISSION, ETC.

Chairman, chief executive officer and other members of Commission
(Amended 15 of 2006 s. 6)

1. The Commission shall consist of a chairman, a chief executive officer and such number of other executive directors and non-executive directors as is determined by the Chief Executive, all of whom shall be appointed by the Chief Executive as follows- (Amended 15 of 2006 s. 6)
(a) the number of members of the Commission shall not be less than 8; and
(b) the number of non-executive directors of the Commission shall exceed the number of executive directors of the Commission. (Replaced 15 of 2006 s. 6)

2. (Repealed 15 of 2006 s. 6)

3. When the membership of the Commission ceases to comply with the requirements of section 1, the Chief Executive shall as soon as reasonably practicable thereafter make the necessary appointment to ensure that the requirements are complied with.

Deputy chairman and vacancies in office of
chairman or deputy chairman


4. The Chief Executive may appoint an executive director or non-executive director of the Commission to be the deputy chairman of the Commission. (Amended 15 of 2006 s. 6)

5. If the office of chairman of the Commission is vacant or the chairman of the Commission is unable to act as chairman due to illness, absence from Hong Kong or any other cause, the deputy chairman appointed under section 4 shall act as chairman in his place.

6. Notwithstanding that a deputy chairman has been appointed under section 4, the chairman of the Commission may, where there is no designation under section 7, designate an executive director or non-executive director of the Commission to act as chairman of the Commission for any period during which both he and the deputy chairman are unable to act as chairman due to illness, absence from Hong Kong or any other cause, and may at any time revoke any such designation. (Amended 15 of 2006 s. 6)

7. If-
(a) no deputy chairman has been appointed under section 4 or the office of deputy chairman of the Commission is vacant; or
(b) the deputy chairman appointed under section 4 is unable to act as chairman due to illness, absence from Hong Kong or any other cause, and there is no designation under section 6,
the Financial Secretary may designate an executive director or non-executive director of the Commission to act as chairman of the Commission for any period during which the chairman of the Commission is unable to act as chairman due to illness, absence from Hong Kong or any other cause. (Amended 15 of 2006 s. 6)

8. A designation under section 7 ceases to have effect when-
(a) it is revoked by the Financial Secretary;
(b) where the designation is under section 7(a), an appointment is made under section 4; or
(c) where the designation is under section 7(b), the deputy chairman appointed under section 4 is able to act as chairman,
whichever is the earlier.

9. A deputy chairman of the Commission who acts as chairman of the Commission under section 5, or an executive director or non-executive director of the Commission who acts as chairman of the Commission in accordance with a designation under section 6 or 7, shall be deemed for all purposes to be the chairman of the Commission. (Replaced 15 of 2006 s. 6)

9A. Notwithstanding section 9-
(a) an executive director of the Commission shall not cease to be regarded as such only because of his acting as chairman of the Commission; and
(b) a non-executive director of the Commission shall not cease to be regarded as such only because of his acting as chairman of the Commission. (Added 15 of 2006 s. 6)
Vacancy in office of chief executive officer
(Added 15 of 2006 s. 6)
9B. The Chief Executive may designate an executive director of the Commission to act as chief executive officer of the Commission for any period during which the chief executive officer of the Commission is unable to act as chief executive officer due to illness, absence from Hong Kong or any other cause, and may at any time revoke any such designation. (Added 15 of 2006 s. 6)

9C. An executive director of the Commission who acts as chief executive officer of the Commission shall be deemed for all purposes to be the chief executive officer of the Commission. (Added 15 of 2006 s. 6)

Functions and office of members, etc.
(Amended 15 of 2006 s. 6)
9D. Subject to the other provisions of this Ordinance, the chairman, deputy chairman and chief executive officer of the Commission shall have such functions as are assigned to them by the Commission. (Added 15 of 2006 s. 6)

10. The terms and conditions of the office of a member of the Commission (whether as the chairman, deputy chairman, chief executive officer or otherwise) shall be determined by the Chief Executive. (Amended 15 of 2006 s. 6)

11. A member of the Commission (whether as the chairman, deputy chairman, chief executive officer or otherwise) may at any time resign his office by notice in writing to the Chief Executive. (Amended 15 of 2006 s. 6)

12. A member of the Commission (whether as the chairman, deputy chairman, chief executive officer or otherwise) shall be paid by the Commission such remuneration, allowances or expenses as the Chief Executive may determine. (Amended 15 of 2006 s. 6)

13. The Chief Executive may by notice in writing remove from office any member of the Commission (whether as the chairman, deputy chairman, chief executive officer or otherwise) whose removal appears to him to be desirable for the effective performance by the Commission of its functions. (Amended 15 of 2006 s. 6)

Meetings

14. Meetings of the Commission shall be held as often as may be necessary for the performance of its functions, and may be convened by the chairman, deputy chairman, chief executive officer, or any 2 other members, of the Commission. (Amended 15 of 2006 s. 6)

15. At a meeting of the Commission-
(a) if the chairman of the Commission is present, he shall be the chairman of the meeting;
(b) if the chairman of the Commission is not present but the deputy chairman of the Commission is present, the deputy chairman shall be the chairman of the meeting; or
(c) if neither the chairman nor the deputy chairman of the Commission is present, the members of the Commission present shall choose one of their number to be the chairman of the meeting.

16. The quorum for a meeting of the Commission is not less than one third of the executive directors of the Commission and not less than one third of the non-executive directors of the Commission.

16A. For the purpose of forming a quorum under section 16-
(a) subject to paragraph (b), the chairman of the Commission shall be counted as a non-executive director of the Commission; and
(b) notwithstanding sections 9 and 9A-
(i) an executive director of the Commission who acts as chairman of the Commission shall only be counted as an executive director of the Commission; and
(ii) a non-executive director of the Commission who acts as chairman of the Commission shall only be counted as a non-executive director of the Commission. (Added 15 of 2006 s. 6)

17. A member of the Commission shall be regarded as being present at a meeting of the Commission if he participates in the meeting by telephone, video conferencing or other electronic means, provided he is able to hear the other members present at the meeting and they are able to hear him.

18. Each member of the Commission present at a meeting of the Commission has one vote.

19. Every question for decision at a meeting of the Commission shall be determined by a majority of votes of its members present and, in the event that voting is equally divided, the chairman of the meeting shall, subject to section 20, have a casting vote.

20. The chairman of a meeting of the Commission shall not exercise a casting vote in respect of any question for decision at the meeting until after he has consulted the Financial Secretary on the question.

Written resolution


21. Where a resolution-
(a) is in writing; and
(b) is signed by such number of members of the Commission as-
(i) would include all of the members of the Commission who are, at any time when the resolution is made available for signature, present in Hong Kong and capable of signing the resolution; and
(ii) is also not less than one third of the executive directors of the Commission and not less than one third of the non-executive directors of the Commission,
the resolution shall be as valid and effectual as if it had been passed at a meeting of the Commission convened and conducted in accordance with this Ordinance.

22. For the purposes of section 21, a resolution to which that section applies may be-
(a) in the form of one document; or
(b) in the form of more than one document, each in the like form and signed by one or more members of the Commission.

23. Where a resolution is in the form of more than one document as described in section 22(b), the requirement under section 21(b) shall be regarded as having been satisfied if the documents together bear the signatures of such number of members of the Commission as is specified in section 21(b)(i) and (ii).

24. For the purposes of sections 21 to 23-
(a) a document shall be regarded as having been signed by a member of the Commission if a telex, cable, facsimile or electronic transmission of a document bears the signature of the member; and
(b) a resolution to which section 21 applies shall be regarded as made on the date on which the resolution is signed by the last person signing as a member of the Commission for the purposes of that section.

Seal, and regulation of administration, etc.
25. The Commission shall have a seal, the affixing of which shall be authenticated by the signature of the chairman or the deputy chairman of the Commission, or by the signature of such other member of the Commission as is authorized by it to act in that behalf.

26. The Commission shall organize and regulate its administration, procedure and business in such manner as it considers will, subject to the requirements of this Ordinance, best ensure the performance of its functions.

Advisory Committee

27. The Advisory Committee shall consist of-
(a) the chairman of the Commission;
(aa) the chief executive officer of the Commission; (Added 15 of 2006 s. 6)
(b) not more than 2 other executive directors of the Commission who shall be appointed by the Commission;
(c) not less than 8 (but not more than 12) other members who shall be appointed by the Chief Executive after consultation with the Commission.

28. A meeting of the Advisory Committee may be convened by-
(a) the chairman of the Commission; (Amended 15 of 2006 s. 6)
(aa) the chief executive officer of the Commission; or (Added 15 of 2006 s. 6)
(b) any 3 other members of the Advisory Committee.

29. At a meeting of the Advisory Committee-
(a) if the chairman of the Commission is present, he shall be the chairman of the meeting; or
(b) if the chairman of the Commission is not present, the members of the Advisory Committee present shall choose one of their number to be the chairman of the meeting.

30. Where a member of the Advisory Committee appointed under section 27(b) ceases to be an executive director of the Commission, he ceases to be a member of the Advisory Committee.

31. A member of the Advisory Committee appointed under section 27(b) or (c) may at any time resign his office by notice in writing to-
(a) where he has been appointed under section 27(b), the Commission; or
(b) where he has been appointed under section 27(c), the Chief Executive.

32. The Chief Executive may by notice in writing remove from office any member of the Advisory Committee appointed under section 27(c).

PART 2

NON-DELEGABLE FUNCTIONS OF COMMISSION

1. Any function of the Commission to make subsidiary legislation under or pursuant to any Ordinance.

2. The following functions of the Commission-
(1) to borrow money, under section 5(4)(d) of this Ordinance;
(2) to publish or otherwise make available materials, under section 5(4)(e) of this Ordinance;
(3) to establish any committee, under section 8(1) of this Ordinance;
(4) to refer any matter to a committee, under section 8(2) of this Ordinance;
(5) to appoint a person to be a member or chairman of a committee, under section 8(3) of this Ordinance;
(6) to withdraw a reference from a committee, or to revoke an appointment of a member or chairman of a committee, under section 8(5) of this Ordinance;
(7) to submit to the Chief Executive estimates, under section 13(2) of this Ordinance;
(8) to prepare any financial statements, under section 15(2) of this Ordinance;
(9) to prepare any report, under section 15(3) of this Ordinance;
(10) to appoint auditors, under section 16(1) of this Ordinance;
(11) to invest funds, under section 17 of this Ordinance;
(12) to recognize a company as an exchange company under, or to impose conditions pursuant to, section 19(2) of this Ordinance;
(13) to amend or revoke conditions, or impose new conditions, under section 19(3) of this Ordinance;
(14) to give a company a reasonable opportunity of being heard, under section 19(7) of this Ordinance;
(15) to request a recognized exchange company to make or amend rules, under section 23(3) of this Ordinance;
(16) to refuse to give approval to any rules or amendment of any rules, or any part thereof, under section 24(3) of this Ordinance;
(17) to advise the Financial Secretary to extend time, pursuant to section 24(6) of this Ordinance;
(18) to declare any class of rules to be a class of rules which are not required to be approved, under section 24(7) of this Ordinance;
(19) to request the Chief Executive in Council to transfer any function of the Commission, under section 25(1) of this Ordinance;
(20) to request the Chief Executive in Council to order that the Commission resume any function, pursuant to section 25(7) of this Ordinance;
(21) to approve the appointment of a person as chief executive, pursuant to section 26 of this Ordinance;
(22) to withdraw recognition of a recognized exchange company, under section 28(1)(a) of this Ordinance;
(23) to direct a recognized exchange company to cease to provide or operate facilities or to cease to provide services, under section 28(1)(b) of this Ordinance;
(24) to direct a recognized exchange company to cease to provide or operate facilities or to cease to provide services, under section 29(1) of this Ordinance;
(25) to extend a direction, under section 29(3) of this Ordinance;
(26) to recognize a company as a clearing house under, or to impose conditions pursuant to, section 37(1) of this Ordinance;
(27) to amend or revoke conditions, or impose new conditions, under section 37(2) of this Ordinance;
(28) to give a company a reasonable opportunity of being heard, under section 37(5) of this Ordinance;
(29) to request a recognized clearing house to make or amend rules, under section 40(4) of this Ordinance;
(30) to refuse to give approval to any rules or amendment of any rules, or any part thereof, under section 41(3) of this Ordinance;
(31) to advise the Financial Secretary to extend time, pursuant to section 41(6) of this Ordinance;
(32) to declare any class of rules to be a class of rules which are not required to be approved, under section 41(7) of this Ordinance;
(33) to withdraw recognition of a recognized clearing house, under section 43(1)(a) of this Ordinance;
(34) to direct a recognized clearing house to cease to provide or operate facilities, under section 43(1)(b) of this Ordinance;
(35) to recognize a company as an exchange controller under, or to impose conditions pursuant to, section 59(2) of this Ordinance;
(36) to amend or revoke conditions, or impose new conditions, under section 59(3) of this Ordinance;
(37) to direct a person to take specified steps, under section 59(9)(c) of this Ordinance;
(38) to give a company a reasonable opportunity of being heard, under section 59(18) of this Ordinance;
(39) to approve the increase or decrease of any interest a recognized exchange controller has in a recognized exchange company or recognized clearing house, pursuant to section 60(a) of this Ordinance;
(40) to approve a person for becoming a minority controller of a recognized exchange controller, recognized exchange company or recognized clearing house, pursuant to section 61(1) of this Ordinance;
(41) to refuse to give approval to any rules or amendment of any rules, or any part thereof, under section 67(3) of this Ordinance;
(42) to advise the Financial Secretary to extend time, pursuant to section 67(6) of this Ordinance;
(43) to declare any class of rules to be a class of rules which are not required to be approved, under section 67(7) of this Ordinance;
(44) to request the Chief Executive in Council to transfer any function of the Commission, under section 68(1) of this Ordinance;
(45) to request the Chief Executive in Council to order that the Commission resume any function, pursuant to section 68(7) of this Ordinance;
(46) to approve the appointment of a person as chief executive or chief operating officer, pursuant to section 70(1) of this Ordinance;
(47) to remove a person from the office of a chief executive or chief operating officer, under section 70(2) of this Ordinance;
(48) to withdraw recognition of a recognized exchange controller, under section 72(1)(i) of this Ordinance;
(49) to direct a company to take specified steps, under section 72(1)(ii) of this Ordinance;
(50) to give a recognized exchange controller a reasonable opportunity of being heard, pursuant to section 72(2) of this Ordinance;
(51) to make statement in writing, pursuant to section 74(1) of this Ordinance;
(52) to direct a recognized exchange controller or a relevant corporation to take specified steps, under section 75(1) of this Ordinance;
(53) to approve a fee, pursuant to section 76(1) of this Ordinance;
(54) to recognize a company as an investor compensation company under, or to impose conditions pursuant to, section 79(1) of this Ordinance;
(55) to amend or revoke conditions, or impose new conditions, under section 79(2) of this Ordinance;
(56) to give a company a reasonable opportunity of being heard, under section 79(5) of this Ordinance;
(57) to request the Chief Executive in Council to transfer any function of the Commission, under section 80(1) of this Ordinance;
(58) to request the Chief Executive in Council to order that the Commission resume any function, pursuant to section 80(7) of this Ordinance;
(59) to refuse to give approval to any rules or amendment of any rules, or any part thereof, under section 83(3) of this Ordinance;
(60) to advise the Financial Secretary to extend time, pursuant to section 83(6) of this Ordinance;
(61) to declare any class of rules to be a class of rules which are not required to be approved, under section 83(7) of this Ordinance;
(62) to withdraw recognition of a recognized investor compensation company, under section 85(1) of this Ordinance;
(63) to approve the conduct of activities or businesses, pursuant to section 90(1) of this Ordinance;
(64) to serve a notice, under section 92(1) of this Ordinance;
(65) to extend the period during which a restriction notice is to remain in force, under section 92(7) of this Ordinance;
(66) to apply to the Court of First Instance, pursuant to section 92(9) of this Ordinance;
(67) to make a suspension order, under section 93(1) of this Ordinance;
(68) to extend the period during which a suspension order is to remain in force, under section 93(9) of this Ordinance;
(69) to appoint any person, other than an employee of the Commission, to investigate any of the matters referred to in section 182(1)(a) to (g) of this Ordinance, under section 182(1) of this Ordinance;
(70) to cause a report to be published, under section 183(6) of this Ordinance;
(71) to impose a prohibition or requirement, under section 204, 205 or 206 of this Ordinance;
(72) to withdraw, substitute or vary a prohibition or requirement, under section 208(1) of this Ordinance;
(73) to present a petition, under section 212 of this Ordinance;
(74) to apply to the Court of First Instance, pursuant to section 213(1) of this Ordinance;
(75) to apply to the Court of First Instance, under section 214(1) of this Ordinance;
(76) to specify the time at which a specified decision is to take effect, under section 232(3) of this Ordinance;
(77) to establish a compensation fund, under section 236 of this Ordinance;
(78) to borrow, or to charge any investments by way of security, under section 237(2)(a) of this Ordinance;
(79) to appoint an auditor, under section 240(5) of this Ordinance;
(80) to invest money, under section 241(1) of this Ordinance;
(81) to make report to the Financial Secretary, under section 252(8) of this Ordinance;
(82) to publish guidelines, under section 309(1) of this Ordinance;
(83) to make an application, pursuant to section 385(1) of this Ordinance;
(84) to consult the Financial Secretary, under section 396(1) of this Ordinance;
(85) to make recommendation to the Chief Executive in Council, under section 396(2) of this Ordinance;
(86) to appoint members of the Advisory Committee, under section 27(b) of Part 1;
(87) to direct any specified securities to be subject to restrictions, under section 1(2) of Part 6 of Schedule 3 to this Ordinance;
(88) to apply to the Court of First Instance, pursuant to section 1(6)(a) of Part 6 of Schedule 3 to this Ordinance;
(89) to apply to the Court of First Instance, pursuant to section 1(7) of Part 6 of Schedule 3 to this Ordinance.

附表： 2 条文标题： 证券及期货事务监察委员会 版本日期： 23/06/2006



[第3、7及10条及
附表1及10]

第1部

证监会的组成及处事程序等

证监会的主席、行政总裁及其他成员
(由2006年第15号第6条修订)

1. 证监会由一名主席、一名行政总裁及众其他执行董事及非执行董事组成，均由行政长官委任，执行董事及非执行董事的人数亦由行政长官决定，而─ (由2006年第15号第6条修订)
(a) 证监会成员人数不得少于8名；及
(b) 证监会非执行董事的人数须超逾该会执行董事的人数。 (由2006年第15号第6条代替)
2. (由2006年第15号第6条废除)
3. 当证监会的组成不再符合第1条的规定时，行政长官须随即在合理地切实可行的范围内尽快作出所需的委任，以使该会的组成符合第1条的规定。

副主席，及主席或副主席职位出缺

4. 行政长官可委任一名证监会执行董事或非执行董事为该会副主席。 (由2006年第15号第6条修订)
5. 如证监会主席的职位出缺，或证监会主席因伤病、不在香港或其他因由而不能担任主席，则由根据第4条委任的副主席署理主席职位。
6. 即使已根据第4条委任证监会副主席，如证监会主席及副主席在任何期间均因伤病、不在香港或其他因由而不能担任主席，而当时亦无有效的根据第7条作出的指定，则证监会主席可指定一名证监会执行董事或非执行董事在该段期间署理证监会主席职位；证监会主席亦可随时撤销任何该等指定。 (由2006年第15号第6条修订)
7. 如─
(a) 没有根据第4条委任证监会副主席，或证监会副主席的职位出缺；或
(b) 根据第4条委任的证监会副主席因伤病、不在香港或其他因由而不能署理主席职位，而证监会主席没有根据第6条作出指定，
则财政司司长可指定一名证监会执行董事或非执行董事，在证监会主席因伤病、不在香港或其他因由而不能担任主席的期间，署理证监会主席职位。 (由2006年第15号第6条修订)
8. 根据第7条作出的指定在以下情况出现时停止有效─
(a) 财政司司长撤销该指定；
(b) (如该指定是根据第7(a)条作出的)行政长官根据第4条作出委任；或
(c) (如该指定是根据第7(b)条作出的)根据第4条委任的副主席能署理主席职位，
以较早者为准。
9. 根据第5条署理证监会主席职位的该会副主席，或按照根据第6或7条作出的指定而署理证监会主席职位的该会执行董事或非执行董事，就所有目的而言，须当作证监会主席。 (由2006年第15号第6条代替)
9A. 尽管有第9条的规定─
(a) 不得仅因某证监会执行董事署理该会主席职位而不再视他为该会执行董事；及
(b) 不得仅因某证监会非执行董事署理该会主席职位而不再视他为该会非执行董事。 (由2006年第15号第6条增补)
行政总裁职位出缺
(由2006年第15号第6条增补)

9B. 如证监会行政总裁在任何期间因伤病、不在香港或其他因由而不能担任行政总裁，行政长官可指定一名证监会执行董事在该段期间署理证监会行政总裁职位；行政长官亦可随时撤销该指定。 (由2006年第15号第6条增补)
9C. 署理证监会行政总裁职位的证监会执行董事，就所有目的而言，须当作证监会行政总裁。 (由2006年第15号第6条增补)

成员的职能及任免等
(由2006年第15号第6条修订)

9D. 在本条例其他条文的规限下，证监会主席、副主席及行政总裁具有该会指派予他们的职能。 (由2006年第15号第6条增补)
10. 证监会成员(不论是主席、副主席、行政总裁或其他成员)的任职条款及条件由行政长官决定。 (由2006年第15号第6条修订)
11. 证监会成员(不论是主席、副主席、行政总裁或其他成员)可随时以书面通知行政长官而辞职。 (由2006年第15号第6条修订)
12. 证监会须向其成员(不论是主席、副主席、行政总裁或其他成员)支付行政长官厘定的报酬、津贴或开支。 (由2006年第15号第6条修订)
13. 行政长官如觉得将证监会任何成员(不论是主席、副主席、行政总裁或其他成员)免任，就该会有效执行其职能而言是可取的，则可以书面通知将该成员免任。 (由2006年第15号第6条修订)

会议

14. 证监会须视乎执行其职能所需而随时召开会议，会议可由证监会主席、副主席、行政总裁或任何2名其他成员召开。 (由2006年第15号第6条修订)
15. 在证监会会议中─
(a) 如证监会主席有出席，则他须担任会议主席；
(b) 如证监会主席缺席，但证监会副主席有出席，则证监会副主席须担任会议主席；或
(c) 如证监会主席及副主席均缺席，则须由出席会议的证监会成员互选一人担任会议主席。
16. 证监会会议的法定人数为该会不少于三分之一的执行董事及不少于三分之一的非执行董事。
16A. 为根据第16条组成法定人数的目的─
(a) 除(b)段另有规定外，证监会主席须作为一名该会非执行董事计算；及
(b) 尽管有第9及9A条的规定─
(i) 署理证监会主席职位的该会执行董事须仅作为一名该会执行董事计算；及
(ii) 署理证监会主席职位的该会非执行董事须仅作为一名该会非执行董事计算。 (由2006年第15号第6条增补)
17. 证监会成员如透过电话、视像会议或其他电子模式参与证监会会议，须视为出席该会议，但前提是他须能听到其他出席会议的成员的发言，而他们须能听到他的发言。
18. 每名出席证监会会议的证监会成员在投票时均有一票。
19. 在证监会会议中，每项有待决定的问题须取决于出席会议的成员所投的过半数票；如票数相等，则在符合第20条的规定下，会议主席有权投决定票。
20. 会议主席须在已就有待决定的问题谘询财政司司长后，方可投决定票。

书面决议

21. 凡决议是─
(a) 以书面作出；及
(b) 由某数目的证监会成员签署，而该数目的成员─
(i) 会包括所有在该项决议可供签署的任何时候身在香港且有能力签署该项决议的证监会成员；且
(ii) 为该会不少于三分之一的执行董事及不少于三分之一的非执行董事，
则其有效性和效用，即犹如是在按照本条例召开和进行的证监会会议上通过的一样。
22. 就第21条而言，该条适用的决议可─
(a) 以一份文件形式作出；或
(b) 以多于一份文件形式作出，而每份该等文件采用相近的格式，并由一名或多于一名证监会成员签署。
23. 凡决议是以第22(b)条描述的多于一份文件形式作出，如该等文件合共由第21(b)(i)及(ii)条指明的某数目的证监会成员签署，则须视为已符合第21(b)条的规定。
24. 就第21至23条而言─
(a) 如任何文件附有证监会任何成员的签署，且由专线电报、电报、图文传真或电子方式传送，则该文件须视为已由该成员签署；及
(b) 最后一名证监会成员以其成员身分为第21条的目的签署该条适用的决议的日期，须视为该项决议作出的日期。
印章、行政的规管等

25. 证监会具有印章，使用该印章盖印须由证监会主席或副主席签署认证，或由该会为此授权的其他成员签署认证。
26. 证监会须以该会认为在符合本条例的规定下最能确保其职能得以执行的方式，组织和规管其本身的行政管理、处事程序和事务。

谘询委员会

27. 谘询委员会由以下人士组成─
(a) 证监会主席；
(aa) 证监会行政总裁； (由2006年第15号第6条增补)
(b) 1或2名证监会其他执行董事，由证监会委任；
(c) 8至12名其他成员，由行政长官在谘询证监会后委任。
28. 谘询委员会会议可由以下人士召开─
(a) 证监会主席； (由2006年第15号第6条修订)
(aa) 证监会行政总裁；或 (由2006年第15号第6条增补)
(b) 任何3名谘询委员会其他成员。
29. 在谘询委员会会议中─
(a) 如证监会主席有出席，则他须担任会议主席；或
(b) 如证监会主席缺席，则须由出席会议的成员互选一人担任会议主席。
30. 根据第27(b)条委任的谘询委员会成员在停任证监会执行董事时，即停任谘询委员会成员。
31. 根据第27(b)或(c)条委任的谘询委员会成员，可随时─
(a) (如根据第27(b)条委任该成员)以书面通知证监会而辞职；
(b) (如根据第27(c)条委任该成员)以书面通知行政长官而辞职。
32. 行政长官可以书面通知将根据第27(c)条委任的谘询委员会任何成员免任。

第2部

不得转授的证监会职能

1. 证监会根据或依据任何条例订立附属法例的职能。
2. 证监会的以下职能─
(1) 根据本条例第5(4)(d)条借入款项；
(2) 根据本条例第5(4)(e)条发表或以其他方式提供材料；
(3) 根据本条例第8(1)条设立任何委员会；
(4) 根据本条例第8(2)条将任何事宜交付委员会；
(5) 根据本条例第8(3)条委任某人担任委员会的委员或主席；
(6) 根据本条例第8(5)条撤回向委员会作出的交付，或撤销委员会委员或主席的委任；
(7) 根据本条例第13(2)条向行政长官呈交预算；
(8) 根据本条例第15(2)条拟备财务报表；
(9) 根据本条例第15(3)条拟备报告；
(10) 根据本条例第16(1)条委任核数师；
(11) 根据本条例第17条将资金投资；
(12) 根据本条例第19(2)条认可某公司为交易所公司，或依据该条施加条件；
(13) 根据本条例第19(3)条修订或撤销条件或施加新的条件；
(14) 根据本条例第19(7)条给予公司合理的陈词机会；
(15) 根据本条例第23(3)条要求认可交易所订立或修订规章；
(16) 根据本条例第24(3)条拒绝批准任何规章或对任何规章的修订或其中任何部分；
(17) 依据本条例第24(6)条建议财政司司长延展期限；
(18) 根据本条例第24(7)条宣布某类别的规章无须获批准；
(19) 根据本条例第25(1)条请求行政长官会同行政会议将证监会的职能转移；
(20) 依据本条例第25(7)条请求行政长官会同行政会议命令证监会收回任何职能；
(21) 依据本条例第26条核准委任某人担任最高行政人员；
(22) 根据本条例第28(1)(a)条撤回对认可交易所的认可；
(23) 根据本条例第28(1)(b)条指令认可交易所停止提供或运作设施或停止提供服务；
(24) 根据本条例第29(1)条指令认可交易所停止提供或运作设施或停止提供服务；
(25) 根据本条例第29(3)条将指令所涉的期间延展；
(26) 根据本条例第37(1)条认可某公司为结算所，或依据该条施加条件；
(27) 根据本条例第37(2)条修订或撤销条件或施加新的条件；
(28) 根据本条例第37(5)条给予公司合理的陈词机会；
(29) 根据本条例第40(4)条要求认可结算所订立或修订规章；
(30) 根据本条例第41(3)条拒绝批准任何规章或对任何规章的修订或其中任何部分；
(31) 依据本条例第41(6)条建议财政司司长延展期限；
(32) 根据本条例第41(7)条宣布某类别的规章无须获批准；
(33) 根据本条例第43(1)(a)条撤回对认可结算所的认可；
(34) 根据本条例第43(1)(b)条指令认可结算所停止提供或运作设施；
(35) 根据本条例第59(2)条认可某公司为交易所控制人，或依据该条施加条件；
(36) 根据本条例第59(3)条修订或撤销条件或施加新的条件；
(37) 根据本条例第59(9)(c)条指令某人采取指明步骤；
(38) 根据本条例第59(18)条给予公司合理的陈词机会；
(39) 依据本条例第60(a)条批准认可控制人增加或减少拥有的认可交易所或认可结算所权益；
(40) 依据本条例第61(1)条核准某人成为认可控制人、认可交易所或认可结算所的次要控制人；
(41) 根据本条例第67(3)条拒绝批准任何规章或对任何规章的修订或其中任何部分；
(42) 依据本条例第67(6)条建议财政司司长延展期限；
(43) 根据本条例第67(7)条宣布某类别的规章无须获批准；
(44) 根据本条例第68(1)条请求行政长官会同行政会议将证监会的职能转移；
(45) 依据本条例第68(7)条请求行政长官会同行政会议命令证监会收回任何职能；
(46) 依据本条例第70(1)条核准委任某人担任最高行政人员或最高营运人员；
(47) 根据本条例第70(2)条免除某人的最高行政人员或最高营运人员的职位；
(48) 根据本条例第72(1)(i)条撤回对认可控制人的认可；
(49) 根据本条例第72(1)(ii)条指令某公司采取指明步骤；
(50) 依据本条例第72(2)条给予认可控制人合理的陈词机会；
(51) 依据本条例第74(1)条作出书面述明；
(52) 根据本条例第75(1)条指令认可控制人或相关法团采取指明步骤；
(53) 依据本条例第76(1)条批准费用；
(54) 根据本条例第79(1)条认可某公司为投资者赔偿公司，或依据该条施加条件；
(55) 根据本条例第79(2)条修订或撤销条件或施加新的条件；
(56) 根据本条例第79(5)条给予公司合理的陈词机会；
(57) 根据本条例第80(1)条请求行政长官会同行政会议将证监会的职能转移；
(58) 依据本条例第80(7)条请求行政长官会同行政会议命令证监会收回任何职能；
(59) 根据本条例第83(3)条拒绝批准任何规章或对任何规章的修订或其中任何部分；
(60) 依据本条例第83(6)条建议财政司司长延展期限；
(61) 根据本条例第83(7)条宣布某类别的规章无须获批准；
(62) 根据本条例第85(1)条撤回对认可投资者赔偿公司的认可；
(63) 依据本条例第90(1)条批准进行活动或业务；
(64) 根据本条例第92(1)条送达通知；
(65) 根据本条例第92(7)条延展限制通知的有效期；
(66) 依据本条例第92(9)条向原讼法庭提出申请；
(67) 根据本条例第93(1)条作出暂停职能令；
(68) 根据本条例第93(9)条延展暂停职能令的有效期；
(69) 根据本条例第182(1)条委任非证监会雇员的人，调查本条例第182(1)(a)至(g)条提述的任何事宜；
(70) 根据本条例第183(6)条安排发表报告；
(71) 根据本条例第204、205或206条施加禁止或要求；
(72) 根据本条例第208(1)条撤回、取代或更改某项禁止或要求；
(73) 根据本条例第212条提出呈请；
(74) 依据本条例第213(1)条向原讼法庭提出申请；
(75) 根据本条例第214(1)条向原讼法庭提出申请；
(76) 根据本条例第232(3)条指明某指明决定的生效时间；
(77) 根据本条例第236条设立赔偿基金；
(78) 根据本条例第237(2)(a)条借入款项，或将投资项目作为押记，用以担保借贷；
(79) 根据本条例第240(5)条委任核数师；
(80) 根据本条例第241(1)条将款项投资；
(81) 根据本条例第252(8)条向财政司司长作出报告；
(82) 根据本条例第309(1)条发表指引；
(83) 依据本条例第385(1)条提出申请；
(84) 根据本条例第396(1)条谘询财政司司长；
(85) 根据本条例第396(2)条向行政长官会同行政会议作出建议；
(86) 根据第1部第27(b)条委任谘询委员会成员；
(87) 根据本条例附表3第6部第1(2)条指令任何指明证券须受限制；
(88) 依据本条例附表3第6部第1(6)(a)条向原讼法庭提出申请；
(89) 依据本条例附表3第6部第1(7)条向原讼法庭提出申请。

Schedule: 3 Heading: EXCHANGE COMPANIES, CLEARING HOUSES AND EXCHANGE CONTROLLERS Version Date: 01/04/2003


[sections 18, 40, 58, 59,
61, 62, 72 & 78
& Schedule 2]
PART 1

DEFINITIONS

1. In this Schedule, unless the context otherwise requires, "associated person" (相联者), "controller" (控制人), "default rules" (违责处理规则), "indirect controller" (间接控制人), "market charge" (市场押记), "market collateral" (市场抵押品) and "shareholder controller" (股东控制人) have the meanings respectively assigned to them in section 18 of this Ordinance.

PART 2

SPECIFICATION OF PERSONS WHO ARE
ASSOCIATED PERSONS

PART 3

SPECIFICATION OF PERSONS WHO ARE NOT
ASSOCIATED PERSONS

1. A person ("first person") is not an associated person of another person ("second person") for the purposes of all the provisions of Division 4 of Part III of this Ordinance in so far as-
(a) the first person or the second person is a recognized clearing house (or its nominee) acting in its capacity as such;
(b) the first person is the chairman of a general meeting of a corporation entitled to exercise voting rights in the corporation due to his appointment as a proxy by the second person where the appointment-
(i) is for that meeting only; and
(ii) does not involve any valuable consideration; or
(c) the first person and the second person are persons who have appointed the chairman of a general meeting of a corporation as a proxy to exercise voting rights in the corporation where each appointment-
(i) is for that meeting only; and
(ii) does not involve any valuable consideration.

2. A person is not an associated person of another person for the purposes of section 61 of this Ordinance by reason only of each person having appointed the same person as a proxy to exercise voting rights in a corporation at a general meeting of the corporation where each appointment-
(a) is for that meeting only; and
(b) does not involve any valuable consideration.

PART 4

SPECIFICATION OF PERSONS WHO ARE NOT
INDIRECT CONTROLLERS
1. A person is not an indirect controller for all the provisions of Division 4 of Part III of this Ordinance in so far as the person is a person in accordance with whose directions or instructions the directors of a corporation or of another corporation of which it is a subsidiary are accustomed or obliged to act by reason only that they act on advice given by the person in the person's professional capacity.

PART 5

REQUIREMENTS FOR DEFAULT RULES
OF RECOGNIZED CLEARING HOUSES

1. The rules of a recognized clearing house which provide for the taking of proceedings or other action if a clearing participant appears to be unable, or likely to become unable, to meet his obligations in respect of all unsettled or open market contracts to which he is a party, shall-
(a) enable the settlement, or closing-out by offset, of all of the contracts;
(b) for the purpose of paragraph (a), provide for there to be payable by or to the clearing participant a sum of money in relation to each contract if this is required after taking into account all the rights and liabilities of the clearing participant under or in respect of the contract concerned;
(c) enable all sums of money payable by or to the clearing participant as determined in accordance with paragraph (b) to be aggregated or set-off so as to produce a net sum (if any) payable by or to the clearing participant;
(d) if any net sum referred to in paragraph (c) is payable by the clearing participant, provide for that net sum to be set-off against all property of the clearing participant which is either subject to a market charge or which has been provided as market collateral (or set-off against the proceeds of the realization of such property) so as to produce a further net sum (if any) payable by or to the clearing participant;
(e) if any net sum referred to in paragraph (c) is payable to the clearing participant, provide that all property of the clearing participant which is either subject to a market charge or which has been provided as market collateral shall cease to be subject to the market charge (but without prejudice to any other form of charge to which it may be subject) or to be market collateral (but without prejudice to its provision as any other form of collateral) (as the case may be); and
(f) provide for the certification by the clearing house of any net sum referred to in paragraph (c) payable to the clearing participant, or of any further net sum referred to in paragraph (d) payable by or to the clearing participant (as the case may be) or, if there is no such sum, the certification by the clearing house of that fact.

PART 6

PROVISIONS APPLICABLE WHERE THERE IS FAILURE TO COMPLY
WITH NOTICE UNDER SECTION 59(9)(c), 61(9)(b)
OR 72(1) OF THIS ORDINANCE
1. Restrictions on and sale of securities

(1) The powers conferred by this section shall be exercisable where a person has failed to comply with a notice under section 59(9)(c), 61(9)(b) or 72(1) of this Ordinance.
(2) The Commission may, by notice in writing served on the person concerned, direct that any specified securities to which this section applies shall, until further notice, be subject to one or more of the following restrictions-
(a) any transfer of those securities or, in the case of unissued securities, any transfer of the right to be issued with them, and any issue of such securities, shall be void;
(b) no voting rights shall be exercisable in respect of the securities;
(c) no further securities shall be issued in right of them or pursuant to any offer made to their holder;
(d) except in a liquidation, no payment shall be made of any sums due from the corporation concerned on the securities, whether in respect of capital or otherwise;
(e) that the holder of the securities shall cause them to be transferred to a nominee of the Commission specified in the notice and within the period specified in the notice.
(3) Where securities are subject to the restrictions under subsection (2)(a), any agreement to transfer them or, in the case of unissued securities, the right to be issued with them, shall be void.
(4) Where securities are subject to the restrictions under subsection (2)(c) or (d), any agreement to transfer any right to be issued with other securities in right of those securities, or to receive any payment on them (otherwise than in a liquidation), shall be void.
(5) Where securities are subject to any restrictions under subsection (2), any person affected by any of those restrictions may request the Commission to make an application referred to in subsection (6)(a) in respect of those securities and, where such a request is made, the Commission shall, not later than 30 days after that request has been made-
(a) comply with that request; or
(b) serve a notice in writing on that person stating that it does not propose to comply with that request.
(6) The Court of First Instance may-
(a) on the application of the Commission, order the sale of any specified securities to which this section applies and, if they are for the time being subject to any restrictions under subsection (2), that they shall cease to be subject to those restrictions;
(b) on the application of a person who has made a request under subsection (5) where he has been served with a notice under paragraph (b) of that subsection in respect of that request, order the sale of any specified securities to which that request relates and that they shall cease to be subject to any restrictions under subsection (2).
(7) Where an order has been made under subsection (6), the Court of First Instance may, on the application of the Commission, make such further order relating to the sale or transfer of the securities as it considers appropriate.
(8) Where securities are sold pursuant to an order under this section, the proceeds of the sale, less the costs of the sale, shall, unless otherwise specified by the Court of First Instance, be paid into court for the benefit of the persons beneficially interested in them, and any such person may apply to the Court of First Instance for an order that the whole or part of the proceeds be paid to him.
(9) This section shall apply-
(a) to all the securities of the corporation concerned by virtue of which the person concerned is a shareholder controller, or minority controller within the meaning of section 61 of this Ordinance, of the corporation which are held by him or any associated person of his and were not so held immediately before he became such a controller; and
(b) where the person concerned became a shareholder controller, or minority controller within the meaning of section 61 of this Ordinance, of the corporation concerned by virtue of the acquisition by him or any associated person of his of securities of another corporation, to all the securities of that corporation which are held by him or any associated person of his and were not so held immediately before he became such a controller.
(10) A copy of a notice served under subsection (2) on the person concerned shall be served on the corporation to whose securities it relates and, if it relates to securities held by any associated person of that person, on that associated person.
(11) The Chief Justice may make rules regulating the practice and procedure in connection with applications (including any class of applications) made under subsection (6).
(12) It is hereby declared that the operation of subsection (2)(b) or (e) shall not by itself cause any person to contravene section 59(1) or 61(1) of this Ordinance.

2. Punishment for attempted evasion of restrictions

(1) Any person who-
(a) exercises or purports to exercise any right to dispose of any securities, or of any right to be issued with any such securities, knowing that to do so contravenes any restrictions under section 1(2) to which the securities are subject;
(b) votes in respect of any such securities as a holder or as a proxy knowing that to do so contravenes any such restrictions;
(c) appoints a proxy in respect of any such securities knowing that to vote in respect of any such securities would contravene any such restrictions;
(d) being the holder of any such securities, fails to notify of their being subject to those restrictions any person whom he does not know to be aware of that fact but does know to be entitled (apart from the restrictions) to vote in respect of those securities whether as a holder or as a proxy;
(e) being the holder of any such securities, or being entitled to any right to be issued with other securities in right of them, or to receive any payment on them (otherwise than in a liquidation), enters into any agreement which is void under section 1(3) or (4); or
(f) without reasonable excuse, fails to comply with a restriction under section 1(2)(e) to which any such securities are subject,
commits an offence and is liable-
(i) on conviction on indictment to a fine of $1000000 and to imprisonment for 2 years;or
(ii) on summary conviction to a fine at level 6 and to imprisonment for 6 months.
(2) Where securities of a corporation are issued in contravention of restrictions under section 1(2) or payments are made by a corporation in contravention of such restrictions, every director and every manager of the corporation who knowingly and wilfully permits such an issue of securities or the making of such a payment (as the case may be) commits an offence and is liable-
(a) on conviction on indictment to a fine of $1000000 and to imprisonment for 2 years; or
(b) on summary conviction to a fine at level 6 and to imprisonment for 6 months.

3. Prohibition on certain person acting as indirect controllers
(1) In this section, "prohibited person" (受禁制人士), in relation to a corporation, means any person who has failed to comply with a notice under section 59(9)(c) or 72(1) of this Ordinance in relation to the corporation in so far as the notice relates to a controller who is an indirect controller.
(2) Where a person is or may become a prohibited person in respect of a corporation, the Commission shall serve on the corporation a copy of the notice concerned under section 59(9)(c) or 72(1) of this Ordinance.
(3) No person who is a prohibited person in respect of a corporation shall act or continue to act (as the case may be) as an indirect controller of the corporation and, accordingly, as such a controller shall not give or shall cease to give (as the case may be) any directions or instructions to the directors of the corporation or of another corporation of which it is a subsidiary.
(4) Where any director of a corporation or of another corporation of which it is a subsidiary is given (whether directly or indirectly) any directions or instructions-
(a) by a person whom the director knows, or ought reasonably to know, is a prohibited person in respect of the first-mentioned corporation; and
(b) which are, or might reasonably be construed as being, prohibited from being so given by virtue of subsection (3),
the director shall forthwith notify the Commission of those directions or instructions and the circumstances in which they were so given.
(5) Any prohibited person who contravenes subsection (3) commits an offence and is liable-
(a) on conviction on indictment to a fine of $1000000 and to imprisonment for 2 years and, in the case of a continuing offence, to a further fine of $10000 for every day during which the offence continues; or
(b) on summary conviction to a fine at level 6 and to imprisonment for 6 months and, in the case of a continuing offence, to a further fine of $10000 for every day during which the offence continues.
(6) Any director who, without reasonable excuse, contravenes subsection (4) commits an offence and is liable-
(a) on conviction on indictment to a fine of $1000000 and to imprisonment for 2 years and, in the case of a continuing offence, to a further fine of $10000 for every day during which the offence continues; or
(b) on summary conviction to a fine at level 6 and to imprisonment for 6 months and, in the case of a continuing offence, to a further fine of $10000 for every day during which the offence continues.
(7) In this section, a reference to a continuing offence means an offence consisting of a person's continued default, refusal or other contravention of subsection (3) or (4), and notwithstanding that any period (however expressed) specified in that subsection for complying with it has expired.

PART 7

SPECIFICATION OF PERSONS WHO ARE NOT
MINORITY CONTROLLERS

1. A person is not a minority controller for the purposes of Division 4 of Part III of this Ordinance in so far as the person is-
(a) a recognized clearing house (or its nominee) acting in its capacity as such; or
(b) the chairman of a general meeting of a corporation entitled to exercise voting rights in the corporation due to his appointment as a proxy where the appointment-
(i) is for that meeting only; and
(ii) does not involve any valuable consideration.
2. A person is not a minority controller for all the provisions of Division 4 of Part III of this Ordinance by reason only of being entitled to exercise voting rights in a corporation due to his appointment as a proxy where the appointment-
(a) is for only one general meeting of the corporation; and
(b) does not involve any valuable consideration.

PART 8

EXEMPTION FROM SECTION 59(1) OF THIS ORDINANCE
1. A person is exempt from section 59(1) of this Ordinance in so far as the person is-
(a) a recognized clearing house (or its nominee) acting in its capacity as such; or
(b) the controller of a corporation by reason only of being the chairman of a general meeting of the corporation entitled to exercise voting rights in the corporation due to his appointment as a proxy where the appointment-
(i) is for that meeting only; and
(ii) does not involve any valuable consideration.

附表： 3 条文标题： 交易所、结算所及交易所控制人 版本日期： 08/07/2005



[第18、40、58、59、
61、62、72及
78条及附表2]
第1部

定义

1. 在本附表中，除文意另有所指外，“市场抵押品”(market collateral)、“市场押记”(market charge)、“股东控制人”(shareholder controller)、“相联者”(associated person)、“控制人”(controller)、“间接控制人”(indirect controller) 及“违责处理规则”(default rules) 具有本条例第18条分别给予该等词语的涵义。

第2部

指明为相联者的人
第3部

指明为不是相联者的人

1. 就本条例第III部第4分部所有条文而言，凡─
(a) 一间认可结算所或其代名人以其身分行事，则该结算所或该代名人(视属何情况而定)不是任何人的相联者；
(b) 某法团某次成员大会上的主席由于某人委任他为投票代表以致有权就该法团行使投票权，而该委任─
(i) 只就该次大会有效；及
(ii) 不牵涉任何有值代价，
则该主席并非该人的相联者；或
(c) 某人(“前者”)与另一人(“后者”)如均委任某法团某次成员大会上的主席为投票代表，就该法团行使投票权，而前者及后者所作的委任─
(i) 均只就该次大会有效；及
(ii) 不牵涉任何有值代价，
则前者并非后者的相联者。
2. 就本条例第61条而言，在以下情况下，某人(“前者”)不会仅因为他与另一人(“后者”)均委任同一第三者为投票代表在某法团某次成员大会上就该法团行使投票权，而成为后者的相联者─
(a) 前者及后者所作的委任只就该次大会有效；及
(b) 上述每一项委任均不牵涉任何有值代价。
第4部

指明为不是间接控制人的人

1. 就本条例第III部第4分部所有条文而言，如任何法团的董事(或以该法团为附属公司的另一法团的董事)惯于或有义务按照任何人的指示或指令行事，仅是因为该等董事参照该人以专业身分提供的意见而行事，则该人不属该法团的间接控制人。

第5部

认可结算所违责处理规则
须有的规定

1. 凡认可结算所须订有规则，以订定当结算所参与者看来没有能力或可能变为没有能力履行他身为合约一方的所有未交收或未平仓市场合约的义务时，须采取处理程序或其他行动，该等规则须─
(a) 使所有该等合约得以交收或藉抵销得以平仓；
(b) 为(a)段的目的，订定就每份该等合约须由该参与者支付或须支付予他的款项；而该款项须否支付及其数目，是在考虑他根据或就有关合约的所有权利及法律责任后计算所得的；
(c) 使所有按照(b)段厘定的须由该参与者支付或须支付予他的款项，得以合共计算或互相抵销，以计算出(如有的话)须由他支付或须支付予他的净款额；
(d) 订定如(c)段所指的净款额须由该参与者支付时，则把该净款额与他的受市场押记限制或已提供作市场抵押品的所有财产互相抵销(或与该等财产的变现得益互相抵销)，以计算出(如有的话)须由他支付或须支付予他的另一净款额；
(e) 订定如(c)段所指的净款额须支付予该参与者时，则他的所有受市场押记限制的财产，即不再受该押记限制(但不影响该财产受任何其他形式的押记限制)，而他的已提供作市场抵押品的财产，则不再作为市场抵押品(但不影响该财产被提供作任何其他形式的抵押品)；及
(f) 订定(c)段所指的须支付予该参与者的净款额，或(d)段所指的须由他支付或须支付予他(视属何情况而定)的另一净款额，均须由该结算所加以证明；如无须支付该等款额，亦须由该结算所证明该事实。
第6部

在有人没有遵从根据本条例第59(9)(c)、61(9)(b)
或72(1)条送达的通知时适用的条文


1. 对证券的限制及证券的售卖

(1) 凡任何人没有遵从根据本条例第59(9)(c)、61(9)(b)或72(1)条送达的通知，则本条赋予的权力可予行使。
(2) 证监会可藉送达书面通知予有关的人，指令任何本条适用并经指明的证券须受以下一项或多于一项的限制所规限，直至另行通知为止─
(a) 转让该等证券或(如证券属未发行证券)转让获发该等未发行证券的权利，以及发行该等未发行证券，均属无效；
(b) 不得就该等证券行使投票权；
(c) 不得依凭该等证券或依据向该等证券的持有人提出的要约，而再发行证券；
(d) 除非在清盘的情况下，否则不得就有关法团在证券方面欠付的任何款项而付款，不论该等款项是否就股本而支付；
(e) 该等证券的持有人须安排该等证券在该通知指明的限期内转让予该通知指明的证监会代名人。
(3) 凡任何证券受第(2)(a)款所指的限制所规限，则任何转让该等证券的协议或(如证券属未发行证券)转让获发该等未发行证券的权利的协议，均属无效。
(4) 凡任何证券受第(2)(c)或(d)款所指的限制所规限，则任何转让依凭该等证券而获发其他证券的权利的协议，或任何转让在非清盘情况下就该等证券收取款项的权利的协议，均属无效。
(5) 凡任何证券受第(2)款所指的限制所规限，任何受该等限制影响的人，可要求证监会就该等证券而提出第(6)(a)款提述的申请；凡有该等要求提出，该会须在该等要求提出后30日内─
(a) 顺应该要求行事；或
(b) 藉送达书面通知予该人，述明该会不拟顺应该要求行事。
(6) 原讼法庭可─
(a) 应证监会的申请，命令售卖任何本条适用并经指明的证券，如该等证券当其时正受第(2)款所指的任何限制所规限，则原讼法庭可命令该等证券不再如此受规限；
(b) 应一名已根据第(5)款提出要求并就该项要求根据该款(b)段获送达通知的人的申请，命令与该项要求有关的任何指明证券须予售卖并且不再受第(2)款所指的任何限制所规限。
(7) 原讼法庭如已根据第(6)款就证券作出命令，可应证监会的申请，作出原讼法庭认为适当并与该等证券的售卖或转让有关的进一步命令。
(8) 凡任何证券依据本条所指的命令售出，则该项售卖的收益在减去该项售卖的费用后，除原讼法庭另有指明外，须为享有该等收益的实益权益的人的利益而缴存于法院，而任何该等人可向原讼法庭申请作出命令，将该等收益的全部或部分支付予他。
(9) 本条的适用范围如下─
(a) 在有关的人凭借有关法团的证券而成为该法团的股东控制人或本条例第61条界定的次要控制人的情况下，本条适用于所有由该人或其任何相联者所持有的、但在紧接该人成为该等控制人之前并不是由该人或其任何相联者所持有的该法团的证券；及
(b) 在有关的人凭借他本人或其任何相联者所取得的另一法团的证券而成为有关法团的股东控制人或本条例第61条界定的次要控制人的情况下，本条适用于所有由该人或其任何相联者所持有的、但在紧接该人成为该等控制人之前并不是由该人或其任何相联者所持有的该另一法团的证券。
(10) 关乎某法团的证券并根据第(2)款送达有关的人的通知的副本，须送达该法团，如通知所关乎的证券由该人的相联者持有，则另须将该通知的副本送达该相联者。
(11) 终审法院首席法官可订立规则，规管与根据第(6)款提出的申请(包括任何类别的申请)有关的实务及程序。
(12) 现宣布任何人不会仅因为第(2)(b)或(e)款的施行而违反本条例第59(1)或61(1)条。

2. 对企图规避限制的惩罚

(1) 任何人─
(a) 行使或其本意是行使任何权利，以处置任何证券或处置获发该等证券的权利，而他知道如此行事，是违反第1(2)条所指的规限该等证券的限制的；
(b) 以持有人或投票代表的身分就任何该等证券投票，而他知道如此行事，是违反(a)段所述的限制的；
(c) 就任何该等证券委任投票代表，而他知道就任何该等证券投票，是违反(a)段所述的限制的；
(d) 本身是任何该等证券的持有人，但没有将该等证券受(a)段所述的限制所规限一事，通知任何他不知道是察觉该事的、但他知道是有权(假若没有该等限制)以持有人或投票代表身分就该等证券投票的人；
(e) 本身是任何该等证券的持有人，或本身是有权依凭该等证券而获发其他证券的人，或本身是有权在非清盘情况下就该等证券收取任何款项的人，而订立根据第1(3)或(4)条属无效的协议；或
(f) 无合理辩解而没有遵从第1(2)(e)条所指的规限该等证券的限制，
即属犯罪─
(i) 一经循公诉程序定罪，可处罚款$1000000及监禁2年；或
(ii) 一经循简易程序定罪，可处第6级罚款及监禁6个月。
(2) 凡任何法团的证券在违反第1(2)条所指的限制下发行，或任何法团在违反该等限制下支付款项，则该法团的每名董事及每名管理人如明知并故意容许该项发行或支付(视属何情况而定)，即属犯罪─
(a) 一经循公诉程序定罪，可处罚款$1000000及监禁2年；或
(b) 一经循简易程序定罪，可处第6级罚款及监禁6个月。

3. 禁制某些人以间接控制人的身分行事

(1) 在本条中，“受禁制人士”(prohibited person) 就任何法团而言，在根据本条例第59(9)(c)或72(1)条送达的通知关乎间接控制人的范围内，指任何就该法团没有遵从该通知的人。
(2) 凡任何人就某法团而言是或可能成为受禁制人士，证监会须向该法团送达根据本条例第59(9)(c)或72(1)条送达的有关通知的副本。
(3) 任何人如就某法团而言属受禁制人士，则不得以或继续以(视属何情况而定)该法团的间接控制人的身分行事，据此，该人不得以或须停止以(视属何情况而定)该等控制人的身分向该法团的董事，或向以该法团为附属公司的另一法团的董事，发出任何指示或指令。
(4) 法团的任何董事，或以该法团为附属公司的另一法团的任何董事，如接获(不论直接或间接)任何指示或指令─
(a) 而该董事知道或理应知道发出该等指示或指令的人就首述法团而言，是一名受禁制人士；而
(b) 凭借第(3)款，该等指示或指令是禁止如此发出的，或可合理地解释为是禁止如此发出的，
则该董事须立即将该等指示或指令以及它发出的情况，通知证监会。
(5) 任何受禁制人士违反第(3)款，即属犯罪─
(a) 一经循公诉程序定罪，可处罚款$1000000及监禁2年，如属持续的罪行，则可就罪行持续期间的每一日，另处罚款$10000；或
(b) 一经循简易程序定罪，可处第6级罚款及监禁6个月，如属持续的罪行，则可就罪行持续期间的每一日，另处罚款$10000。
(6) 任何董事无合理辩解而违反第(4)款，即属犯罪─
(a) 一经循公诉程序定罪，可处罚款$1000000及监禁2年，如属持续的罪行，则可就罪行持续期间的每一日，另处罚款$10000；或
(b) 一经循简易程序定罪，可处第6级罚款及监禁6个月，如属持续的罪行，则可就罪行持续期间的每一日，另处罚款$10000。
(7) 在本条中提述的持续罪行，指由任何人持续没有遵从、拒绝遵从或以其他方式违反第(3)或(4)款的规定所构成的罪行，即使该款指明的遵从该款的限期(不论该限期是如何表达)已届满。 (由2005年第10号第204条修订)

第7部

指明为不是次要控制人的人

1. 就本条例第III部第4分部而言，凡─
(a) 任何认可结算所或其代名人以其身分行事，则该结算所或该代名人(视属何情况而定)不是次要控制人；或
(b) 某法团某次成员大会上的主席由于被委任为投票代表以致有权就该法团行使投票权，而该委任─
(i) 只就该次大会有效；及
(ii) 不牵涉任何有值代价，
则该主席不是次要控制人。
2. 就本条例第III部第4分部所有条文而言，在以下情况下，任何人不会仅因为被委任为投票代表以致有权就某法团行使投票权，而成为该法团的次要控制人─
(a) 该委任只就该法团某一次的成员大会有效；及
(b) 该委任不牵涉任何有值代价。
第8部

豁免而不受本条例第59(1)条的规限

1. 凡─
(a) 任何认可结算所或其代名人以其身分行事，则该结算所或该代名人(视属何情况而定)获豁免而不受本条例第59(1)条规限；或
(b) 某法团某次成员大会上的主席仅因为其被委任为投票代表以致有权就该法团行使投票权，而成为该法团的控制人，且该委任─
(i) 只就该次大会有效；及
(ii) 不牵涉任何有值代价，
则该主席获豁免而不受本条例第59(1)条规限。

Schedule: 4 Heading: OFFERS OF INVESTMENTS Version Date: 01/04/2003


[sections 102, 103,
110 & 112]
PART 1

SUM SPECIFIED FOR PURPOSES OF SECTION
103(3)(f)(i) AND (g) OF THIS ORDINANCE

$1 million or its equivalent in any foreign currency.

PART 2

INSTRUMENTS SPECIFIED FOR PURPOSES OF
SECTION 103(3)(g) OF THIS ORDINANCE

1. A bill of exchange within the meaning of section 3 of the Bills of Exchange Ordinance (Cap 19).

2. A promissory note within the meaning of section 89 of the Bills of Exchange Ordinance (Cap 19).

3. Any other instrument which evidences an obligation to pay a stated amount to bearer or to order, on or before a fixed time, with or without interest, being an instrument by the delivery of which, with or without endorsement, the right to receive that stated amount, with or without interest, is transferable (and, in the case of any such instrument which is a prescribed instrument by virtue of paragraph (a) of the definition of "prescribed instrument" in section 137B(1) of the Banking Ordinance (Cap 155), such instrument includes any right or interest referred to in paragraph (b) of that definition in respect of such instrument).

PART 3

EXEMPTED BODIES

1. The Government.

2. Hong Kong Housing Authority.

3. Airport Authority.

4. Kowloon-Canton Railway Corporation.

5. Urban Renewal Authority.

6. Hong Kong Export Credit Insurance Corporation.

7. Hong Kong Science and Technology Parks Corporation.

8. Hong Kong Productivity Council.

9. Hong Kong Tourism Board.

10. Hong Kong Trade Development Council.

11. Any other corporation which has any of its shares listed and any wholly owned subsidiary of such a corporation, whether incorporated in Hong Kong or elsewhere.

PART 4

SUM SPECIFIED FOR PURPOSES OF DEFINITION OF "RELEVANT
CONDITION" IN SECTION 103(12) OF THIS ORDINANCE

$100 million or its equivalent in any foreign currency.

附表： 4 条文标题： 投资要约 版本日期： 01/04/2003



[第102、103、
110及112条]
第1部

为施行本条例第103(3)(f)(i)及(g)条
而指明的金额

$1000000或等值外币。

第2部

为施行本条例第103(3)(g)条
而指明的票据

1. 《汇票条例》(第19章)第3条所指的汇票。
2. 《汇票条例》(第19章)第89条所指的承付票。
3. 符合以下说明的任何其他票据：该票据证明有将指定款额(不论是否连同利息)在指定时间或之前付给持票人或票据上指定的人的义务、而收取该指定款额(不论是否连同利息)的权利，是可藉该票据的交付(不论有没有背书)而转让的；如任何该等票据凭借《银行业条例》(第155章)第137B(1)条中“订明票据”的定义的(a)段而属订明票据，则该票据包括在该定义的(b)段就该票据提述的权利或权益。

第3部

获豁免团体

1. 政府。
2. 香港房屋委员会。
3. 机场管理局。
4. 九广铁路公司。
5. 市区重建局。
6. 香港出口信用保险局。
7. 香港科技园公司。
8. 香港生产力促进局。
9. 香港旅游发展局。
10. 香港贸易发展局。
11. 任何其他有任何股份上市的法团，以及该等法团的任何全资附属公司，不论是在香港或其他地方成立为法团的。

第4部

就本条例第103(12)条中“有关条件”的定义
而指明的金额

$100000000或等值外币。

Schedule: 5 Heading: REGULATED ACTIVITIES Version Date: 06/01/2006


[sections 114, 118, 139 &
142 & Schedule 1]
PART 1

The following are regulated activities-
Type 1 : dealing in securities;
Type 2 : dealing in futures contracts;
Type 3 : leveraged foreign exchange trading;
Type 4 : advising on securities;
Type 5 : advising on futures contracts;
Type 6 : advising on corporate finance;
Type 7 : providing automated trading services;
Type 8 : securities margin financing;
Type 9 : asset management.
PART 2

In this Schedule-
"advising on corporate finance" (就机构融资提供意见) means giving advice-
(a) concerning compliance with or in respect of rules made under section 23 or 36 of this Ordinance governing the listing of securities and the code published under section 399(2)(a) or (b) of this Ordinance;
(b) concerning-
(i) any offer to dispose of securities to the public;
(ii) any offer to acquire securities from the public; or
(iii) acceptance of any offer referred to in subparagraph (i) or (ii), but only in so far as the advice is given generally to holders of securities or a class of securities; or
(c) to a listed corporation or public company or a subsidiary of the corporation or company, or to its officers or shareholders, concerning corporate restructuring in respect of securities (including the issue, cancellation or variation of any rights attaching to any securities),
but does not include such advice given by-
(i) a corporation solely to any of its wholly owned subsidiaries, its holding company which holds all its issued shares, or other wholly owned subsidiaries of that holding company;
(ii) a person who is licensed for Type 1 regulated activity who gives such advice wholly incidental to the carrying on of that regulated activity;
(iii) an authorized financial institution which is registered for Type 1 regulated activity which gives such advice wholly incidental to the carrying on of that regulated activity;
(iv) an individual-
(A) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 1 regulated activity by an authorized financial institution registered for that regulated activity; and
(B) who gives such advice wholly incidental to the carrying on of that regulated activity;
(v) a solicitor who gives such advice wholly incidental to his practice as such in a Hong Kong firm or foreign firm within the meaning of the Legal Practitioners Ordinance (Cap 159);
(vi) counsel who gives such advice wholly incidental to his practice as such;
(vii) a certified public accountant who gives such advice wholly incidental to his practice as such in a practice unit within the meaning of the Professional Accountants Ordinance (Cap 50); (Amended 23 of 2004 s. 56)
(viii) a trust company registered under Part VIII of the Trustee Ordinance (Cap 29) which gives such advice wholly incidental to the discharge of its duty as such; or
(ix) a person through-
(A) a newspaper, magazine, book or other publication which is made generally available to the public; or
(B) television broadcast or radio broadcast for reception by the public, whether on subscription or otherwise;
"advising on futures contracts" (就期货合约提供意见) means-
(a) giving advice on-
(i) whether;
(ii) which;
(iii) the time at which; or
(iv) the terms or conditions on which,
futures contracts should be entered into; or
(b) issuing analyses or reports, for the purposes of facilitating the recipients of the analyses or reports to make decisions on-
(i) whether;
(ii) which;
(iii) the time at which; or
(iv) the terms or conditions on which,
futures contracts are to be entered into,
otherwise than by-
(i) a corporation which gives such advice or issues such analyses or reports solely to any of its wholly owned subsidiaries, its holding company which holds all its issued shares, or other wholly owned subsidiaries of that holding company;
(ii) a person who is licensed for Type 2 regulated activity who gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iii) an authorized financial institution which is registered for Type 2 regulated activity which gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iv) an individual-
(A) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 2 regulated activity by an authorized financial institution registered for that regulated activity; and
(B) who gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iva) a person-
(A) who is licensed or registered for Type 9 regulated activity;
(B) who provides a service of managing a portfolio of futures contracts under a collective investment scheme for another person; and
(C) who gives such advice or issues such analyses or reports solely for the purposes of providing the service described in subparagraph (B); (Added L.N. 197 of 2005)
(v) a solicitor who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as a solicitor in a Hong Kong firm or foreign firm within the meaning of the Legal Practitioners Ordinance (Cap 159);
(vi) counsel who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as counsel;
(vii) a certified public accountant who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as a certified public accountant in a practice unit within the meaning of the Professional Accountants Ordinance (Cap 50); (Amended 23 of 2004 s. 56)
(viii) a trust company registered under Part VIII of the Trustee Ordinance (Cap 29) which gives such advice or issues such analyses or reports wholly incidental to the discharge of its duty as such; or
(ix) a person who gives such advice or issues such analyses or reports through-
(A) a newspaper, magazine, book or other publication which is made generally available to the public; or
(B) television broadcast or radio broadcast for reception by the public, whether on subscription or otherwise;
"advising on securities" (就证券提供意见) means-
(a) giving advice on-
(i) whether;
(ii) which;
(iii) the time at which; or
(iv) the terms or conditions on which,
securities should be acquired or disposed of; or
(b) issuing analyses or reports, for the purposes of facilitating the recipients of the analyses or reports to make decisions on-
(i) whether;
(ii) which;
(iii) the time at which; or
(iv) the terms or conditions on which,
securities are to be acquired or disposed of,
otherwise than by-
(i) a corporation which gives such advice or issues such analyses or reports solely to any of its wholly owned subsidiaries, its holding company which holds all its issued shares, or other wholly owned subsidiaries of that holding company;
(ii) a person who is licensed for Type 1 regulated activity who gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iii) an authorized financial institution which is registered for Type 1 regulated activity which gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iv) an individual-
(A) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 1 regulated activity by an authorized financial institution registered for that regulated activity; and
(B) who gives such advice or issues such analyses or reports wholly incidental to the carrying on of that regulated activity;
(iva) a person-
(A) who is licensed or registered for Type 9 regulated activity;
(B) who provides a service of managing a portfolio of securities under a collective investment scheme for another person; and
(C) who gives such advice or issues such analyses or reports solely for the purposes of providing the service described in subparagraph (B); (Added L.N. 197 of 2005)
(v) a solicitor who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as a solicitor in a Hong Kong firm or foreign firm within the meaning of the Legal Practitioners Ordinance (Cap 159);
(vi) counsel who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as counsel;
(vii) a certified public accountant who gives such advice, or issues such analyses or reports as part of an advice given, wholly incidental to his practice as a certified public accountant in a practice unit within the meaning of the Professional Accountants Ordinance (Cap 50); (Amended 23 of 2004 s. 56)
(viii) a trust company registered under Part VIII of the Trustee Ordinance (Cap 29) which gives such advice or issues such analyses or reports wholly incidental to the discharge of its duty as such; or
(ix) a person who gives such advice or issues such analyses or reports through-
(A) a newspaper, magazine, book or other publication which is made generally available to the public; or
(B) television broadcast or radio broadcast for reception by the public, whether on subscription or otherwise,
but does not include the giving of such advice that falls within the meaning of "advising on corporate finance";
"asset management" (资产管理) means-
(a) real estate investment scheme management; or
(b) securities or futures contracts management; (Added L.N. 197 of 2005)
"automated trading services" (自动化交易服务) means services provided by means of electronic facilities, not being facilities provided by a recognized exchange company or a recognized clearing house, whereby-
(a) offers to sell or purchase securities or futures contracts are regularly made or accepted in a way that forms or results in a binding transaction in accordance with established methods, including any method commonly used by a stock market or futures market;
(b) persons are regularly introduced, or identified to other persons in order that they may negotiate or conclude, or with the reasonable expectation that they will negotiate or conclude sales or purchases of securities or futures contracts in a way that forms or results in a binding transaction in accordance with established methods, including any method commonly used by a stock market or futures market; or
(c) transactions-
(i) referred to in paragraph (a);
(ii) resulting from the activities referred to in paragraph (b); or
(iii) effected on, or subject to the rules of, a stock market or futures market,
may be novated, cleared, settled or guaranteed,
but does not include such services provided by a corporation operated by or on behalf of the Government;
"dealing in futures contracts" (期货合约交易), in relation to a person, means-
(a) making or offering to make an agreement with another person to enter into, or to acquire or dispose of, a futures contract;
(b) inducing or attempting to induce another person to enter into, or to offer to enter into, a futures contract; or
(c) inducing or attempting to induce another person to acquire or dispose of a futures contract,
by the person, except where the person-
(i) is carrying out his functions as a recognized clearing house;
(ii) performs the act referred to in paragraph (a), (b) or (c) through another person ("the futures dealer")-
(A) who is licensed or registered for Type 2 regulated activity; or
(B) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 2 regulated activity by an authorized financial institution registered for that regulated activity,
but the person shall be regarded as dealing in futures contracts if, in return for a commission, rebate or other remuneration, the person-
(I) receives from a third person an offer or invitation to enter into a futures contract, and communicates it, either in his name or in the name of the third person, to the futures dealer;
(II) effects an introduction between the futures dealer or his representative and a third person, so that the third person may enter into, or offer or invite to enter into, a futures contract with the futures dealer;
(III) effects an acquisition or disposal of a futures contract for a third person through the futures dealer;
(IV) makes an offer for the futures dealer to a third person to acquire or dispose of a futures contract; or
(V) accepts for the futures dealer an offer by a third person to acquire or dispose of a futures contract;
(iii) performs the act referred to in paragraph (a), (b) or (c) only on a market referred to in section 3(a), (b) or (c) of the Commodity Exchanges (Prohibition) Ordinance (Cap 82);
(iv) is a member of a commodity exchange referred to in section 3(d) of the Commodity Exchanges (Prohibition) Ordinance (Cap 82) who only performs the act referred to in paragraph (a), (b) or (c) on such an exchange;
(v) enters into a market contract;
(vi) is licensed or registered for Type 9 regulated activity and performs the act referred to in paragraph (a), (b) or (c) solely for the purposes of carrying on that regulated activity; or
(vii) as principal performs the act referred to in paragraph (a), (b) or (c) in relation to a futures contract traded otherwise than on a recognized futures market by way of dealing with a person who is a professional investor (whether acting as principal or agent);
"dealing in securities" (证券交易), in relation to a person, means making or offering to make an agreement with another person, or inducing or attempting to induce another person to enter into or to offer to enter into an agreement-
(a) for or with a view to acquiring, disposing of, subscribing for or underwriting securities; or
(b) the purpose or pretended purpose of which is to secure a profit to any of the parties from the yield of securities or by reference to fluctuations in the value of securities,
by the person, except where the person-
(i) is a recognized exchange company operating a stock market;
(ii) is a recognized clearing house;
(iii) is a corporation providing automated trading services under authorization granted under section 95(2) of this Ordinance;
(iv) performs the act through another person ("the securities dealer")-
(A) who is licensed or registered for Type 1 regulated activity; or
(B) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 1 regulated activity by an authorized financial institution registered for that regulated activity,
but the person shall be regarded as dealing in securities if, in return for a commission, rebate or other remuneration, the person-
(I) receives from a third person an offer or invitation to enter into an agreement referred to in paragraph (a) or (b), and communicates it, either in his name or in the name of the third person, to the securities dealer;
(II) effects an introduction between the securities dealer or his representative and a third person, so that the third person may enter into, or offer or invite to enter into, an agreement referred to in paragraph (a) or (b) with the securities dealer;
(III) effects an agreement referred to in paragraph (a) or (b) on behalf of a third person through the securities dealer;
(IV) makes an offer to the securities dealer on behalf of a third person to acquire or dispose of securities; or
(V) accepts for the securities dealer an offer by a third person to enter into an agreement referred to in paragraph (a) or (b);
(v) as principal-
(A) performs the act by way of dealing with a person who is a professional investor (whether acting as principal or agent); or
(B) acquires, disposes of, subscribes for or underwrites securities;
(vi) enters into a market contract;
(vii) issues a prospectus which complies with, or is exempt from compliance with, Part II of the Companies Ordinance (Cap 32) or, in the case of a corporation incorporated outside Hong Kong, Part XII of that Ordinance;
(viii) issues a document relating to the securities of a corporation incorporated in Hong Kong which is not a company, being a document which-
(A) would, if the corporation were a company, be a prospectus to which section 38 of the Companies Ordinance (Cap 32) applies, or would apply if not excluded by section 38(5)(b) or 38A of that Ordinance; and
(B) contains all the matters which, under Part XII of that Ordinance, would be required to contain if the corporation were a corporation incorporated outside Hong Kong and the document were a prospectus issued by the corporation;
(ix) issues a form of application for the shares or debentures of a corporation, together with-
(A) a prospectus which complies with, or is exempt from compliance with, Part II of the Companies Ordinance (Cap 32) or, in the case of a corporation incorporated outside Hong Kong, Part XII of that Ordinance; or
(B) in the case of a corporation incorporated in Hong Kong which is not a company, a document which contains the matters specified in paragraph (viii)(B);
(x) issues a prospectus the registration of which has been authorized by the Commission under section 342C of the Companies Ordinance (Cap 32) in relation to a collective investment scheme that is a corporation-
(A) which is or holds itself out as being engaged primarily in the business of investing, reinvesting or trading in any property (including securities and futures contracts); and
(B) the shares in which are exclusively, or primarily, redeemable shares,
or issues together with the prospectus a form of application for the shares in the corporation;
(xi) issues any advertisement, invitation or document the issue of which has been authorized by the Commission under section 105 of this Ordinance;
(xii) is a trust company registered under Part VIII of the Trustee Ordinance (Cap 29) acting as an agent for a collective investment scheme which, by performing the act, is carrying out its functions of distributing application forms, redemption notices, conversion notices and contract notes, receiving money and issuing receipts on behalf of its principal;
(xiii) is licensed or registered for Type 4 or Type 6 regulated activity and, solely for the purposes of carrying on that regulated activity, he issues a document under section 175(1)(a)(i) or (ii) of this Ordinance, the content of which complies with the requirements of section 175(1)(b) and (c) of this Ordinance; (Amended L.N. 197 of 2005)
(xiv) is licensed or registered for Type 9 regulated activity and performs the act solely for the purposes of carrying on that regulated activity; or (Amended L.N. 197 of 2005)
(xv) in any case where each of the parties to the transaction or proposed transaction under which securities are or will be acquired, disposed of, subscribed for or underwritten as described in paragraph (a) is an authorized financial institution, is an approved money broker within the meaning of section 2(1) of the Banking Ordinance (Cap 155) and performs the act for each of the parties to the transaction or proposed transaction; (Added L.N. 197 of 2005)
"foreign exchange trading" (外汇交易) means entering into or offering to enter into, or inducing or attempting to induce a person to enter into or to offer to enter into, a contract or arrangement whereby any person undertakes to-
(a) exchange currency with another person;
(b) deliver an amount of foreign currency to another person; or
(c) credit the account of another person with an amount of foreign currency,
but does not include any act performed for or in connection with any contract or arrangement or a proposed contract or arrangement as described in paragraphs (i) to (xv) of the definition of "leveraged foreign exchange trading";
"leveraged foreign exchange contract" (杠杆式外汇交易合约) means a contract or arrangement the effect of which is that one party agrees or undertakes to-
(a) make an adjustment between himself and the other party or another person according to whether a currency is worth more or less (as the case may be) in relation to another currency;
(b) pay an amount of money or to deliver a quantity of any commodity determined or to be determined by reference to the change in value of a currency in relation to another currency to the other party or another person; or
(c) deliver to the other party or another person at an agreed future time an agreed amount of currency at an agreed consideration;
"leveraged foreign exchange trading" (杠杆式外汇交易) means-
(a) the act of entering into or offering to enter into, or inducing or attempting to induce a person to enter into or to offer to enter into, a leveraged foreign exchange contract;
(b) the act of providing any financial accommodation to facilitate foreign exchange trading or to facilitate an act referred to in paragraph (a); or
(c) the act of entering into or offering to enter into, or inducing or attempting to induce a person to enter into, an arrangement with another person, on a discretionary basis or otherwise, to enter into a contract to facilitate an act referred to in paragraph (a) or (b),
but does not include any act performed for or in connection with any contract or arrangement or a proposed contract or arrangement-
(i) wholly referable to the provision of property, other than currency, or services or employment at fair or market value;
(ii) where the contract or arrangement is entered into by a corporation-
(A) the principal business of which does not include dealing in currency in any form;
(B) for the purpose of hedging its exposure to currency exchange risks in connection with its business; and
(C) with another corporation;
(iii) that is an exchange transaction within the meaning of the Money Changers Ordinance (Cap 34);
(iv) arranged by an approved money broker within the meaning of section 2(1) of the Banking Ordinance (Cap 155) and every party to which is a corporation or a limited partnership registered under the Limited Partnerships Ordinance (Cap 37);
(v) that is a transaction executed solely for the purpose of its insurance business by an insurer authorized under section 8 of the Insurance Companies Ordinance (Cap 41) to carry on insurance business or deemed to be so authorized under section 61(1) or (2) of that Ordinance;
(vi) that is a contract executed on a specified futures exchange by or through a person who is licensed or registered for Type 2 regulated activity or is wholly incidental to one or more than one such contract or a series of such contracts;
(vii) arranged by-
(A) a body which, in the opinion of the Monetary Authority, is-
(I) a central bank; or
(II) an institution which performs the functions of a central bank; or
(B) an organization which, with the approval of the Monetary Authority, is acting on behalf of a body referred to in subparagraph (A);
(viii) that is a transaction executed on a specified stock exchange by or through a person who is licensed or registered for Type 1 regulated activity or is wholly incidental to one or more than one such transaction or a series of such transactions;
(ix) that is a transaction executed by or through a person who is licensed or registered for Type 7 regulated activity or is wholly incidental to one or more than one such transaction or a series of such transactions;
(x) that is a transaction in an interest or interests in a collective investment scheme authorized by the Commission under section 104 of this Ordinance;
(xi) that is wholly incidental to one or more than one transaction in specified debt securities or a series of such transactions;
(xii) by an authorized financial institution;
(xiii) by any person belonging to a class of persons, or carrying on a type of business, as prescribed by rules made under section 397 of this Ordinance for the purposes of this paragraph;
(xiv) by a person through a trader, but the person shall be regarded as carrying on leveraged foreign exchange trading if, in return for a commission, rebate or other remuneration, the person-
(A) receives from another person an offer or invitation to-
(I) enter into a leveraged foreign exchange contract; or
(II) use any financial accommodation to facilitate foreign exchange trading or facilitate entering into a leveraged foreign exchange contract,
and communicates it, either in his name or in the name of the other person, to the trader;
(B) effects an introduction between the trader or its representative and another person, so that the other person may-
(I) enter into a leveraged foreign exchange contract with the trader; or
(II) use any financial accommodation provided by the trader to facilitate foreign exchange trading or facilitate entering into a leveraged foreign exchange contract; or
(C) effects the entering into a leveraged foreign exchange contract by another person through the trader,
where in this paragraph, "trader" (交易商) means a corporation licensed for Type 3 regulated activity or an authorized financial institution; or
(xv) by-
(A) a collective investment scheme; or
(B) a person in the course of business for the purpose of operating a collective investment scheme,
authorized by the Commission under section 104 of this Ordinance;
"real estate investment scheme management" (房地产投资计划管理), in relation to a person, means providing a service of operating a collective investment scheme for another person by the person, where-
(a) the property that is being managed under the scheme consists primarily of immovable property; and
(b) the scheme is authorized under section 104 of this Ordinance; (Added L.N. 197 of 2005)
"securities margin financing" (证券保证金融资) means providing a financial accommodation in order to facilitate-
(a) the acquisition of securities listed on any stock market, whether a recognized stock market or any other stock market outside Hong Kong; and
(b) (where applicable) the continued holding of those securities,
whether or not those or other securities are pledged as security for the accommodation, but does not include the provision of financial accommodation-
(i) that forms part of an arrangement to underwrite or sub-underwrite securities;
(ii) to facilitate an acquisition of securities in accordance with the term of a prospectus, regardless of whether the offer of securities is made in Hong Kong or elsewhere;
(iii) by a person who is licensed or registered for Type 1 regulated activity in order to facilitate acquisitions or holdings of securities by the person for his client;
(iv) by a collective investment scheme that is a corporation-
(A) which is or holds itself out as being engaged primarily in the business of investing, reinvesting or trading in any property (including securities and futures contracts); and
(B) the shares in which are exclusively, or primarily, redeemable shares,
in order to finance investment in any interest in the collective investment scheme of which it is the issuer;
(v) by an authorized financial institution for the purpose of facilitating acquisitions or holdings of securities by the institution's clients;
(vi) by an individual to a company in which he holds 10% or more of its issued share capital to facilitate acquisitions or holdings of securities; or
(vii) by an intermediary by way of effecting an introduction between a person and a related corporation of the intermediary in order that the corporation may provide the person with financial accommodation; (Amended L.N. 197 of 2005)
"securities or futures contracts management" (证券或期货合约管理), in relation to a person, means providing a service of managing a portfolio of securities or futures contracts for another person by the person, otherwise than by- (Amended L.N. 197 of 2005)
(a) a corporation which provides such service solely to any of its wholly owned subsidiaries, its holding company which holds all its issued shares, or other wholly owned subsidiaries of that holding company;
(b) a person who is licensed for Type 1 or Type 2 regulated activity who provides such service wholly incidental to the carrying on of that regulated activity;
(c) an authorized financial institution which is registered for Type 1 or Type 2 regulated activity which provides such service wholly incidental to the carrying on of that regulated activity;
(d) an individual-
(i) whose name is entered in the register maintained by the Monetary Authority under section 20 of the Banking Ordinance (Cap 155) as engaged in respect of Type 1 or Type 2 (as the case may be) regulated activity by an authorized financial institution registered for that regulated activity; and
(ii) who provides such service wholly incidental to the carrying on of that regulated activity;
(e) a solicitor who provides such service wholly incidental to his practice as such in a Hong Kong firm or foreign firm within the meaning of the Legal Practitioners Ordinance (Cap 159);
(f) counsel who provides such service wholly incidental to his practice as such;
(g) a certified public accountant who provides such service wholly incidental to his practice as such in a practice unit within the meaning of the Professional Accountants Ordinance (Cap 50); or (Amended 23 of 2004 s. 56)
(h) a trust company registered under Part VIII of the Trustee Ordinance (Cap 29) which provides such service wholly incidental to the discharge of its duty as such. (Amended L.N. 197 of 2005)

PART 3
The following are the specified activities referred to in section 114(5) of this Ordinance-
(a) the acquisition of securities listed on a stock market which is or forms part of a stock borrowing or stock return as defined in section 19(16) of the Stamp Duty Ordinance (Cap 117), or any transaction in securities similar to such a borrowing or return; or
(b) the provision of financial accommodation-
(i) to a corporation licensed for Type 1 or Type 8 regulated activity or an authorized financial institution to facilitate acquisitions or holdings of securities;
(ii) by a company to its directors or employees to facilitate acquisitions or holdings of its own securities; or
(iii) by a member of a group of companies to another member of the group to facilitate acquisitions or holdings of securities by that other member.

附表： 5 条文标题： 受规管活动 版本日期： 06/01/2006



[第114、118、139及
142条及附表1]
第1部

以下各项为受规管活动─
第1类∶证券交易；
第2类∶期货合约交易；
第3类∶杠杆式外汇交易；
第4类∶就证券提供意见；
第5类∶就期货合约提供意见；
第6类∶就机构融资提供意见；
第7类∶提供自动化交易服务；
第8类∶提供证券保证金融资；
第9类∶提供资产管理。
第2部

在本附表中─
“外汇交易”(foreign exchange trading) 指订立或要约订立任何合约或安排，或诱使或企图诱使他人订立或要约订立任何合约或安排，而某人藉该合约或安排承诺─
(a) 与另一人兑换货币；
(b) 将某数额的外币交付另一人；或
(c) 将某数额的外币存入另一人的帐户内，
但不包括为“杠杆式外汇交易”的定义中第(i)至(xv)段所描述的合约或安排或为建议的该等合约或安排作出的作为，亦不包括在与该等段落所描述的合约或安排或与建议的该等合约或安排有关连的情况下作出的作为；
“自动化交易服务”(automated trading services) 指透过并非由认可交易所或认可结算所提供的电子设施而提供的服务，而藉该项服务─
(a) 买卖任何证券或期货合约的要约经常以某种方式被提出或接受，而按照已确立的方法(包括证券市场或期货市场一般采用的方法)，以该种方式提出或接受该等要约构成具约束力的交易或导致具约束力的交易产生；
(b) 人与人之间经常互相介绍或认识，从而洽商或完成任何证券或期货合约的买卖，或在有他们将会以某种方式洽商或完成任何证券或期货合约的买卖的合理期望的情况下经常互相介绍或认识，而按照已确立的方法(包括证券市场或期货市场一般采用的方法)，以该种方式洽商或完成该等买卖构成具约束力的交易或导致具约束力的交易产生；或
(c) 符合以下说明的交易得以更替、结算、交收或获得担保─
(i) (a)段提述的；
(ii) 由(b)段提述的活动而产生的；或
(iii) 在证券市场或期货市场或在该等市场的规则的规限下完成的，
但不包括由政府或代政府营办的法团所提供的该等服务；
“房地产投资计划管理”(real estate investment scheme management) 就任何人而言，指该人为另一人提供营办集体投资计划的服务，而─
(a) 在该计划下管理的财产主要由不动产组成；及
(b) 该计划是根据本条例第104条获认可的； (由2005年第197号法律公告增补)
“期货合约交易”(dealing in futures contracts) 就任何人而言，指该人─
(a) 为订立、取得或处置期货合约而与另一人订立或要约与另一人订立协议；
(b) 诱使或企图诱使另一人订立或要约订立期货合约；或
(c) 诱使或企图诱使另一人取得或处置期货合约，
但不包括该人在以下情况进行的期货合约交易─
(i) 该人以认可结算所身分执行其职能；
(ii) 该人透过另一人(“该交易商”)作出(a)、(b)或(c)段提述的作为，而该交易商是─
(A) 就第2类受规管活动获发牌或获注册的；或
(B) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第2类受规管活动受聘于就该类活动获注册的认可财务机构的，
但如该人是为赚取佣金、回佣或其他报酬而进行以下事项，则须视为进行期货合约交易─
(I) 从第三者接收为订立期货合约而提出的要约或邀请，并以他本人或该第三者的名义将该要约或邀请传达予该交易商；
(II) 使该交易商或其代表与第三者互相介绍，以使该第三者可与该交易商订立期货合约或提出与该交易商订立期货合约的要约或邀请；
(III) 透过该交易商为第三者达成期货合约的取得或处置；
(IV) 为该交易商向第三者提出取得或处置期货合约的要约；或
(V) 为该交易商接受第三者提出的取得或处置期货合约的要约；
(iii) 该人只在《商品交易所(禁止经营)条例》(第82章)第3(a)、(b)或(c)条提述的市场作出(a)、(b)或(c)段提述的作为；
(iv) 该人属《商品交易所(禁止经营)条例》(第82章)第3(d)条提述的商品交易所的成员，并且只在该交易所作出(a)、(b)或(c)段提述的作为；
(v) 该人订立市场合约；
(vi) 该人就第9类受规管活动获发牌或获注册，并纯粹为进行该类活动而作出(a)、(b)或(c)段提述的作为；或
(vii) 该人以主事人身分并透过与另一人交易而就并非在认可期货市场交易的期货合约作出(a)、(b)或(c)段提述的作为，而该另一人是专业投资者(不论以主事人或代理人身分行事)；
“就期货合约提供意见”(advising on futures contracts) 指─
(a) 就以下各项提供意见─
(i) 应否订立期货合约；
(ii) 应订立哪些期货合约；
(iii) 应于何时订立期货合约；或
(iv) 应按哪些条款或条件订立期货合约；或
(b) 发出分析或报告，而目的是为利便该等分析或报告的受众就以下各项作出决定─
(i) 是否订立期货合约；
(ii) 须订立哪些期货合约；
(iii) 于何时订立期货合约；或
(iv) 按哪些条款或条件订立期货合约，
但不包括在以下情况提供的意见或发出的分析或报告─
(i) 任何法团纯粹向其任何全资附属公司、持有其所有已发行股份的控股公司，或该控股公司的其他全资附属公司提供上述意见或发出上述分析或报告；
(ii) 就第2类受规管活动获发牌的人完全因为进行该类活动而附带提供上述意见或发出上述分析或报告；
(iii) 就第2类受规管活动获注册的认可财务机构完全因为进行该类活动而附带提供上述意见或发出上述分析或报告；
(iv) 任何符合以下说明的个人─
(A) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第2类受规管活动受聘于就该类活动获注册的认可财务机构的；及
(B) 完全因为进行该类活动而附带提供上述意见或发出上述分析或报告的；
(iva) 任何符合以下说明的人─
(A) 就第9类受规管活动获发牌或获注册的；
(B) 为另一人提供管理在集体投资计划下的期货合约投资组合的服务的；及
(C) 纯粹为提供(B)节描述的服务而提供上述意见或发出上述分析或报告的； (由2005年第197号法律公告增补)
(v) 律师完全因为在《法律执业者条例》(第159章)所指的香港律师行或外地律师行以律师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分；
(vi) 大律师完全因为以大律师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分；
(vii) 会计师完全因为在《专业会计师条例》(第50章)所指的执业单位以会计师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分； (由2004年第23号第56条修订)
(viii) 根据《受托人条例》(第29章)第VIII部注册的信托公司完全因为履行它作为注册信托公司的职责而附带提供上述意见或发出上述分析或报告；或
(ix) 任何人透过─
(A) 普遍地提供予公众阅览的报章、杂志、书籍或其他刊物提供上述意见或发出上述分析或报告；或
(B) 供公众接收(不论是否需付收看费)的电视广播或无线电广播提供上述意见或发出上述分析或报告；
“就机构融资提供意见”(advising on corporate finance) 指─
(a) 对根据本条例第23或36条订立的关于管限证券上市的规章或规则及根据本条例第399(2)(a)或(b)条刊登或发表的守则的遵守问题或就该等规章、规则或守则提供意见；
(b) 提供关于以下各项的意见─
(i) 处置证券而将之转予公众的要约；
(ii) 从公众取得证券的要约；或
(iii) 接受第(i)或(ii)节提述的任何要约，但以意见是普遍地提供予证券或某类别证券的持有人为限；或
(c) 向上市法团、公众公司或该法团或公司的附属公司，或向该法团、公司或附属公司的高级人员或股东提供关于机构重组而在证券方面(包括发行、撤销或更改附于任何证券的权利)的意见，
但不包括在以下情况提供的意见─
(i) 任何法团纯粹向其任何全资附属公司、持有其所有已发行股份的控股公司，或该控股公司的其他全资附属公司提供上述意见；
(ii) 就第1类受规管活动获发牌的人完全因为进行该类活动而附带提供上述意见；
(iii) 就第1类受规管活动获注册的认可财务机构完全因为进行该类活动而附带提供上述意见；
(iv) 任何符合以下说明的个人─
(A) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第1类受规管活动受聘于就该类活动获注册的认可财务机构的；及
(B) 完全因为进行该类活动而附带提供上述意见的；
(v) 律师完全因为在《法律执业者条例》(第159章)所指的香港律师行或外地律师行以律师身分执业而附带提供上述意见；
(vi) 大律师完全因为以大律师身分执业而附带提供上述意见；
(vii) 会计师完全因为在《专业会计师条例》(第50章)所指的执业单位以会计师身分执业而附带提供上述意见； (由2004年第23号第56条修订)
(viii) 根据《受托人条例》(第29章)第VIII部注册的信托公司完全因为履行它作为注册信托公司的职责而附带提供上述意见；或
(ix) 任何人透过─
(A) 普遍地提供予公众阅览的报章、杂志、书籍或其他刊物提供上述意见；或
(B) 供公众接收(不论是否需付收看费)的电视广播或无线电广播提供上述意见；
“就证券提供意见”(advising on securities) 指─
(a) 就以下各项提供意见─
(i) 应否取得或处置证券；
(ii) 应取得或处置哪些证券；
(iii) 应于何时取得或处置证券；或
(iv) 应按哪些条款或条件取得或处置证券；或
(b) 发出分析或报告，而目的是为利便该等分析或报告的受众就以下各项作出决定─
(i) 是否取得或处置证券；
(ii) 须取得或处置哪些证券；
(iii) 于何时取得或处置证券；或
(iv) 按哪些条款或条件取得或处置证券，
但不包括在以下情况提供的意见或发出的分析或报告─
(i) 任何法团纯粹向其任何全资附属公司、持有其所有已发行股份的控股公司，或该控股公司的其他全资附属公司提供上述意见或发出上述分析或报告；
(ii) 就第1类受规管活动获发牌的人完全因为进行该类活动而附带提供上述意见或发出上述分析或报告；
(iii) 就第1类受规管活动获注册的认可财务机构完全因为进行该类活动而附带提供上述意见或发出上述分析或报告；
(iv) 任何符合以下说明的个人─
(A) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第1类受规管活动受聘于就该类活动获注册的认可财务机构的；及
(B) 完全因为进行该类活动而附带提供上述意见或发出上述分析或报告的；
(iva) 任何符合以下说明的人─
(A) 就第9类受规管活动获发牌或获注册的；
(B) 为另一人提供管理在集体投资计划下的证券投资组合的服务的；及
(C) 纯粹为提供(B)节描述的服务而提供上述意见或发出上述分析或报告的； (由2005年第197号法律公告增补)
(v) 律师完全因为在《法律执业者条例》(第159章)所指的香港律师行或外地律师行以律师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分；
(vi) 大律师完全因为以大律师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分；
(vii) 会计师完全因为在《专业会计师条例》(第50章)所指的执业单位以会计师身分执业而附带提供上述意见，或发出上述分析或报告作为他所提供的意见的一部分； (由2004年第23号第56条修订)
(viii) 根据《受托人条例》(第29章)第VIII部注册的信托公司完全因为履行它作为注册信托公司的职责而附带提供上述意见或发出上述分析或报告；或
(ix) 任何人透过─
(A) 普遍地提供予公众阅览的报章、杂志、书籍或其他刊物提供上述意见或发出上述分析或报告；或
(B) 供公众接收(不论是否需付收看费)的电视广播或无线电广播提供上述意见或发出上述分析或报告，
但如所提供的上述意见符合“就机构融资提供意见”的涵义，则“就证券提供意见”不包括提供该等意见；
“资产管理”(asset management) 指─
(a) 房地产投资计划管理；或
(b) 证券或期货合约管理； (由2005年第197号法律公告增补)
“杠杆式外汇交易”(leveraged foreign exchange trading) 指以下任何作为─
(a) 订立或要约订立杠杆式外汇交易合约，或诱使或企图诱使他人订立或要约订立杠杆式外汇交易合约；
(b) 提供任何财务通融，以利便进行外汇交易或(a)段提述的作为；或
(c) 与另一人订立或要约与另一人订立一项为订立合约而作出的安排，或诱使或企图诱使某人与另一人订立一项为订立合约而作出的安排(不论该项安排是否在酌情决定的基础上订立)，以利便进行(a)或(b)段提述的作为，
但不包括为符合下述说明的合约或安排或为建议的该等合约或安排作出的作为，亦不包括在与符合下述说明的合约或安排或与建议的该等合约或安排有关连的情况下作出的作为─
(i) 完全关于以公平价值或市场价值提供财产(货币除外)、服务或职位的；
(ii) 凡该等合约或安排是由一个法团订立的，而─
(A) 该法团的主要业务并不包括任何形式的货币交易；
(B) 该法团订立该等合约或安排的目的，是对它就其业务所承受的货币兑换风险；及
(C) 该等合约或安排是与另一个法团订立的；
(iii) 属《货币兑换商条例》(第34章)所指的兑换交易；
(iv) 由《银行业条例》(第155章)第2(1)条所指的核准货币经纪安排，而有关合约或安排的各方均是法团或根据《有限责任合伙条例》(第37章)注册的有限责任合伙；
(v) 属保险人纯粹为了其保险业务而进行的交易，而该保险人是根据《保险公司条例》(第41章)第8条获授权经营保险业务或根据该条例第61(1)或(2)条被当作获如此授权的；
(vi) 属由任何就第2类受规管活动获发牌或获注册的人或透过该人在指明期货交易所执行的合约，或属完全附带于一份或多于一份该类合约或一系列该类合约的合约；
(vii) 由以下团体或机构所安排的─
(A) 金融管理专员认为属以下性质的团体─
(I) 中央银行；或
(II) 执行中央银行职能的机构；或
(B) 获金融管理专员批准以代(A)节提述的团体行事的机构；
(viii) 属由任何就第1类受规管活动获发牌或获注册的人或透过该人在指明证券交易所执行的交易，或属完全附带于一宗或多于一宗该类交易或一系列该类交易的交易；
(ix) 属由任何就第7类受规管活动获发牌或获注册的人或透过该人执行的交易，或属完全附带于一宗或多于一宗该类交易或一系列该类交易的交易；
(x) 属就证监会根据本条例第104条认可的集体投资计划的一项或多于一项权益而作出的交易；
(xi) 属完全附带于一宗或多于一宗就指明债务证券作出的交易或一系列该类交易的交易；
(xii) 由认可财务机构作出的；
(xiii) 由任何属某类别人士的人或从事某类业务的人作出的，而该类别人士或该类业务是由证监会为施行本段而藉根据本条例第397条订立的规则订明的；
(xiv) 由任何人透过交易商作出的，但如该人是为赚取佣金、回佣或其他报酬而进行以下事项，则须视为进行杠杆式外汇交易─
(A) 该人从另一人接收为进行以下各项而提出的要约或邀请─
(I) 订立杠杆式外汇交易合约；或
(II) 使用任何财务通融以利便进行外汇交易或订立杠杆式外汇交易合约，
并以他本人或该另一人的名义将该要约或邀请传达予该交易商；
(B) 该人使另一人与该交易商或其代表互相介绍，以使该另一人可─
(I) 与该交易商订立杠杆式外汇交易合约；或
(II) 使用由该交易商提供的任何财务通融以利便进行外汇交易或订立杠杆式外汇交易合约；或
(C) 该人透过该交易商而为另一人达成杠杆式外汇交易合约的订立，
在本段中，“交易商”(trader) 指认可财务机构或就第3类受规管活动获发牌的法团；或
(xv) 由─
(A) 证监会根据本条例第104条认可的集体投资计划作出的；或
(B) 任何人为营办证监会根据本条例第104条认可的集体投资计划而在业务过程中作出的；
“杠杆式外汇交易合约”(leveraged foreign exchange contract) 指任何合约或安排，其效果是该合约或安排的一方同意或承诺─
(a) 在他本人与协议的另一方或在他本人与另一人之间，按照某货币相对于另一货币的增值或减值(视属何情况而定)作出调整；
(b) 向协议的另一方或向另一人支付某数额的款项或交付某数量的商品，而该数额或该数量是按照或将会按照某货币相对于另一货币在币值上的变动而厘定的；或
(c) 在议定的将来某个时间，将一笔按议定代价计算的议定数额的货币，交付协议的另一方或交付另一人；
“证券交易”(dealing in securities) 就任何人而言，指该人与另一人订立或要约与另一人订立协议，或诱使或企图诱使另一人订立或要约订立协议，而─
(a) 目的是或旨在取得、处置、认购或包销证券；或
(b) 该等协议的目的或佯称目的是使任何一方从证券的收益或参照证券价值的波动获得利润，
但不包括该人在以下情况进行的证券交易─
(i) 该人是营办证券市场的认可交易所；
(ii) 该人是一间认可结算所；
(iii) 该人是根据本条例第95(2)条获认可提供自动化交易服务的法团；
(iv) 该人透过另一人(“该交易商”)作出有关作为，而该交易商是─
(A) 就第1类受规管活动获发牌或获注册的；或
(B) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第1类受规管活动受聘于就该类活动获注册的认可财务机构的，
但如该人是为赚取佣金、回佣或其他报酬而进行以下事项，则须视为进行证券交易─
(I) 从第三者接收为订立(a)或(b)段提述的协议而提出的要约或邀请，并以他本人或该第三者的名义将该要约或邀请传达予该交易商；
(II) 使该交易商或其代表与第三者互相介绍，以使该第三者可与该交易商订立(a)或(b)段提述的协议，或提出与该交易商订立(a)或(b)段提述的协议的要约或邀请；
(III) 透过该交易商代第三者达成(a)或(b)段提述的协议；
(IV) 代第三者向该交易商提出取得或处置证券的要约；或
(V) 为该交易商接受第三者提出的订立(a)或(b)段提述的协议的要约；
(v) 该人以主事人身分进行以下事项─
(A) 透过与另一人交易而作出有关作为，而该另一人是专业投资者(不论以主事人或代理人身分行事)；或
(B) 取得、处置、认购或包销证券；
(vi) 该人订立市场合约；
(vii) 该人发出符合或获豁免而无需符合《公司条例》(第32章)第II部的招股章程，如该人是在香港以外地方成立的法团，则指发出符合或获豁免而无需符合该条例第XII部的招股章程；
(viii) 该人发出关于在香港成立但并非公司的法团的证券的文件，而─
(A) 假若该法团是一间公司，则该文件便会是《公司条例》(第32章)第38条适用或(若该文件没有被该条例第38(5)(b)或38A条豁除)会适用的招股章程；及
(B) 假若该法团是在香港以外地方成立的法团，而该文件是该法团发出的招股章程的话，则该文件已载有该条例第XII部规定该文件须载有的所有事项；
(ix) 该人发出申请某法团的股份或债权证的表格，而该表格连同─
(A) 符合或获豁免而无需符合《公司条例》(第32章)第II部的招股章程，或(如该法团是在香港以外地方成立的法团)符合或获豁免而无需符合该条例第XII部的招股章程；或
(B) (如该法团是在香港成立的不是公司的法团)载有第(viii)(B)段指明的事项的文件；
(x) 该人就某属法团的集体投资计划发出已获证监会根据《公司条例》(第32章)第342C条批准注册的招股章程，或连同该章程发出该法团的股份的申请表格，而─
(A) 该法团主要是从事或显示本身主要是从事投资、再投资或买卖任何财产(包括证券及期货合约)的业务的；及
(B) 该法团的股份纯粹是或主要是可赎回股份；
(xi) 该人发出已获根据本条例第105条认可发出的广告、邀请或文件；
(xii) 该人是以某集体投资计划的代理人身分行事的、根据《受托人条例》(第29章)第VIII部注册的信托公司，该公司藉作出有关作为而代其主事人执行派发申请表格、赎回通知、转换通知及成交单据，以及收受金钱及发出收据等职能；
(xiii) 该人就第4或6类受规管活动获发牌或获注册，并纯粹为进行该类活动而根据本条例第175(1)(a)(i)或(ii)条发出一份文件，而该文件的内容是符合本条例第175(1)(b)及(c)条的规定的； (由2005年第197号法律公告修订)
(xiv) 该人就第9类受规管活动获发牌或获注册，并纯粹为进行该类活动而作出有关作为；或 (由2005年第197号法律公告修订)
(xv) (凡任何证券根据某交易或将会根据某建议交易而按(a)段描述的方式被取得、处置、认购或包销，而该交易或建议交易的每一方均是认可财务机构)该人是《银行业条例》(第155章)第2(1)条所指的核准货币经纪，并为该交易或建议交易的每一方而作出有关作为； (由2005年第197号法律公告增补)
“证券或期货合约管理”(securities or futures contracts management) 就任何人而言，指该人为另一人提供管理证券或期货合约投资组合的服务，但不包括在以下情况提供的服务─ (由2005年第197号法律公告修订)
(a) 任何法团纯粹向其任何全资附属公司、持有其所有已发行股份的控股公司，或该控股公司的其他全资附属公司提供上述服务；
(b) 就第1或2类受规管活动获发牌的人完全因为进行该类活动而附带提供上述服务；
(c) 就第1或2类受规管活动获注册的认可财务机构完全因为进行该类活动而附带提供上述服务；
(d) 任何符合以下说明的个人─
(i) 名列于金融管理专员根据《银行业条例》(第155章)第20条备存的纪录册并显示为就第1或2类(视属何情况而定)受规管活动受聘于就该类活动获注册的认可财务机构的；及
(ii) 完全因为进行该类活动而附带提供上述服务的；
(e) 律师完全因为在《法律执业者条例》(第159章)所指的香港律师行或外地律师行以律师身分执业而附带提供上述服务；
(f) 大律师完全因为以大律师身分执业而附带提供上述服务；
(g) 会计师完全因为在《专业会计师条例》(第50章)所指的执业单位以会计师身分执业而附带提供上述服务；或 (由2004年第23号第56条修订)
(h) 根据《受托人条例》(第29章)第VIII部注册的信托公司完全因为履行它作为注册信托公司的职责而附带提供上述服务；
“证券保证金融资”(securities margin financing) 指提供财务通融，以利便─
(a) 取得在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市的证券；及
(b) (如适用的话)继续持有该等证券，
而不论该等证券或其他证券是否被质押作为该项通融的抵押，但不包括以下各项─
(i) 提供组成某项包销或分包销证券安排的一部分的财务通融；
(ii) 提供财务通融以利便按照某招股章程的条款取得证券，不论认购有关证券的要约是在香港或其他地方提出的；
(iii) 由任何就第1类受规管活动获发牌或获注册的人提供的、以利便该人为其客户取得或持有证券的财务通融；
(iv) 由属法团的集体投资计划提供的、对投资于它所发行的集体投资计划的任何权益的投资提供财务通融，而─
(A) 该法团主要是从事或显示本身主要是从事投资、再投资或买卖任何财产(包括证券及期货合约)的业务的；及
(B) 该法团的股份纯粹是或主要是可赎回股份；
(v) 由某认可财务机构提供的、以利便该机构的客户取得或持有证券的财务通融；
(vi) 由持有某公司不少于10%已发行股本的个人向该公司提供的、以利便取得或持有证券的财务通融；或
(vii) 由某中介人藉使某人与该中介人的有连系法团互相介绍以使该法团可提供财务通融予该人的方式提供的财务通融。
第3部

以下是本条例第114(5)条提述的指明活动─
(a) 取得在证券市场上市的证券，而此举属《印花税条例》(第117章)第19(16)条所界定的证券借用或证券交还或组成某项该等证券借用或证券交还的一部分，或属与该等借用或交还相似的任何证券交易；或
(b) (i) 向任何就第1或8类受规管活动获发牌的法团或向任何认可财务机构提供的、以利便取得或持有证券的财务通融；
(ii) 由某公司向其董事或雇员提供的、以利便取得或持有该公司本身的证券的财务通融；或
(iii) 由某公司集团的某成员向该集团的另一成员提供的、以利便该另一成员取得或持有证券的财务通融。

Schedule: 6 Heading: SPECIFIED TITLES Version Date: 01/04/2003



[sections 113, 139 & 143]
Item Provision Specified titles
1. Section 139(1) of this Ordinance "bond broker", "bond dealer", "securities dealer", "stock dealer", "stockbroker", "股票经纪", "债券交易商", "债券经纪", "证券交易商" and "证券经纪"
2. Section 139(2) of this Ordinance "futures broker", "futures dealer", "期货交易商" and "期货经纪"
3. Section 139(3) of this Ordinance "leveraged foreign exchange trader" and "杠杆式外汇交易商"
4. Section 139(4) of this Ordinance  "securities adviser", "securities consultant", "stock adviser", "股票顾问" and "证券顾问"
5. Section 139(5) of this Ordinance "futures adviser", "futures consultant" and "期货顾问"
6. Section 139(6) of this Ordinance  "corporate finance adviser", "corporate finance consultant" and "机构融资顾问"
7. Section 139(7) of this Ordinance  "automated trading service provider" and "自动化交易服务提供者"
8. Section 139(8) of this Ordinance "margin lender", "securities margin financier" and "证券保证金融资人"


Schedule: 7 Heading: OFFERS BY INTERMEDIARIES OR REPRESENTATIVES FOR TYPE 1, TYPE 4 OR TYPE 6 REGULATED ACTIVITY UNDER SECTION 175 OF THIS ORDINANCE Version Date: 08/09/2004



[sections 175 & 177]
PART 1

REQUIREMENTS TO BE SATISFIED IN RELATION TO
OFFERS TO ACQUIRE SECURITIES

1. If the securities proposed to be acquired are currently listed or quoted on any stock market, whether a recognized stock market or any other stock market outside Hong Kong, the offer shall-
(a) state that fact and specify the stock markets on which the securities are currently listed or quoted;
(b) specify the closing price in respect of the securities on each stock market on the latest practicable date immediately preceding the date of the offer;
(c) specify the closing price in respect of the securities on the last trading day of each of the 6 months immediately preceding the date of the offer;
(d) specify the highest and the lowest closing prices in respect of the securities during the period of 6 months immediately preceding the date of the offer; and
(e) where the offer has been the subject of a public announcement, whether in a newspaper or any other form of information medium or otherwise, specify the closing price in respect of the securities on the last trading day immediately preceding the public announcement.

2. If the securities proposed to be acquired are not listed or quoted on any stock market, whether a recognized stock market or any other stock market outside Hong Kong, the offer shall contain-
(a) all information that the offeror may have as to the number and nominal value of those securities that have been sold in Hong Kong during the period of 6 months immediately preceding the date of the offer and the prices yielded by those sales; and
(b) particulars of any restriction in the constitution, by whatever name called, of the body in question on the right to transfer the securities, that has the effect of requiring the offerees, before transferring the securities, to offer those securities for purchase to any member of the body or to any other person and, where there is any such restriction, the arrangements (if any) being made to enable the securities to be transferred in pursuance of the offer.

3. If any requirement set out in sections 1 and 2 cannot be satisfied because any of the information and particulars required are not available, or because any of the matters covered by the requirement are not applicable to the body in question, the offer shall instead state that fact and the reasons therefor; and if the body in question is a corporation incorporated in Hong Kong but any of the information and particulars required under section 2 are not available in the returns of the corporation filed with the Registrar of Companies, the offer shall also state that fact.

4. The offer shall contain in a prominent position-
(a) in the case of the English text, the following notice printed in type of a size not smaller than the type known as 8 point Times-

"IMPORTANT

If you are in doubt as to any aspect of this offer,
you should consult a licensed securities dealer,
bank manager, solicitor, certified public
accountant or other professional
adviser."; and



(b) in the case of the Chinese text, the following notice printed in type the face of which is not less than 2.5 mm in depth-

“重要提示

如你对此要约的任何方面有疑问，应谘询持牌证券交易商、
银行经理、律师、会计师或其他专业顾问。”
(Amended 23 of 2004 s. 56)
5. (1) In this Part, "body" (团体) has the meaning assigned to it by section 175(9) of this Ordinance.
(2) Section 175(8) of this Ordinance applies to a reference to securities of a body (however described) in this Part as it applies to such a reference in section 175 of this Ordinance.

PART 2

REQUIREMENTS TO BE SATISFIED IN RELATION TO
OFFERS TO DISPOSE OF SECURITIES

1. If the securities offered are currently listed or quoted on any stock market, whether a recognized stock market or any other stock market outside Hong Kong, or, where the securities are not so listed or quoted, will be uniform in all respects with securities of the body in question that are so listed or quoted, the offer shall-
(a) state that fact and specify the stock markets on which the securities or the securities with which they will be uniform (as the case may be) are currently listed or quoted;
(b) specify the closing price in respect of the securities or the securities with which they will be uniform (as the case may be) on each stock market on the latest practicable date immediately preceding the date of the offer;
(c) specify the closing price in respect of the securities or the securities with which they will be uniform (as the case may be) on the last trading day of each of the 6 months immediately preceding the date of the offer;
(d) specify the highest and the lowest closing prices in respect of the securities or the securities with which they will be uniform (as the case may be) during the period of 6 months immediately preceding the date of the offer; and
(e) where the offer has been the subject of a public announcement, whether in a newspaper or any other form of information medium or otherwise, specify the closing price in respect of the securities or the securities with which they will be uniform (as the case may be) on the last trading day immediately preceding the public announcement.

2. If the securities offered are not listed or quoted on any stock market, whether a recognized stock market or any other stock market outside Hong Kong, and will not be uniform in all respects with securities of the body in question that are so listed or quoted, the offer shall-
(a) contain particulars of any restriction in the constitution, by whatever name called, of the body on the right to transfer the securities, that has the effect of requiring the holder of the securities, before transferring them, to offer them for purchase to any member of the body or to any other person; and
(b) (i) where the securities are of, or issued by, a corporation, contain the particulars specified in section 3 or be accompanied by a statement in writing containing those particulars, unless the offer is accompanied by a document which conforms with Part II or XII of the Companies Ordinance (Cap 32) in relation to the corporation;
(ii) where the securities are of, or issued by, a multilateral agency, contain the particulars specified in section 4 or be accompanied by a statement in writing containing those particulars; or
(iii) where the securities are of, or issued by, a government or municipal government authority, contain the particulars specified in section 5 or be accompanied by a statement in writing containing those particulars.

3. The particulars referred to in section 2(b)(i), in relation to the corporation referred to in that section, are as follows-
(a) (i) the year in which, and the country or territory in which, the corporation has been incorporated;
(ii) the address of its registered or principal office in Hong Kong; and
(iii) where the corporation has been incorporated outside Hong Kong, the address of its registered or principal office in the country or territory in which it is incorporated or is resident;
(b) (i) the authorized capital of the corporation;
(ii) the amount of that capital that has been issued and is outstanding at the date specified as being the close of the 5 financial years of the corporation immediately preceding the date of the offer;
(iii) the classes of shares into which that capital is divided;
(iv) the rights, in respect of capital, dividends and voting, of holders of each of such classes of shares; and
(v) the number and total nominal value respectively of shares of the corporation issued as fully or partly paid up for cash or as fully or partly paid up for a consideration other than cash, or both;
(c) (i) the number and total nominal value of shares issued since the close of the last financial year of the corporation;
(ii) the classes of shares into which the shares issued since the close of the last financial year of the corporation are divided;
(iii) the rights, in respect of capital, dividends and voting, of holders of each of such classes of shares;
(iv) the number and total nominal value respectively of shares issued since the close of the last financial year of the corporation as fully or partly paid up for cash or as fully or partly paid up for a consideration other than cash, or both;
(v) the number of redeemable preference shares redeemed since the close of the last financial year of the corporation and the amounts repaid in respect of the shares so redeemed; and
(vi) particulars of any reduction of capital lawfully authorized in respect of the corporation since the close of the last financial year of the corporation;
(d) particulars of any reorganization of the capital of the corporation during each of its 2 financial years immediately preceding the date of the offer;
(e) (i) the amount of the net profit or loss of the corporation (before taking into account any form of tax calculated by reference to the amount of profits of the corporation);
(ii) the rate per cent and the amount of each payment of dividends made by the corporation in respect of each class of shares during each of its 5 financial years immediately preceding the date of the offer; and
(iii) where no dividend has been paid in respect of shares of any particular class during any of those years, a statement to that effect;
(f) the total amount of any debentures issued by the corporation and outstanding not more than 28 days before the date of the offer, and the total amount of mortgage debts, loans or charges due from the corporation not more than 28 days before that date, together with the rate of interest payable in respect of them;
(g) the names and addresses of the directors of the corporation;
(h) the number, description, and nominal value of the securities of the corporation held by or on behalf of each of its directors or, if a director does not hold any such securities and no such securities are held on his behalf, a statement to that effect; and
(i) whether or not the securities offered are or, in the case of securities to be issued, will be fully paid up, and, if not, to what extent they are or will be paid up, and, if the corporation has fixed a date and amount for payment of outstanding calls, the date and amount of each such call.

4. The particulars referred to in section 2(b)(ii), in relation to the multilateral agency referred to in that section, are as follows-
(a) the details of the organization and administration of the multilateral agency;
(b) the description of the activities of the multilateral agency; and
(c) the particulars of the financial situation of the multilateral agency, including-
(i) the income and expenditure for the past 2 years immediately preceding the date of the offer and the budgetary forecasts for the current year; and
(ii) the public debt for the past 2 years immediately preceding the date of the offer.

5. The particulars referred to in section 2(b)(iii), in relation to the government or municipal government authority referred to in that section, are as follows-
(a) the details of the organization and administration of the government or municipal government authority;
(b) in the case of a government, the particulars of the economic situation of the place of which it is the government, including-
(i) general information on the government;
(ii) the gross national product by economic sector for the past 2 years immediately preceding the date of the offer;
(iii) the production trends in the various economic sectors with a breakdown of the principal production branches for the past 2 years immediately preceding the date of the offer;
(iv) the price, wage and employment trends over the past 2 years immediately preceding the date of the offer;
(v) the export and import trends by economic sector and country over the past 2 years immediately preceding the date of the offer;
(vi) the balance of payments in respect of economic and financial transactions with other places for the past 2 years immediately preceding the date of the offer; and
(vii) the gold and currency reserves;
(c) in the case of a municipal government authority, the particulars of the economic situation of the place of which it is the municipal government authority, including-
(i) general information on the municipal government authority;
(ii) the principal sources of revenue; and
(iii) the production trends in the various economic sectors with a breakdown of the principal production branches for the past 2 years immediately preceding the date of the offer; and
(d) the particulars of the financial situation of the government or municipal government authority, including-
(i) the income and expenditure for the past 2 years immediately preceding the date of the offer and the budgetary forecasts for the current year; and
(ii) the public debt for the past 2 years immediately preceding the date of the offer.

6. If the securities offered are yet to be issued by a body, the offer shall, in addition to any other requirements applicable to them in this Part-
(a) state-
(i) whether or not the issue requires the authority of a resolution of the body;
(ii) the first dividend in which the securities will participate; and
(iii) whether or not there has been, to the knowledge of the offeror, any material change in the financial position of the body since the date of the balance sheet and profit and loss account of the body for its financial year immediately preceding the date of the offer and, if so, the particulars of the change;
(b) be accompanied by copies of the balance sheet and profit and loss account of the body made up to (and including) the end of the last financial year of the body immediately preceding the date of the offer;
(c) be accompanied by copies of the constitution, by whatever name called, of the body unless the offer specifies-
(i) a place in Hong Kong at which such copies may be inspected by offerees; and
(ii) the times at which they may be inspected;
(d) in the case of securities which will be uniform in all respects with previously issued securities of the body that are not currently listed or quoted on any stock market, whether a recognized stock market or any other stock market outside Hong Kong, contain all information that the offeror may have as to the number and nominal value of those securities that have been sold during the period of 6 months immediately preceding the date of the offer and the prices yielded by those sales; and
(e) in the case of securities which will not be uniform in all respects with previously issued securities of the body, state-
(i) the respects in which the securities will differ from the previously issued securities;
(ii) whether or not any voting rights will attach to the securities and, if so, the limitations on those rights; and
(iii) whether or not application for permission to have the securities listed or quoted has been or will be made to any stock market, whether a recognized stock market or any other stock market outside Hong Kong, and, if such an application has been made, the name of the stock market to which the application has been made.

7. If any requirement set out in sections 1 to 6 cannot be satisfied because any of the information, particulars and documents required are not available, or because any of the matters covered by the requirement are not applicable to the body in question, the offer shall instead state that fact and the reasons therefor; and if the body in question is a corporation incorporated in Hong Kong but any of the information, particulars and documents required under sections 2 to 6 are not available in the returns of the corporation filed with the Registrar of Companies, the offer shall also state that fact.

8. The offer shall contain in a prominent position-
(a) in the case of the English text, the following notice printed in type of a size not smaller than the type known as 8 point Times-
"IMPORTANT

If you are in doubt as to any aspect of this offer,
you should consult a licensed securities dealer,
bank manager, solicitor, certified public
accountant or other professional
adviser."; and



(b) in the case of the Chinese text, the following notice printed in type the face of which is not less than 2.5 mm in depth-
“重要提示

如你对此要约的任何方面有疑问，应谘询持牌证券交易商、
银行经理、律师、会计师或其他专业顾问。”.
(Amended 23 of 2004 s. 56)

9. (1) In this Part, "body" (团体) has the meaning assigned to it by section 175(9) of this Ordinance.
(2) Section 175(8) of this Ordinance applies to a reference to securities of a body (however described) in this Part as it applies to such a reference in section 175 of this Ordinance.


Schedule: 8 Heading: SECURITIES AND FUTURES APPEALS TRIBUNAL Version Date: 01/04/2003


[sections 215, 216, 217, 218,
219, 222, 232, 233 &
234 & Schedule 10]
PART 1

APPOINTMENT OF MEMBERS AND PROCEEDINGS OF TRIBUNAL, ETC.

1. In this Schedule, unless the context otherwise requires-
"appeal panel" (上诉委员会) means the panel of persons appointed under section 2;
"application for review" (覆核申请) has the meaning assigned to it by section 215 of this Ordinance;
"chairman" (主席) means the chairman of the Tribunal;
"judge" (法官) has the meaning assigned to it by section 215 of this Ordinance;
"member" (成员) means a member of the Tribunal;
"ordinary member" (普通成员) means a member other than the chairman;
"panel member" (上诉委员) means a member of the appeal panel;
"parties" (各方) has the meaning assigned to it by section 215 of this Ordinance;
"relevant authority" (有关当局) has the meaning assigned to it by section 215 of this Ordinance;
"review" (覆核) has the meaning assigned to it by section 215 of this Ordinance;
"Secretary" (局长) means the Secretary for Financial Services and the Treasury; (Amended L.N. 106 of 2002)
"specified decision" (指明决定) has the meaning assigned to it by section 215 of this Ordinance;
"Tribunal" (审裁处) has the meaning assigned to it by section 215 of this Ordinance.

Appointment of appeal panel

2. The Chief Executive shall appoint persons to a panel comprising such number of members, who are not public officers, as he considers appropriate.

3. Subject to sections 4 and 5, a panel member shall be appointed for such period as the Chief Executive considers appropriate, and may, subject to the other provisions of this Ordinance, from time to time be reappointed.

4. A panel member may at any time resign his office by notice in writing to the Chief Executive.

5. The Chief Executive may by notice in writing remove a panel member from office on the grounds of incapacity, bankruptcy, neglect of duty, conflict of interest or misconduct.

6. For the avoidance of doubt, section 216(5) of this Ordinance does not require the appointment of persons to more than one panel under section 2.

Appointment of chairman

7. The chairman shall be appointed by the Chief Executive on the recommendation of the Chief Justice.

8. Subject to sections 9 to 11, the chairman shall be appointed for a term of 3 years or appointed to act in relation to any specified review, and may, subject to the other provisions of this Ordinance, from time to time be reappointed.

9. The chairman may at any time resign his office by notice in writing to the Chief Executive.

10. The Chief Executive, after consultation with the Chief Justice, may by notice in writing remove the chairman from office on the grounds of incapacity, bankruptcy, neglect of duty, conflict of interest or misconduct.

11. If a review has been commenced by the Tribunal but not completed before the expiry of the chairman's term of office, the Chief Executive may authorize the chairman to continue to act as the chairman for the purpose of completing the review.

Appointment of ordinary members

12. For the purpose of determining a review, the Secretary on the recommendation of the chairman shall appoint 2 panel members as ordinary members in relation to the review.

13. Subject to sections 14 and 15, an ordinary member shall be appointed to act in relation to any specified review, and may, subject to the other provisions of this Ordinance, from time to time be reappointed.

14. An ordinary member may at any time resign his office by notice in writing to the Secretary.

15. Where an ordinary member ceases to be a panel member, he ceases to be such ordinary member.

Sittings


16. The chairman shall convene such sittings of the Tribunal as are necessary to determine a review.

17. Before convening a sitting under section 16 in respect of a review, the Tribunal may give directions to the parties to the review concerning procedural matters to be complied with by the parties and the time within which the parties are required to comply with such matters.

18. Subject to section 19, at any sitting of the Tribunal-
(a) the chairman and 2 ordinary members shall be present;
(b) the chairman shall preside; and
(c) every question before the Tribunal shall be determined by the opinion of the majority of the members except a question of law which shall be determined by the chairman alone.

19. At any sitting of the Tribunal held in respect of any matter which is determined by the chairman alone as the sole member of the Tribunal under section 31 or 32, the chairman only shall be present, and every question before the Tribunal shall be determined by him.

20. Every sitting of the Tribunal shall be held in public unless the Tribunal, on its own motion or on the application of any of the parties to the review, determines that in the interests of justice a sitting or any part thereof shall not be held in public in which case it may hold the sitting or the part thereof (as the case may be) in private.

21. Where an application is made pursuant to section 20 for a determination that a sitting or any part thereof shall not be held in public, any hearing of the application shall be held in private.

22. The parties to a review shall, at any sitting of the Tribunal relating to the review, be entitled to be heard-
(a) in person or, in the case of the relevant authority or a corporation, through an officer or employee of the relevant authority or the corporation (as the case may be); and
(b) through counsel or a solicitor or, with the leave of the Tribunal, through any other person.

23. The chairman shall prepare or cause to be prepared a record of the proceedings at any sitting of the Tribunal, which shall contain such particulars relating to the proceedings as he considers appropriate.

24. The order of proceedings at any sitting of the Tribunal shall be determined by the Tribunal in the manner most appropriate to the circumstances of the case.

Preliminary conferences and consent orders

25. At any time after an application for review has been made, the chairman may-
(a) on his own motion or on the application of any of the parties to the review;
(b) if he considers it appropriate to do so, after consideration of any material that has been submitted to the Tribunal in relation to the application for review by the parties to the review; and
(c) if the parties agree or, in the case of an application made by any party pursuant to paragraph (a), the other party agrees,
direct that a conference, to be attended by the parties or their representatives and presided over by the chairman shall be held for the purposes of-
(i) enabling the parties to prepare for the conduct of the review;
(ii) assisting the Tribunal to determine issues for the purposes of the review; and
(iii) generally securing the just, expeditious and economical conduct of the review.

26. At a conference held in accordance with a direction of the chairman under section 25, the chairman may-
(a) give any direction he considers necessary or desirable for securing the just, expeditious and economical conduct of the review; and
(b) endeavour to secure that the parties to the review make all agreements as they ought reasonably to have made in relation to the review.

27. After a conference has been held in accordance with a direction of the chairman under section 25, the chairman shall report to the Tribunal on such matters relating to the conference as he considers appropriate.

28. At any time after an application for review has been made, the Tribunal or the chairman may make any order which it or he is entitled to make under any provision of this Ordinance, whether or not the requirements otherwise applicable to the making of the order have been complied with, if-
(a) the parties to the review request, and agree to, the making of the order under this section by the Tribunal or the chairman (as the case may be); and
(b) the parties consent to all of the terms of the order.

29. Notwithstanding Part XI of this Ordinance or any other provisions of this Schedule, where under section 28 the Tribunal or the chairman makes any order, the order shall, for all purposes, be regarded as an order made by the Tribunal or the chairman (as the case may be) under the provision in question in compliance with the requirements otherwise applicable to the making of the order.

30. In sections 28 and 29, "order" (命令) includes any finding, determination and any other decision.

Chairman as sole member of Tribunal

31. Where, at any time after an application for review has been made but before any sitting of the Tribunal is held to determine the review, the parties to the review have, by notice in writing given to the Tribunal, informed the Tribunal that they have agreed that the review may be determined by the chairman alone as the sole member of the Tribunal, the chairman may determine the review as the sole member of the Tribunal.

32. Where-
(a) an application is made to the Tribunal pursuant to section 217(4) of this Ordinance for the grant of an extension of the time within which an application for review shall be made; or
(b) an application is made to the Tribunal under section 227(2) of this Ordinance for a stay of execution of a specified decision,
the chairman may determine the application as the sole member of the Tribunal.

33. Where section 31 or 32 applies, the Tribunal constituted by the chairman as the sole member of the Tribunal shall, for all purposes, be regarded as the Tribunal constituted also by 2 ordinary members.

34. After the chairman has made any determination under section 31, or made any determination in respect of an application described in section 32(b), the chairman shall report to the Tribunal the making of the determination and the reasons therefor and such other matters relating to the determination as he considers appropriate.

35. Where-
(a) there is an application described in section 32(b); and
(b) the chairman is precluded by illness, absence from Hong Kong or any other cause from performing his functions, or considers it improper or undesirable that he should perform his functions in relation to the application,
a judge within the meaning of paragraph (a) of the definition of "judge" in section 215 of this Ordinance shall, upon appointment by the Chief Justice for the purpose, determine the application as if he were the chairman duly appointed under this Ordinance, and the provisions of this Ordinance shall apply to him accordingly.

Miscellaneous

36. Except as otherwise provided in this Ordinance, the Tribunal and its members, and any party, witness, counsel, solicitor, or any other person involved, in a review, shall have the same privileges and immunities in respect of the review as they would have if the review were civil proceedings before the Court of First Instance.

PART 2

SPECIFIED DECISIONS

Division 1

Specified decisions made by Commission
Item Provision  Description of decision
1. Section 93(12) of this Ordinance Requirement to pay costs or expenses.
2. Section 95(2) of this Ordinance Refusal to grant an authorization, or imposition of any condition.
3. Section 97(1) of this Ordinance Amendment or revocation of any condition, or imposition of any new condition.
4. Section 98(1) of this Ordinance  Withdrawal of an authorization.
5. Section 104(1) of this Ordinance  Refusal to authorize a collective investment scheme, or imposition of any condition.
6. Section 104(3) of this Ordinance  Refusal to approve an individual nominated in respect of a collective investment scheme.
7. Section 104(3) of this Ordinance  Withdrawal of approval of an individual nominated in respect of a collective investment scheme.
8. Section 104(4) of this Ordinance  Amendment or revocation of any condition, or imposition of any new condition. 
9. Section 105(1) of this Ordinance  Refusal to authorize the issue of any advertisement, invitation or document, or imposition of any condition.
10. Section 105(3) of this Ordinance  Refusal to approve an individual nominated in respect of the issue of any advertisement, invitation or document.
11. Section 105(3) of this Ordinance  Withdrawal of approval of an individual nominated in respect of the issue of any advertisement, invitation or document.
12. Section 105(4) of this Ordinance  Amendment or revocation of any condition, or imposition of any new condition.
13. Section 106(1) of this Ordinance  Withdrawal of an authorization.
14. Section 106(3) of this Ordinance  Refusal to withdraw an authorization.
15. Section 106(4) of this Ordinance  Imposition of any condition.
16. Section 116(1) of this Ordinance  Refusal to grant a licence.
17. Section 116(6) of this Ordinance  Imposition, amendment or revocation of any condition, or imposition of any new condition.
18. Section 117(1) of this Ordinance  Refusal to grant a licence for a period not exceeding 3 months.
19. Section 117(3) of this Ordinance  Imposition, amendment or revocation of any condition, or imposition of any new condition.
20. Section 119(1) of this Ordinance  Refusal to grant registration.
21. Section 119(5) of this Ordinance  Imposition, amendment or revocation of any condition, or imposition of any new condition.
22. Section 120(1) of this Ordinance  Refusal to grant a licence.
23. Section 120(5) of this Ordinance  Imposition of any condition.
24. Section 120(7) of this Ordinance  Amendment or revocation of any condition, or imposition of any new condition.
25. Section 121(1) of this Ordinance  Refusal to grant a licence for a period not exceeding 3 months.
26. Section 121(3) of this Ordinance  Imposition of any condition.
27. Section 121(5) of this Ordinance  Amendment or revocation of any condition, or imposition of any new condition.
28. Section 122(1) of this Ordinance  Refusal to approve an accreditation.
29. Section 122(2) of this Ordinance  Refusal to approve a transfer of an accreditation.
30. Section 124(1) of this Ordinance  Refusal to issue a duplicate licence or certificate of registration.
31. Section 126(1) of this Ordinance  Refusal to approve a person as a responsible officer.
32. Section 126(3) of this Ordinance  Imposition, amendment or revocation of any condition, or imposition of any new condition.
33. Section 127(1) of this Ordinance  Refusal to vary any regulated activity.
34. Section 130(1) of this Ordinance  Refusal to approve premises.
35. Section 132(1) of this Ordinance  Refusal to approve a person to become or continue to be a substantial shareholder.
36. Section 132(3) of this Ordinance  Imposition, amendment or revocation of any condition, or imposition of any new condition.
37. Section 133(1) of this Ordinance  Direction to a licensed corporation.
38. Section 133(2) of this Ordinance  Direction to a person.
39. Section 134(1)(a), (b), (c), (d), (e), (f), (g), (h), (i) or (j) of this Ordinance Refusal to grant a modification or waiver. 
40. Section 134(4) of this Ordinance  Amendment of a modification or waiver, imposition, amendment or revocation of any condition, or imposition of any new condition.
41. Section 146(2) or (5)(b) of this Ordinance  Imposition of any condition.
42. Section 146(5)(a) of this Ordinance  Suspension of a licence.
43. Section 146(6) or (7) of this Ordinance  Amendment of any condition.
44. Section 147(3)(a) of this Ordinance  Suspension of a licence.
45. Section 147(3)(b) of this Ordinance  Imposition of any condition.
46. Section 147(4) or (5) of this Ordinance  Amendment of any condition.
47. Section 159(1) of this Ordinance  Appointment of an auditor.
48. Section 159(4) of this Ordinance  Direction to pay any of the costs and expenses of any examination and audit.
49. Section 160(1) of this Ordinance  Appointment of an auditor.
50. Section 160(8) of this Ordinance  Direction to pay any of the costs and expenses of any examination and audit.
51. Section 194(1)(i), (ii), (iii) or (iv) of this Ordinance  Exercise of power to revoke or suspend a licence or the approval of a person as a responsible officer, to publicly or privately reprimand a person, or to impose a prohibition on a person.
52. Section 194(2) of this Ordinance  Order to pay a pecuniary penalty.
53. Section 195(1)(a), (b) or (c) of this Ordinance Revocation or suspension of a licence.
54. Section 195(2) of this Ordinance  Revocation of a licence.
55. Section 195(7) of this Ordinance  Revocation or suspension of the approval of a person as a responsible officer.
56. Section 196(1)(i), (ii) or (iii) of this Ordinance  Exercise of power to revoke or suspend any registration, to publicly or privately reprimand a person, or to impose a prohibition on a person.
57. Section 196(2) of this Ordinance  Order to pay a pecuniary penalty.
58. Section 197(1)(a) or (b) of this Ordinance  Revocation or suspension of any registration.
59. Section 197(2) of this Ordinance  Revocation of any registration.
60. Section 202(1) of this Ordinance  Requirement to transfer records.
61. Section 203(1) of this Ordinance  Imposition of any condition.
62. Section 204(1)(a) or (b) of this Ordinance  Prohibition or requirement imposed on a licensed corporation concerning transactions, etc.
63. Section 205(1)(a) or (b) of this Ordinance  Prohibition or requirement imposed on a licensed corporation concerning relevant property.
64. Section 206(1) of this Ordinance  Requirement imposed on a licensed corporation to maintain property.
65. Section 208(1)(b) of this Ordinance  Substitution or variation of a prohibition or requirement under section 204, 205 or 206 of this Ordinance.
66. Section 208(1) of this Ordinance  Refusal to withdraw, substitute or vary a prohibition or requirement under section 204, 205 or 206 of this Ordinance.
67. Section 309(2) of this Ordinance  Refusal to grant an exemption, or imposition of any condition.
68. Section 309(3) of this Ordinance  Refusal to grant an exemption, or imposition of any condition.
69. Section 309(4)(a) or (b) of this Ordinance  Suspension or withdrawal of an exemption, or amendment of any condition.
70. Section 403 of this Ordinance  Imposition of any condition.
71. Section 38A(1) of the Companies Ordinance (Cap 32)  Refusal to issue a certificate of exemption, or imposition of any condition.
72. Section 342A(1) of the Companies Ordinance (Cap 32) Refusal to issue a certificate of exemption, or imposition of any condition.
73. Section 6(2) of the Securities and Futures (Stock Market Listing) Rules (Cap 571 sub. leg. V) Objection to a listing of securities. (Added L.N. 231 of 2002)
74. Section 6(3)(b) of the Securities and Futures (Stock Market Listing) Rules (Cap 571 sub. leg. V) Imposition of any condition. (Added L.N. 231 of 2002)
75. Section 8(3) of the Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap 571 sub. leg. X) Refusal to approve a corporation as an approved lending agent. (Added L.N. 231 of 2002)
76. Section 8(4) of the Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap 571 sub. leg. X) Imposition of any condition. (Added L.N. 231 of 2002)
77. Section 8(6) of the Securities and Futures (Disclosure of Interests-Securities Borrowing and Lending) Rules (Cap 571 sub. leg. X) Withdrawal of an approval. (Added L.N. 231 of 2002)
78. Section 4(4)(c) of the Securities and Futures (Contracts Limits and Reportable Positions) Rules (Cap 571 sub. leg. Y) Refusal to give notice. (Added L.N. 231 of 2002)

Division 2

Specified decisions made by Monetary Authority
Item Provision Description of decision
1. Section 58A(1)(c) or (d) of the Banking Ordinance (Cap 155)  Removal or suspension of relevant particulars of a relevant individual from the register.
2. Section 71C(1) of the Banking Ordinance (Cap 155) Refusal to give consent. 
3. Section 71C(2)(b) of the Banking Ordinance (Cap 155) Attachment of any condition.
4. Section 71C(4)(c) or (d) of the Banking Ordinance (Cap 155) Withdrawal or suspension of consent.
5. Section 71C(9) of the Banking Ordinance (Cap 155) Attachment or amendment of any condition.
6. Section 71E(3) of the Banking Ordinance (Cap 155) Attachment or amendment of any condition.

Division 3

Specified decisions made by Commission or
recognized investor compensation company
Item Provision Description of decision
1. Section 4(4) of the Securities and Futures (Investor Compensation-Claims) Rules (Cap 571 sub. leg. T) Refusal to determine that a claim which is not lodged within the time limit provided in section 4(3) of the Securities and Futures (Investor Compensation-Claims) Rules (Cap 571 sub. leg. T) is not barred. (Added L.N. 231 of 2002)
2. Section 7(1)(a), (b) or (c) of the Securities and Futures (Investor Compensation-Claims) Rules (Cap 571 sub. leg. T) Determination as to whether there has been a default, as to the date of default, or as to whether a claimant is entitled to compensation. (Added L.N. 231 of 2002)
3. Section 7(2) of the Securities and Futures (Investor Compensation-Claims) Rules (Cap 571 sub. leg. T) Determination of a provisional amount of compensation. (Added L.N. 231 of 2002)
4. Section 9(3) of the Securities and Futures (Investor Compensation-Claims) Rules (Cap 571 sub. leg. T) Aggregation of separate claims or parts of those claims. (Added L.N. 231 of 2002)

PART 3

Division 1

Specified decisions referred to in section 217(3)(b)
of this Ordinance
Item Description of specified decision Provisions
1. A specified decision set out in item 41 or 43 of Division 1 of Part 2. Section 146(10) of this Ordinance.
2. A specified decision set out in item 45 or 46 of Division 1 of Part 2. Section 147(8) of this Ordinance.

Division 2

Specified decisions referred to in section 218(4)(a)
of this Ordinance
Item Description of specified decision Provisions
1. A specified decision set out in item 56 or
57 of Division 1 of Part 2. Sections 58A(1) and 71C(4) of the Banking Ordinance (Cap 155).

Division 3

Specified decisions referred to in section 218(4)(b)
of this Ordinance
Item Description of specified decision Provision
1. A specified decision set out in item 1 or 4 of Division 2 of Part 2. Section 196(1) and (2) of this Ordinance.

Division 4

Specified decisions referred to in section 232(1)
of this Ordinance
Item Description of specified decision Provision
1. A specified decision set out in item 41 or 43 of Division 1 of Part 2. Section 146(10) of this Ordinance.
2. A specified decision set out in item 45 or 46 of Division 1 of Part 2. Section 147(8) of this Ordinance.

Division 5

Specified decisions referred to in section 232(2)
of this Ordinance
Item Description of specified decision Provision
1. A specified decision set out in item 3 of Division 1 of Part 2. Section 97(2) of this Ordinance.
2. A specified decision set out in item 4 of Division 1 of Part 2. Section 98(6) of this Ordinance.
3. A specified decision set out in item 17 of Division 1 of Part 2. Section 116(7) of this Ordinance.
4. A specified decision set out in item 19 of Division 1 of Part 2. Section 117(4) of this Ordinance.
5. A specified decision set out in item 21 of Division 1 of Part 2. Section 119(6) of this Ordinance.
6. A specified decision set out in item 24 of Division 1 of Part 2. Section 120(8) of this Ordinance.
7. A specified decision set out in item 27 of Division 1 of Part 2. Section 121(6) of this Ordinance.
8. A specified decision set out in item 36 of Division 1 of Part 2. Section 132(4) of this Ordinance.
9. A specified decision set out in item 42 of Division 1 of Part 2. Section 146(9) of this Ordinance.
10. A specified decision set out in item 41 or 43 of Division 1 of Part 2. Section 146(10) of this Ordinance.
11. A specified decision set out in item 44 of Division 1 of Part 2. Section 147(7) of this Ordinance.
12. A specified decision set out in item 45 or 46 of Division 1 of Part 2. Section 147(8) of this Ordinance.
13. A specified decision set out in item 61 of Division 1 of Part 2. Section 203(3) of this Ordinance.
14. A specified decision set out in item 62, 63, 64 or 65 of Division 1 of Part 2. Section 209(1) of this Ordinance.
15. A specified decision set out in item 6 of Division 2 of Part 2. Section 71E(4) of the Banking Ordinance (Cap 155).
16. A specified decision set out in item 73 of Division 1 of Part 2. Section 6(5) of the Securities and Futures (Stock Market Listing) Rules (Cap 571 sub. leg. V). (Added L.N. 231 of 2002)
17. A specified decision set out in item 74 of Division 1 of Part 2. Section 6(5) of the Securities and Futures (Stock Market Listing) Rules (Cap 571 sub. leg. V). (Added L.N. 231 of 2002)

附表： 6 条文标题： 指明称衔 版本日期： 01/04/2003



[第113、139及143条]
项 条文 指明称衔
1. 本条例第139(1)条 “股票经纪”、“债券交易商”、“债券经纪”、“证券交易商”、“证券经纪”、“bond broker”、“bond dealer”、“securities dealer”、“stock dealer”及“stockbroker”
2. 本条例第139(2)条 “期货交易商”、“期货经纪”、“futures broker”及“futures dealer”
3. 本条例第139(3)条 “杠杆式外汇交易商”及“leveraged foreign exchange trader”
4. 本条例第139(4)条 “股票顾问”、“证券顾问”、“securities adviser”、“securities consultant”及“stock adviser”
5. 本条例第139(5)条 “期货顾问”、“futures adviser”及“futures consultant”
6. 本条例第139(6)条 “机构融资顾问”、“corporate finance adviser”及“corporate finance consultant”
7. 本条例第139(7)条 “自动化交易服务提供者”及“automated trading service provider”
8. 本条例第139(8)条 “证券保证金融资人”、“margin lender”及“securities margin financier”


附表： 7 条文标题： 本条例第175条所指由进行第1、4或6类受规管活动的中介人或代表提出的要约 版本日期： 08/09/2004



[第175及177条]
第1部

为取得证券而提出的要约所须符合的规定

1. 如拟取得的证券当时是在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市或报价的，则该要约─
(a) 须说明该事实，并须指明该等市场；
(b) 须指明该等证券在紧接该要约日期前在切实可行范围内最近的日期，在每一该等市场上的收市价；
(c) 须指明该等证券在紧接该要约日期前的6个月内，在每一月份的最后一个交易日的收市价；
(d) 须指明该等证券在紧接该要约日期前的6个月内的最高和最低收市价；及
(e) 如曾是一项公开宣告(不论是在报章或其他形式的资讯媒介作出的或以其他方式作出)的标的，须指明该等证券在紧接该宣告前的最后一个交易日的收市价。
2. 如拟取得的证券没有在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市或报价的，则该要约─
(a) 须载有要约人所掌握的关于在紧接该要约日期前的6个月内该等证券在香港售出的数目、面值及成交价的所有资料；及
(b) 须载有在有关团体的章程(不论实际如何称述)中对转让该等证券的权利的任何限制的详情，该等限制的效力是规定受要约人转让该等证券前，须先向该团体的成员或任何其他人提出让他们购买该等证券的要约；凡有该等限制，则并须载有为使该等证券能够依据该要约转让而作出的安排(如有的话)。
3. 如因不能取得第1或2条列出的规定所规定的某些资料或详情，或因第1或2条列出的规定所规定的事宜不适用于有关团体，以致不能符合该规定，该要约须改为说明该事实及其理由；如该团体是在香港成立的法团，而送交公司注册处处长存档的该法团的申报表中并无提供第2条规定的某些资料或详情，则该要约亦须说明该事实。
4. 要约─
(a) 的英文本须在显眼位置载有以下通知，印刷字体须不小于泰晤士报8点字─

“IMPORTANT

If you are in doubt as to any aspect of this offer,
you should consult a licensed securities dealer,
bank manager, solicitor, certified public
accountant or other professional
adviser.”；及



(b) 的中文本须在显眼位置载有以下通知，印刷字面长度须不少于2.5毫米─
“重要提示

如你对此要约的任何方面有疑问，应谘询持牌证券交易商、
银行经理、律师、会计师或其他专业顾问。”。
(由2004年第23号第56条修订)
5. (1) 在本部中，“团体”(body) 具有本条例第175(9)条给予该词的涵义。
(2) 本条例第175(8)条适用于在本部中提述某团体(不论实际如何称述)的证券之处，一如该条适用于本条例第175条中提述某团体的证券之处。

第2部

为将证券处置而提出的要约所须符合的规定

1. 如要约所涉的证券当时在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市或报价，或(如该等证券并非如上述般上市或报价)将会是与有关团体的且已如上述般上市或报价的证券在所有方面一致的，则该要约─
(a) 须说明该事实，并须指明该等证券或将会是与该等证券一致的证券(视属何情况而定)当时上市或报价所在的证券市场；
(b) 须指明该等证券或将会是与该等证券一致的证券(视属何情况而定)在紧接该要约日期前在切实可行范围内最近的日期，在每一该等市场的收市价；
(c) 须指明该等证券或将会是与该等证券一致的证券(视属何情况而定)在紧接该要约日期前的6个月内，在每一月份的最后一个交易日的收市价；
(d) 须指明该等证券或将会是与该等证券一致的证券(视属何情况而定)在紧接该要约日期前的6个月内的最高和最低收市价；及
(e) 如曾是一项公开宣告(不论是在报章或其他形式的资讯媒介作出的或以其他方式作出)的标的，须指明该等证券或将会是与该等证券一致的证券(视属何情况而定)在紧接该宣告前的最后一个交易日的收市价。
2. 如要约所涉的证券没有在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市或报价的，亦并非将会与有关团体的且已如上述般上市或报价的证券在所有方面一致的，则该要约须─
(a) 载有在有关团体的章程(不论实际如何称述)中对转让该等证券的权利的任何限制的详情，该等限制的效力是规定该等证券的持有人转让该等证券前，须先向该团体的成员或任何其他人提出让他们购买该等证券的要约；及
(b) (i) (如该要约所涉的证券是某法团的或由某法团发行的证券)载有第3条指明的详情，或附有一份载有该等详情的书面陈述，但如该要约已附有一份就该法团符合《公司条例》(第32章)第II或XII部的文件，则属例外；
(ii) (如该要约所涉的证券是某多边机构的或由某多边机构发行的证券)载有第4条指明的详情，或附有一份载有该等详情的书面陈述；或
(iii) (如该要约所涉的证券是某政府或市政府当局的或由某政府或市政府当局发行的证券)载有第5条指明的详情，或附有一份载有该等详情的书面陈述。
3. 就第2(b)(i)条提述的法团而言，该条提述的详情如下─
(a) (i) 该法团成立的年份及成立的所在国家或地区；
(ii) 该法团在香港的注册办事处或总办事处的地址；及
(iii) (如该法团是在香港以外的国家或地区成立的)该法团在该国家或地区或其所驻的国家或地区的注册办事处或总办事处的地址；
(b) (i) 该法团的法定资本；
(ii) 该资本中在指明日期(即指明为该法团在紧接要约日期前5个财政年度内每一年度结束之日的日期)已发行而未偿的部分的款额；
(iii) 该资本分为哪些股份类别；
(iv) 每一股份类别的股东在资本、股息及投票方面的权利；及
(v) 以现金全部或部分缴足股款而发行的股份或以非现金代价全部或部分缴足股款而发行的该法团的股份(或该两种股份)各自的数目及总面值；
(c) (i) 自该法团上一个财政年度结束后发行的股份的数目及总面值；
(ii) 自该法团上一个财政年度结束后发行的股份分为哪些股份类别；
(iii) 每一股份类别的股东在资本、股息及投票方面的权利；
(iv) 自该法团上一个财政年度结束后以现金全部或部分缴足股款而发行的股份或以非现金代价全部或部分缴足股款而发行的股份(或该两种股份)各自的数目及总面值；
(v) 自该法团上一个财政年度结束后赎回的可赎回优先股的数目和就该等赎回的股份所偿付的款额；及
(vi) 自该法团上一个财政年度结束后合法批准的该法团的资本减少的详情；
(d) 该法团在其紧接要约日期前2个财政年度内每一年度中任何资本重组的详情；
(e) (i) 该法团的纯利润或净亏损(在计算参照该法团的利润款额而计算的任何形式的税项前)的款额；
(ii) 该法团在其紧接该要约日期前5个财政年度内每一年度中，就每一类别的股份所派发的股息的百分率及款额；及
(iii) 如在该等年度中的任何年度并无就任何个别类别的股份支付股息，则为说明此事的陈述；
(f) 该法团所发行的并在要约日期前的28日内尚未清偿的任何债权证的总款额，以及该法团在要约日期前的28日内所拖欠的按揭债项、贷款或押记的总款额，并连同就该等欠款须付的利息的利率；
(g) 该法团的董事的姓名或名称及地址；
(h) 该法团的每一名董事持有或由他人代其持有的该法团的证券的数目、种类及面值，如某董事并没有持有任何该等证券，亦无人代其持有任何该等证券，则为说明此事的陈述；及
(i) 要约所涉的证券是否属已全部缴足款额的，如所涉证券为将予发行者，则是否将会属全部缴足款额的，而如属非全部缴足者，则该等证券缴足款额或将会缴足款额的幅度；如该法团已定下未偿催缴股款须予缴付的款额及缴款日期，则为每一该等催缴的日期及款额。
4. 就第2(b)(ii)条提述的多边机构而言，该条提述的详情如下─
(a) 该机构的组织及行政的细节；
(b) 对该机构的事务的描述；及
(c) 该机构的财政状况的详情，包括─
(i) 在紧接要约日期前的2年的收入及支出，以及当年的财政收支预测；及
(ii) 在紧接要约日期前的2年的公债。
5. 就第2(b)(iii)条提述的政府或市政府当局而言，该条提述的详情如下─
(a) 该政府或市政府当局的组织及行政的细节；
(b) (就某地方的政府而言)该地方的经济状况的详情，包括─
(i) 关于该政府的一般资料；
(ii) 在紧接要约日期前的2年按经济环节显示的国民生产总值；
(iii) 各经济环节在紧接要约日期前的2年的生产趋势，连同主要生产分支的细目分类；
(iv) 在紧接要约日期前的2年的价格、工资及就业趋势；
(v) 在紧接要约日期前的2年按经济环节及地区显示的出入口趋势；
(vi) 在紧接要约日期前的2年与其他地方的经济及金融交易的收支差额；及
(vii) 黄金及货币储备；
(c) (就某地方的市政府当局而言)该地方的经济状况的详情，包括─
(i) 关于该市政府当局的一般资料；
(ii) 主要收入来源；及
(iii) 各经济环节在紧接要约日期前的2年的生产趋势，连同主要生产分支的细目分类；及
(d) 该政府或市政府当局的财政状况的详情，包括─
(i) 在紧接要约日期前的2年的收入及支出，以及当年的财政收支预测；及
(ii) 在紧接要约日期前的2年的公债。
6. 如要约所涉的证券尚未由有关团体发行，则除本部适用于该等证券的规定外─
(a) 该要约亦须说明─
(i) 该次发行是否需要该团体的决议作为授权依据；
(ii) 该等证券将会分享的首次股息派发；及
(iii) 就要约人所知，自该团体在其紧接要约日期前的上一个财政年度的资产负债表和损益表的日期起，该团体的财政状况曾否有任何重大变化，如有的话，则须说明该等变化的详情；
(b) 该要约亦须附有以该团体在紧接要约日期前的上一个财政年度终结时的状况为准的该团体的资产负债表和损益表的文本；
(c) 除在以下情况下，该要约亦须附有该团体的章程(不论实际如何称述)的文本─
(i) 该要约指明可供受要约人查阅该等文本的香港某地方；及
(ii) 该要约指明该等文本可在何时查阅；
(d) 如该等证券将会是与该团体以往发行但当时没有在任何证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)上市或报价的证券在所有方面一致的，该要约亦须载有要约人掌握的关于该等证券在紧接要约日期前的6个月内所售出的数目、面值及成交价的所有资料；及
(e) 如该等证券并非将会与该团体以往发行的证券在所有方面一致，该要约亦须说明─
(i) 该等证券与该等以往发行的证券将会有何不同；
(ii) 该等证券是否将会附连任何投票权利，如附连该等权利，则须说明对该等权利的限制；及
(iii) 是否已经或将会向某证券市场(不论是认可证券市场或香港以外地方的任何其他证券市场)申请准许，以使该等证券得以上市或报价，如已提出上述申请，则须说明该市场的名称。
7. 如因不能取得第1至6条列出的规定所规定的某些资料、详情或文件，或因第1至6条列出的规定所规定的事宜不适用于有关团体，以致不能符合该规定，该要约须改为说明该事实及其理由；如该团体是在香港成立的法团，而送交公司注册处处长的该法团的申报表中并无提供第2至6条规定的某些资料、详情或文件，则该要约亦须说明该事实。
8. 要约─
(a) 的英文本须在显眼位置载有以下通知，印刷字体须不小于泰晤士报8点字─

“IMPORTANT

If you are in doubt as to any aspect of this offer,
you should consult a licensed securities dealer,
bank manager, solicitor, certified public
accountant or other professional
adviser.”；及



(b) 的中文本须在显眼位置载有以下通知，印刷字面长度须不少于2.5毫米─

“重要提示

如你对此要约的任何方面有疑问，应谘询持牌证券交易商、
银行经理、律师、会计师或其他专业顾问。”。
(由2004年第23号第56条修订)
9. (1) 在本部中，“团体”(body) 具有本条例第175(9)条给予该词的涵义。
(2) 本条例第175(8)条适用于在本部中提述某团体(不论实际如何称述)的证券之处，一如该条适用于本条例第175条中提述某团体的证券之处。


附表： 8 条文标题： 证券及期货事务上诉审裁处 版本日期： 01/04/2003



[第215、216、217、218、
219、222、232、233
及234条及附表10]
第1部

成员的委任及审裁处的研讯程序等

1. 在本附表中，除文意另有所指外─
“上诉委员”(panel member) 指上诉委员会委员；
“上诉委员会”(appeal panel) 指根据第2条委出的委员会；
“主席”(chairman) 指审裁处主席；
“各方”(parties) 具有本条例第215条给予该词的涵义；
“有关当局”(relevant authority) 具有本条例第215条给予该词的涵义；
“局长”(Secretary) 指财经事务及库务局局长； (由2002年第106号法律公告修订)
“成员”(member) 指审裁处成员；
“法官”(judge) 具有本条例第215条给予该词的涵义；
“指明决定”(specified decision) 具有本条例第215条给予该词的涵义；
“普通成员”(ordinary member) 指并非主席的成员；
“审裁处”(Tribunal) 具有本条例第215条给予该词的涵义；
“覆核”(review) 具有本条例第215条给予该词的涵义；
“覆核申请”(application for review) 具有本条例第215条给予该词的涵义。

委出上诉委员会

2. 行政长官须委出由他认为适当的数目的非公职人员组成的上诉委员会。
3. 在不抵触第4及5条的条文下，上诉委员的任期为行政长官认为适当的期间，并可在本条例其他条文的规限下不时获再度委任。
4. 上诉委员可随时以书面通知行政长官而辞职。
5. 行政长官可基于某上诉委员丧失履行职务能力、破产、疏于职守、有利益冲突或行为失当的理由，而藉书面通知将该委员免任。
6. 为免生疑问，本条例第216(5)条并不规定根据第2条委出多于一个委员会。

主席的委任

7. 主席由行政长官按终审法院首席法官所作建议而委任。
8. 在不抵触第9至11条的条文下，主席的任期为3年，或获委任就指明的覆核行事，并可在本条例其他条文的规限下不时获再度委任。
9. 主席可随时以书面通知行政长官而辞职。
10. 行政长官可基于主席丧失履行职务能力、破产、疏于职守、有利益冲突或行为失当的理由，而在谘询终审法院首席法官后藉书面通知将主席免任。
11. 由审裁处展开的覆核如在主席任期届满之前仍未完成，行政长官可授权他继续担任主席，以完成该项覆核。

普通成员的委任

12. 为裁定某项覆核，局长须按主席的建议而就该项覆核委任2名上诉委员为普通成员。
13. 在不抵触第14及15条的条文下，普通成员获委任就指明的覆核行事，并可在本条例其他条文的规限下不时获再度委任。
14. 普通成员可随时以书面通知局长而辞职。
15. 普通成员停任上诉委员时，即停任普通成员。

聆讯

16. 主席须为裁定有关覆核而召开所需的审裁处聆讯。
17. 在根据第16条就某项覆核召开聆讯前，审裁处可就该项覆核的各方所须遵从的程序事宜，以及各方须在什么时间内遵从该等事宜，给予指示。
18. 除第19条另有规定外─
(a) 主席及2名普通成员须出席审裁处任何聆讯；
(b) 审裁处任何聆讯均由主席主持；及
(c) 在审裁处任何聆讯中，每项有待审裁处裁定的问题，均取决于成员的多数意见，但法律问题须由主席单独裁定。
19. 在主席根据第31或32条就任何由他以审裁处单一成员身分单独裁定的事宜而进行的聆讯中，只有主席须出席，而每项有待审裁处裁定的问题，均由他裁定。
20. 审裁处所有聆讯均须公开进行，但如审裁处主动或应有关覆核的各方或其中一方的申请而裁定，为公正起见，某次聆讯或其中任何部分不得公开进行，则该次聆讯或该部分聆讯(视属何情况而定)可闭门进行。
21. 凡有人依据第20条申请裁定某次聆讯或其中任何部分不得公开进行，该申请的聆讯须闭门进行。
22. 覆核的各方均有权在任何与该项覆核有关的审裁处聆讯中─
(a) 亲自陈词，就有关当局或任何法团而言，可由其高级人员或雇员陈词；及
(b) 由大律师或律师陈词，或在审裁处许可下，由任何其他人陈词。
23. 主席须在审裁处的聆讯中拟备或安排拟备研讯程序的纪录，该纪录须载有他认为适当而与该程序有关的详情。
24. 在审裁处聆讯中的研讯程序，由审裁处以对有关案件的情况属最适当的方式决定。

初步会议及同意令

25. 在覆核申请提出后的任何时间，主席可─
(a) 主动或应该项覆核的各方中的任何一方提出的申请；
(b) 在经考虑该项覆核的各方就该覆核申请呈交审裁处的任何材料而认为作出以下指示是适当的情况下；及
(c) 在各方同意或(如任何一方依据(a)段提出申请)另一方同意的情况下，
指示为以下目的举行会议，由该项覆核的各方或其代表出席，并由主席主持─
(i) 使各方能够准备进行该项覆核；
(ii) 协助审裁处为该项覆核的目的就争议点作出裁定；及
(iii) 一般而言，使该项覆核得以在公正、迅速和合乎经济原则的情况下进行。
26. 在按照主席根据第25条作出的指示而举行会议时，主席可─
(a) 给予他认为为使有关覆核得以在公正、迅速和合乎经济原则的情况下进行而属有需要或可取的指示；及
(b) 设法确保有关覆核的各方就该项覆核作出所有他们按理应作出的协议。
27. 在按照主席根据第25条作出的指示而举行会议后，主席须向审裁处报告关乎该会议而他认为适当的事宜。
28. 在覆核申请提出后，如─
(a) 该项覆核的各方请求并同意审裁处或主席根据本条作出以下命令；及
(b) 该项覆核的各方同意以下命令的所有条款，
审裁处或主席(视属何情况而定)可作出他根据本条例任何条文有权作出的命令，不论是否已符合在其他方面适用于该命令的规定。
29. 不论本条例第XI部或本附表其他条文有任何规定，凡审裁处或主席根据第28条作出任何命令，则该命令就所有目的而言，须视为审裁处或主席(视属何情况而定)在符合在其他方面适用于该命令的作出的规定的情况下，根据该条文作出的。
30. 在第28及29条中，“命令”(order) 包括任何裁断、裁定及其他决定。

主席作为审裁处单一成员

31. 在覆核申请提出后但在审裁处举行聆讯以裁定该项覆核前，如该项覆核的各方藉给予审裁处书面通知，告知审裁处他们同意该项覆核可由主席以审裁处单一成员身分单独裁定，则主席可以审裁处单一成员身分裁定该项覆核。
32. 凡─
(a) 任何人依据本条例第217(4)条向审裁处申请，要求延展提出覆核申请的限期；或
(b) 任何人根据本条例第227(2)条向审裁处申请搁置某指明决定，
主席可以审裁处单一成员身分裁定该申请。
33. 如第31或32条适用，则由主席以审裁处单一成员身分构成的审裁处，就所有目的而言，须视为连同2名普通成员构成的审裁处。
34. 主席在根据第31条作出任何裁定或就第32(b)条描述的申请作出任何裁定后，须向审裁处报告作出该裁定、作出该裁定的理由及关乎该裁定而他认为适当的事宜。
35. 凡─
(a) 有第32(b)条描述的申请；及
(b) 主席因伤病、不在香港或其他因由而不能执行其职能，或主席认为自己就该申请执行其职能是不恰当或不可取的，
本条例第215条中“法官”的定义的(a)段所指的法官，须在获终审法院首席法官为此目的委任后裁定该申请，犹如他是根据本条例妥为委任的主席一样，而本条例的条文据此适用于他。

杂项条文

36. 除本条例另有规定外，审裁处及其成员，以及在任何覆核中的任何证人、大律师、律师、覆核的各方或所涉及的其他人，就该项覆核享有的特权和豁免权，与假若该项覆核是在原讼法庭进行的民事法律程序他们便会享有的一样。

第2部

指明决定

第1分部

证监会作出的指明决定
项 条文 决定的描述
1. 本条例第93(12)条 要求缴付费用或开支。
2. 本条例第95(2)条 拒绝给予认可；施加条件。
3. 本条例第97(1)条 修订或撤销条件，或施加新的条件。
4. 本条例第98(1)条 撤回认可。
5. 本条例第104(1)条 拒绝认可集体投资计划；施加条件。
6. 本条例第104(3)条 拒绝核准就集体投资计划而提名的人。
7. 本条例第104(3)条 撤回向就集体投资计划而提名的人给予的核准。
8. 本条例第104(4)条 修订或撤销条件，或施加新的条件。
9. 本条例第105(1)条 拒绝认可广告、邀请或文件的发出；施加条件。
10. 本条例第105(3)条 拒绝核准就广告、邀请或文件的发出而提名的人。
11. 本条例第105(3)条 撤回向就广告、邀请或文件的发出而提名的人给予的核准。
12. 本条例第105(4)条 修订或撤销条件，或施加新的条件。
13. 本条例第106(1)条 撤回认可。
14. 本条例第106(3)条 拒绝撤回认可。
15. 本条例第106(4)条 施加条件。
16. 本条例第116(1)条 拒绝批给牌照。
17. 本条例第116(6)条 施加、修订或撤销条件，或施加新的条件。
18. 本条例第117(1)条 拒绝批给不超逾3个月期的牌照。
19. 本条例第117(3)条 施加、修订或撤销条件，或施加新的条件。
20. 本条例第119(1)条 拒绝批给注册。
21. 本条例第119(5)条 施加、修订或撤销条件，或施加新的条件。
22. 本条例第120(1)条 拒绝批给牌照。
23. 本条例第120(5)条 施加条件。
24. 本条例第120(7)条 修订或撤销条件，或施加新的条件。
25. 本条例第121(1)条 拒绝批给不超逾3个月期的牌照。
26. 本条例第121(3)条 施加条件。
27. 本条例第121(5)条 修订或撤销条件，或施加新的条件。
28. 本条例第122(1)条 拒绝批准某隶属关系。
29. 本条例第122(2)条 拒绝批准转移某隶属关系。
30. 本条例第124(1)条 拒绝发出牌照或注册证明书的复本。
31. 本条例第126(1)条 拒绝核准某人成为负责人员。
32. 本条例第126(3)条 施加、修订或撤销条件，或施加新的条件。
33. 本条例第127(1)条 拒绝更改受规管活动。
34. 本条例第130(1)条 拒绝批准某处所。
35. 本条例第132(1)条 拒绝核准某人成为或继续作为大股东。
36. 本条例第132(3)条 施加、修订或撤销条件，或施加新的条件。
37. 本条例第133(1)条 向持牌法团发出指示。
38. 本条例第133(2)条 向某人发出指示。
39. 本条例第134(1)(a)、(b)、
(c)、(d)、(e)、(f)、(g)、
(h)、(i)或(j)条 拒绝作出修改或宽免。
40. 本条例第134(4)条 修订某项修改或宽免；施加、修订或撤销条件，或施加新的条件。
41. 本条例第146(2)或(5)(b)条 施加条件。
42. 本条例第146(5)(a)条 暂时吊销牌照。
43. 本条例第146(6)或(7)条 修订条件。
44. 本条例第147(3)(a)条 暂时吊销牌照。
45. 本条例第147(3)(b)条 施加条件。
46. 本条例第147(4)或(5)条 修订条件。
47. 本条例第159(1)条 委任核数师。
48. 本条例第159(4)条 指示支付审查及审计的任何费用及开支。
49. 本条例第160(1)条 委任核数师。
50. 本条例第160(8)条 指示支付审查及审计的任何费用及开支。
51. 本条例第194(1)(i)、(ii)、
(iii)或(iv)条 行使权力，撤销或暂时吊销牌照或撤销或暂时撤销就某人作为负责人员而给予的核准，公开地或非公开地谴责某人，或向某人施加禁止。
52. 本条例第194(2)条 命令缴付罚款。
53. 本条例第195(1)(a)、(b)或(c)条 撤销或暂时吊销牌照。
54. 本条例第195(2)条 撤销牌照。
55. 本条例第195(7)条 撤销或暂时撤销就某人成为负责人员而给予的核准。
56. 本条例第196(1)(i)、(ii)或(iii)条 行使权力，撤销或暂时撤销注册、公开地或非公开地谴责某人，或向某人施加禁止。
57. 本条例第196(2)条 命令缴付罚款。
58. 本条例第197(1)(a)或(b)条 撤销或暂时撤销注册。
59. 本条例第197(2)条 撤销注册。
60. 本条例第202(1)条 要求转移纪录。
61. 本条例第203(1)条 施加条件。
62. 本条例第204(1)(a)或(b)条 对持牌法团施加与交易等有关的禁止或要求。
63. 本条例第205(1)(a)或(b)条 对持牌法团施加与有关财产有关的禁止或要求。
64. 本条例第206(1)条 要求持牌法团保存财产。
65. 本条例第208(1)(b)条 取代或更改根据本条例第204、205或206条施加的禁止或要求。
66. 本条例第208(1)条 拒绝撤回、取代或更改根据本条例第204、205或206条施加的禁止或要求。
67. 本条例第309(2)条 拒绝批给豁免；施加条件。
68. 本条例第309(3)条 拒绝批给豁免；施加条件。
69. 本条例第309(4)(a)或(b)条 撤回或暂时撤销豁免；修订条件。
70. 本条例第403条 施加条件。
71. 《公司条例》(第32章)第38A(1)条 拒绝发出豁免证明书；施加条件。
72. 《公司条例》(第32章)第342A(1)条 拒绝发出豁免证明书；施加条件。
73. 《证券及期货(在证券市场上市)规则》(第571章，附属法例V)第6(2)条 反对某项证券上市。 (由2002年第231号法律公告增补)
74. 《证券及期货(在证券市场上市)规则》(第571章，附属法例V)第6(3)(b)条 施加条件。 (由2002年第231号法律公告增补)
75. 《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(3)条 拒绝核准某法团作为核准借出代理人。 (由2002年第231号法律公告增补)
76. 《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(4)条 施加条件。 (由2002年第231号法律公告增补)
77. 《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(6)条) 撤回核准。 (由2002年第231号法律公告增补)
78. 《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)第4(4)(c)条 拒绝发出通知。 (由2002年第231号法律公告增补)

第2分部

金融管理专员作出的指明决定
项 条文 决定的描述
1. 《银行业条例》(第155章)第58A(1)(c)
或(d)条 将有关人士的有关资料自纪录册删除或暂时中止载在纪录册中。
2. 《银行业条例》(第155章)第71C(1)条 拒绝给予同意。
3. 《银行业条例》(第155章)第71C(2)(b)条 附加任何条件。
4. 《银行业条例》(第155章)第71C(4)(c)
或(d)条 撤回或暂时撤回同意。
5. 《银行业条例》(第155章)第71C(9)条 附加或修订任何条件。
6. 《银行业条例》(第155章)第71E(3)条 附加或修订任何条件。

第3分部

证监会或认可投资者赔偿公司作出的指明决定
项 条文 决定的描述
1. 《证券及期货(投资者赔偿─申索)规则》(第571章，附属法例T)第4(4)条 拒绝裁定没有在《证券及期货(投资者赔偿─申索)规则》(第571章，附属法例T)第4(3)条订定的限期内提交的申索并非禁止提出。 (由2002年第231号法律公告增补)
2. 《证券及期货(投资者赔偿─申索)规则》(第571章，附属法例T)第7(1)(a)、(b)或(c)条 是否犯有违责、违责的日期或申索人是否有权获得赔偿的裁定。 (由2002年第231号法律公告增补)
3. 《证券及期货(投资者赔偿─申索)规则》(第571章，附属法例T)第7(2)条 暂定赔偿款额的裁定。 (由2002年第231号法律公告增补)
4. 《证券及期货(投资者赔偿─申索)规则》(第571章，附属法例T)第9(3)条 将独立申索或该等申索的某些部分合并计算。 (由2002年第231号法律公告增补)

第3部

第1分部

本条例第217(3)(b)条提述的指明决定
项 指明决定的描述 条文
1. 第2部第1分部第41或43项所列的指明决定。 本条例第146(10)条。
2. 第2部第1分部第45或46项所列的指明决定。 本条例第147(8)条。

第2分部

本条例第218(4)(a)条提述的指明决定
项 指明决定的描述 条文
1. 第2部第1分部第56或57项所列的指明
决定。 《银行业条例》(第155章)第
58A(1)及71C(4)条。

第3分部

本条例第218(4)(b)条提述的指明决定
项 指明决定的描述 条文
1. 第2部第2分部第1或4项所列的指明决定。 本条例第196(1)及(2)条。

第4分部

本条例第232(1)条提述的指明决定
项 指明决定的描述 条文
1. 第2部第1分部第41或43项所列的指明决定。 本条例第146(10)条。
2. 第2部第1分部第45或46项所列的指明决定。 本条例第147(8)条。

第5分部

本条例第232(2)条提述的指明决定
项 指明决定的描述 条文
1. 第2部第1分部第3项所列的指明决定。 本条例第97(2)条。
2. 第2部第1分部第4项所列的指明决定。 本条例第98(6)条。
3. 第2部第1分部第17项所列的指明决定。 本条例第116(7)条。
4. 第2部第1分部第19项所列的指明决定。 本条例第117(4)条。
5. 第2部第1分部第21项所列的指明决定。 本条例第119(6)条。
6. 第2部第1分部第24项所列的指明决定。 本条例第120(8)条。
7. 第2部第1分部第27项所列的指明决定。 本条例第121(6)条。
8. 第2部第1分部第36项所列的指明决定。 本条例第132(4)条。
9. 第2部第1分部第42项所列的指明决定。 本条例第146(9)条。
10. 第2部第1分部第41或43项所列的指明决定。 本条例第146(10)条。
11. 第2部第1分部第44项所列的指明决定。 本条例第147(7)条。
12. 第2部第1分部第45或46项所列的指明决定。 本条例第147(8)条。
13. 第2部第1分部第61项所列的指明决定。 本条例第203(3)条。
14. 第2部第1分部第62、63、64或65项所列
的指明决定。 本条例第209(1)条。
15. 第2部第2分部第6项所列的指明决定。 《银行业条例》(第155
章)第71E(4)条。
16. 第2部第1分部第73项所列的指明决定。 《证券及期货(在证券市场上市)规则》(第571章，附属法例V)第6(5)条。 (由2002年第231号法律公告增补)
17. 第2部第1分部第74项所列的指明决定。 《证券及期货(在证券市场上市)规则》(第571章，附属法例V)第6(5)条。 (由2002年第231号法律公告增补)