GOVERNMENT LOTTERIES RULES

VERNMENT LOTIrERIES RULES

(Cap. 334, section 9)

[31st March, 1962.]

es may be cited as the Government Lotteries Rules.

2. Whenever the Committee considers it expedient to conduct a
lottery, the Chairman shall cause to be published in the Gazette and, in
his discretion, in such other manner as he may think fit, a notice
declaring

(a)the date and time when and the place at which the draw of the
lottery shall take place;

(b)the price at which the tickets shall be sold, and the places at
which such tickets may be obtained;

(c)the number and value of the prizes apportioned to the lottery
expressed either in percentages of the total value of such
tickets as may be sold or by way of fixed values in relation to a
fixed number of tickets issued for sale, as the case may be;

(d)the date and manner in which the numbers of the winning
tickets shall be published after the draw of the lottery;

(e)the place where and hours during which payment of prizes
may be claimed.

3. Every ticket issued for sale in respect of any lottery shall be
numbered serially and no such number shall be repeated in respect of
the same lottery.

4. The following particulars shall be specified on every ticket
issued for sale in respect of any lottery

(a)the date and number or other description of lottery for which
the ticket is issued;

(b) the serial number allocated to the ticket;

(c)the number and value of the prizes apportioned to the lottery
for which the ticket is issued, expressed either in percentages
of the total value of the tickets which may be sold or by way
of fixed values in relation to a fixed number of tickets issued
for sale in respect of the lottery for which the ticket is issued,
as the case may be;

(d)the time and date when and the place at which the draw of the
lottery will take place.





5. (1) Whenever a lottery is drawn there shall be present at the draw
not less than three members of the Committee, and if, at the time
appointed for the draw, there shall not be that number of members
present the draw shall be postponed to such time, whether on the same
or another day, as the Chairman or any person then present who has
been authorized for that purpose by the Chairman may direct.

(2) The members of the Committee present at the draw shall appoint
one of their number to preside at the draw.

(3) The public shall be admitted to the place at which the draw of a
lottery is conducted so far as may reasonably be practicable having
regard to the accommodation available for such purpose.

(4) A ticket in a lottery shall be eligible for more than one prize.

SA. (1) The Chairman may postpone the drawing of any lottery if
the draw is to take place within the duration of a gale warning.

(2) Notice of any postponement under paragraph (1) shall be
published in the Gazette as soon as practicable, and shall specify the
date and time when and the place at which the postponed draw shall
take place.

6. The Chairman shall cause the numbers of the winning tickets at
any draw and the time and place at which and the manner in which prizes
may be claimed to be published in the Gazette and in his discretion in
such other manner as may appear to him to be advisable, so soon as may
be after the draw is concluded.

7. Prizes shall be paid in accordance with the following provisions

(a)payment shall be claimed by presenting and delivering up the
ticket in respect of which the claim is made at the place and
during the hours appointed therefor in the notice published
pursuant to rule 6;

(b)payment shall be claimed within two years after the publication
in the Gazette of the number of the ticket in respect of which
the claim is made;

(c)payment shall be made to the person who presents the ticket
for payment of the prize won by the ticket:

Provided that, if, when any ticket is presented for
payment of a prize any number, mark, figure or word which is
material for identifying the ticket is, in the opinion of the
Committee, illegible or not clearly legible or is





incomplete or has been obliterated, defaced or removed,
payment shall not be made in respect thereof unless the
person claiming payment produces evidence, to the
satisfaction of the Committee, identifying such ticket as the
ticket in respect of which the prize claimed is payable.

8. If the payment of any prize is not claimed in the manner and
within the period prescribed in rule 7, and if the number of the ticket in
respect of which the prize was payable has been duly published in the
manner prescribed in rule 6, the proceeds of that prize shall upon expiry
of such period be forfeited to the Lotteries Fund.

9. (1) The Committee may appoint such number of agents for the
sale of tickets to the public as the Committee may from time to time
consider expedient and may fix their remuneration, and the duration of
their appointments.

(2) Any agent appointed for the sale of tickets to the public in
accordance with this rule may appoint sub-agents.

(3) The name and address of any sub-agent appointed under
paragraph (2) shall be reported to the Committee before such subagent
commences the sale of tickets to the public.

(4) Any appointment of'any agent made under this rule may be
terminated at any time by the Committee giving to such agent twenty-
four hours notice in writing terminating the appointment.

(5) For the purposes of this rule, the expressions 'agent' and 'sub-
agent' do not include street vendors.
G.N.A. 27/62. L.N. 95/67. L.N. 252/73. Announcement of lotteries. Tickets to be numbered. Particulars to be stated on tickets. Procedure at draw. L.N. 95/67. Postponement of draw. L.N. 252/73. Publication of results of draw. Payment of prizes. L.N. 95/67. Forfeiture of unclaimed prizes. L.N. 95/67. Agents for sale of tickets.

G.N.A. 27/62. L.N. 95/67. L.N. 252/73. Announcement of lotteries. Tickets to be numbered. Particulars to be stated on tickets. Procedure at draw. L.N. 95/67. Postponement of draw. L.N. 252/73. Publication of results of draw. Payment of prizes. L.N. 95/67. Forfeiture of unclaimed prizes. L.N. 95/67. Agents for sale of tickets.

https://oelawhk.lib.hku.hk/items/show/3267

GOVERNMENT LOTTERIES ORDINANCE

LAWS OF HONG KONG

GOVERNMENT LOTTERIES ORDINANCE

CHAPTER 334
1




CHAPTER 334

GOVERNMENT LOTTERIES

To authorize and control the promotion and conduct of Government
lotteries and matters ancillary thereto.

[31st March, 1962.]

1. This Ordinance may be cited as the Government Lotteries
Ordinance.

2. In this Ordinance, unless the context otherwise requires

'Chairman' means the chairman of the Government Lotteries
Management Committee;

'Committee' means the Government Lotteries Management Committee
appointed in accordance with section 3;

'galewarning' means a warning of the occurrence of a tropical cyclone
in, or in the vicinity of, Hong Kong by the display of any of the
local visual storm warning signals referred to in section 5 of the
Judicial Proceedings (Adjournment During Gale Warnings)
Ordinance; (Added, 66 of 1973, s. 2)

'Lotteries Fund' means the Lotteries Fund established by resolution
made and passed by the Legislative Council on the 30th day of June
1965 and published in the Gazette; (Added, 33 of 1967, s.2)

'lottery' means any scheme for distributing prizes by lot or chance
which is promoted and conducted by the Committee;

'ticket', in relation to any lottery or proposed lottery, means any
document issued by the Committee evidencing the claim of a
person to participate in the chances of such lottery;

'member', in relation to the Committee, includes the Chairman.

3. (1) The Governor may by notification in the Gazette appoint a
standing committee to be known as the Government Lotteries
Management Committee.

(2) The Committee shall consist of a Chairman and not less than
three nor more than five members who shall be appointed by the
Governor by notification in the Gazette.

4. (1) The Committee shall meet at such times and at such places as
the Chairman may appoint.

(2) At any meeting of the Committee the Chairman shall preside:

Provided that if at any meeting the Chairman is absent there shall
preside either





(a)such member as the Chairman may in his discretion direct
to preside for the purposes of that meeting; or
(b)in the absence of any such direction by the Chairman,
one member of the Committee elected from among those
members present at such meeting.

(3) At any meeting of the Committee three members shall be
a quorum.

(4) The validity of any proceedings of the Committee shall
not be affected by any vacancy among the members thereof or by
any defect in the appointment of any member thereof.

(5) Any question to be determined at a meeting of the Com-
mittee shall be determined by a majority of the members present
and voting thereon.

(6) The Chairman at any meeting of the Committee shall have
an original vote and also, if upon any question the votes shall be
equally divided, a casting vote.

(7) The Committee may make standing orders for regulating
the procedure at, and in connexion with, its meetings.

5. It shall be the duty of the Committee from time to time to
conduct or cause to be conducted lotteries and to do such other things
as the Governor may, subject to the provisions of this Ordinance or
any rules made thereunder, direct in connexion therewith.

6. (1) The proceeds of the sale of tickets in a lottery shall be
paid into the Lotteries Fund as soon as practicable after the sale
of such tickets.

(2) Sixty per cent, or as close to that proportion as is practi-
cable, of the proceeds of the sale of tickets in a lottery shall be
apportioned as prizes in such manner as the Committee, subject to
the direction of the Governor, may determine.

(3) All expenses arising out of the conduct of a lottery or the
operation of the Committee shall be paid out of the Lotteries Fund.

(4) The Financial Secretary, after making due allowance for
any payments which may be outstanding under subsections (2) and
(3), may appropriate from the Lotteries Fund moneys for the purpose
of financing, by way of grant, loan or advance, the support and
development of such social welfare services in the Colony as the
Governor, after consultation with the Social Welfare Advisory
Committee, may approve. (Amended, 66 of 1973, s. 3)

(5) [Deleted, 66 of 1973, S. 3]

(6) The Legislative Council may by resolution amend sub-
section (2) so as to vary the proportion of the proceeds of the sale
of tickets in a lottery which is to be apportioned as prizes.
(Replaced, 33 of 1967, s. 3)





7. (1) The Accountant General shall cause proper accounts
to be kept of all transactions of the Lotteries Fund and shall cause
to be prepared for every period of twelve months ending on the
31st day of March in each year a statement of the accounts of the
Lotteries Fund, which statement shall include a receipts and pay-
ments account and statement of assets and liabilities and shall be
signed by the Accountant General.

(IA) The accounts of the Lotteries Fund and the signed
statement of the accounts shall be audited by the Director of Audit,
who shall certify the statement and make such report as he thinks
fit. (Added, 66 of 1973, s. 4)

(2) A copy of the signed and audited statement of accounts
and of any report by the Director of Audit shall be laid on the table
of the Legislative Council not later than the 31st day of December
next following the end of such period or so soon thereafter as the
Governor may allow.
(Replaced, 33 of 1967, s. 4. Amended, 66 of 1973, s. 4)

8. The Financial Secretary may direct that an annual super-
vision fee to be determined by him shall be charged against the
income of the Lotteries Fund and paid into the general revenue of
the Colony.
(Added, 33 of 1967, s. 4)

9. The Governor may make rules providing for-
(a)the appointment of and the conditions to be observed by
agents for the sale of tickets for lotteries and the rights,
liabilities and obligations of such agents and commissions
payable in connexion therewith;

(b) the form and contents of tickets for lotteries;
(c)the information to be published concerning lotteries and
the manner in which such information shall be published,

(d)the manner in which any drawing for the allotment of
prizes shall be undertaken, including the persons who shall
be present at any such drawing and their powers and
duties in relation thereto;
(e)the manner in which any dispute or difficulty which may
arise as to the conduct of any lottery or the drawing for
the allotment of any prize in respect thereof shall be
determined;
(f)the time within which and the manner in which lottery
prizes shall be claimed;
(g)the disposal of unclaimed prizes or money or prizes or
money, as to which any dispute has arisen;
(h)such other matters as the Governor may consider ex-
pedient to give effect to the purposes of this Ordinance;





(i)the postponement of the drawing of any lottery which is
due to take place within the duration of a gale warning.
(Added, 66 of 1973, s. 5)

10. Any person who obstructs or impedes the drawing of any
lottery, or creates any disturbance at or near any place at which
any lottery is being or is about to be drawn, shall be guilty of an
offence and shall be liable on summary conviction to a fine of one
thousand dollars and to imprisonment for three months.

11. For avoidance of doubt, every ticket shall be deemed to
be a document to which the provisions of section 72(1) of the Crimes
Ordinance apply.

12. Nothing contained in the Gambling Ordinance shall apply
to any lottery to which the provisions of this Ordinance apply.
Originally 10 of 1962. 33 of 1967. 66 of 1973. Short title. Interpretation. (Cap. 62.) Appointment and constitution of the Committee. Meetings of the Committee. Duties of the Committee. Proceeds of lotteries. Accounts. Cost of administration. Rules. Obstruction at draw of lottery. Application of Part IX (Forgery) of Crimes Ordinance. (Cap. 200.) Gambling Ordinance not to apply to Government lotteries. (Cap. 148.)

Originally 10 of 1962. 33 of 1967. 66 of 1973. Short title. Interpretation. (Cap. 62.) Appointment and constitution of the Committee. Meetings of the Committee. Duties of the Committee. Proceeds of lotteries. Accounts. Cost of administration. Rules. Obstruction at draw of lottery. Application of Part IX (Forgery) of Crimes Ordinance. (Cap. 200.) Gambling Ordinance not to apply to Government lotteries. (Cap. 148.)

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SECURITIES (SPECIFICATION OF APPROVED ASSESTS, LIQUID ASSESTS AND RANKING LIABILITIES) NOTICE

SECURITIES (SPECIFICATION OF APPROVED ASSETS,

LIQUID ASSETS AND RANKING LIABILITIES) NOTICE

(Cap. 333, sectioi 65B)

[2 April 1986.]

ice may be cited as the Securities (Specification of
Liquid Assets and Ranking Liabilities) Notice.

2. In this notice, unless the context otherwise requires

approved subordinated loan' means loan on which the lender's claim
is subordinated to the prior payment or provision for payment in
full of all claims of all other present and future creditors of the
borrower, and which is made under a valid and legally enforceable
agreement, the terms of which have been approved by the
Securities Commission;

'deposit-taking company' means a deposit-taking company that is
registered or licensed under the Banking Ordinance;

'licensed bank' means a bank licensed under the Banking Ordinance'
'overseas bank' means a bank
incorporatred or established by or under the law or other authority in any country, state or place outside
Hong Kong;

'recognized stock market' means a stock market recognized by the
Securities Commission for the purpose of section 65A(2)(a)(ii) of
the Ordinance.

3. The following assets of a dealer or dealing partnership,
which form part of his or their business of dealing in securities and
are beneficially owned by the dealer or the dealing partnership, as
the case may be, are specified as approved assets for the purposes of
section 65B of the Ordinance in accordance with paragraph 6-

(a)cash in hand and contract note stamps (used for the purposes
of the Stamp Duty Ordinance);

(b)money on account with a licensed bank or a deposit-taking
company.

(c)money which is on account with an overseas bank and is
freely remittable to Hong Kong

(d)80 per cent by value of certificates of deposits, acceptances,
tloating-rate notes and other negotiable instruments that are
commonly known as commercial papers, the advertisement of
which has been authorized by the Securities Commission
under section 4(2)(g) of the Protection of Investors
Ordinance;





(da) 80 per cent by value of bills certificates, notes, paper or

other debt instrume other than those mentioned in

sub-paragraph (d), which

(i) are negotiable;

(ii) have a remaining term to maturity of not more than 10
years; and

(iii) are denominated and traded in Hong Kong dollars or in
a currency freely convertible into Hong Kong dollars, unless
the Securities Commission disallows any such instrument in a
particu ar case;

(db) 80 per cent by value of securities issued by the governments
of Australia, Canada, the Federal Republic of Germany, Japan,
the United Kingdom or the United States of America;

(e)tax reserve certificates issued under the Tax Reserve
Certificates Ordinance;

[Deleted, L.N. 404/87]

(g) utility and rent deposits;

(h) statutory deposit: made under section 52 of the Ordinance;

(ha) contributions to towards the Unified Exchange Compensation
Fund established under section 99 of the Ordinance;

(i) prepaid expenses ;

(j) shares in the Exchange Company at nominal value;

(k)payments made for or towards the purchase of securities for
which a listing on the Unified Exchange is pending;

(ka) payments made for or towards the purchase of securities for
which a listing is pending on a recognized stock market;
(kb) 60 per cent by value of securities, other than those men-

tioned in sub-paragraphs (da) and (db), which are listed on a
recognized stock market;

(1)60 per cent by value of securities listed on the Unified
Exchange;

(m)60 per cent by value of units in a unit trust and of shares in a
mutual fund corporation, which are authorized under

section 15(1)(c) of the Ordinance;

(n) gold bullion;


(o)interests in jinmovable property in Hong Kong, subject to a
maximum value of 25 per cent of the requisite minimum net
capital required under section 65B of the Ordinance.





3A. Amounts receivable in the ordinary course of business of
dealing in securities, other than amounts receivable which are due to be
settled against delivery of securities, but which remain outstanding for
more than 5 bank trading days, are specified as approved assets for the
purpose of section 65B or the Ordinance.

4. The following approved assets of a dealer or a dealing
partnership are specified as liquid assets for the purposes of section
65B of the Ordinance in accordance with paragraph 6

(a)cash in hand and contract note stamps (used for the purposes of
the Stamp Duty Ordinance);

(b)money on account with a licensed bank or a deposit-taking
company, which in the case of a time deposit will become payable
within 6 months;

(c)money which is on account with an overseas bank and is freely
remittable to Hong Kong and which, in the case of a time
deposit, will become payable within 6 months;

(d) 80 per cent by value of certificates of deposit, acceptances,
floating-rate notes and other negotiable instruments that
are commonly known as commercial papers, the advertise-
ment of which has been authorized by the Securities

Commission under section in 4(2)(g) of the Protection of Investors
Ordinance;

(da) 80 per cent by value of bills, certificates, notes, paper or other
debt instruments, other than those mentioned in
subparagraph (d), which

(i) are negotiable

(ii) have a remaining term to maturity of not more than
10 years; and

(iii) are denominated and traded in Hong Kong dollars or in
a currency freely convertible into Hong Kong dollars, unless
the Securities Commission disallows any such instrument in a
particular case;

(db) 80 per cent by value of securities issued by the govern

merits of Australia, Canada, the Federal Republic of

Germany, Japan., the United Kingdom or the United States
of America;


(e)tax reserve certificates issued under the Tax Reserve
Certificates Ordinanc

amounts receivable in the ordinary course of business of

dealing in securities, which are due to be settled against
delivery of securities, but excluding amounts which remain
outstanding for more than 5 bank trading days;





(g)amounts receivable in the ordinary course of business of
dealing in securities, other than amounts of the kind referred to
in sub-paragraph (f), to the extent of the net realizable value
of any readily marketable unencumbered collateral for those
amounts, which is in the possession or control of the dealer or
dealing partnership;

(h)payments made for or towards the purchase of securities for
which a listing on Unified Exchange is pending;

(i)60 per cent by value of securities listed on the Unified
Exchange;

(j)60 per cent by value of units in a unit trust and of shares in a
mutual fund corporation, which are authorized under section
15(1)(c) of the Ordinance;

(k) gold bullion;

(l)payments made for or towards the purchase of securities for
which a listing is pending on a recognized stock market;

(m) 60 per cent by value of securities, other than those

mentioned in sub-paragraphs (da) and (db), which are

listed on a recognized stock market.

5. (1) Subject to sub-paragraph (2), the following liabilities

of a dealer or dealing partnership are specified as ranking liabilities
for the purposes of section 65B of the Ordinance-

(a)amounts payable in the ordinary course of business of dealing
in securities;

(b) overdrafts and loans from licensed banks, deposit-taking
companies or overseas banks;

(c) accrued expenses;

(d) tax payable;

(e)any liability that is secured on an approved asset within the
meaning of paragrahp 3;

(f) all other liabilities that are regarded as liabilities under
generally accepted accounting principles, other than any
approved subordinated loan from a lender, which is-

(i) a member of a recognized stock market; and
(ii) the holding company, associated company or sub-
sidiary company of the dealer or the dealing partnership, as
the case may be;

(g)provision for contingent liabilities in accordance with generally
accepted accounting principles.

(2) Notwithstandinig sub-paragraph (1), where a dealer or dealing
partnership, in the acquisition of any fixed asset that is used





in the ordinary course of business of dealing securities, incurs any
liability that is not required to be settled within 12 months, the
liability shall not, to the extent of the net book value of the asset, be
included as a ranking liability for the purposes of calculating the liquidity
margin of the dealer or dealing artnership, as the case may be.

6. (1) Subject to sub-paragraphs (2) and (3), all approved or liquid
assets shall be valued in accordance with generally accepted
accounting principles.

(2) The following assets shall be valued at the market value of each
such asset

(a) securities listed on the Unified Exchange;

(aa) securities listed on a recognized stock market;

(ab) certificates of deposit ' acceptances, floating-rate notes and
other negotiable instruments that are commonly known as
commercial papers, the advertisement of which has been
authorized by the Securities Commission under section
4(2)(g) of the Protection of Investors Ordinance;

(ac) bills. certificates notes, paper or other debt instruments which

(i) are negotiable;

have a remaining term to maturity of not more than
10 years; and

(iii) are denominated and traded in Hong Kong dollars or in a
currency freely convertible into Hong Kong dollars;

(ad) securities issued by the governments of Australia, Canada,
the Federal Republic of Germany, Japan, the United Kingdom
or the United States of America;

(b) units in a unit trust and shares in a mutual fund corpora-
tion, which are authorized under section 15(1)(c) of the
Ordinance ;

(c) gold bullion.

(3) An interest, in immovable property shall be valued at market
value

(a)where that at interest is held by a member of the Exchange Company,
by the Exchange Company;

(b) in any other case, by an independent valuer acceptable to
the Commissioner.
L.N. 7/86. 27 of 1986. L.N. 404/87. L.N. 61/86. Citation. Interpretation. L.N. 404/87. 27 of 1986, s. 137. (Cap. 155.) (Cap. 155.) L.N. 404/87. Approved assets. L.N. 404/87. (Cap. 117.) L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87. (Cap. 289.) L.N. 404/87. L.N. 404/87. L.N. 404/87. Amounts receivable. L.N. 404/87. Liquid assets. L.N. 404/87. (Cap. 117.) L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87. (Cap. 289.) L.N. 404/87. L.N. 404/87. Ranking liabilities. L.N. 404/87. Valuation of approved and liquid assets. L.N. 404/87. L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87.

L.N. 7/86. 27 of 1986. L.N. 404/87. L.N. 61/86. Citation. Interpretation. L.N. 404/87. 27 of 1986, s. 137. (Cap. 155.) (Cap. 155.) L.N. 404/87. Approved assets. L.N. 404/87. (Cap. 117.) L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87. (Cap. 289.) L.N. 404/87. L.N. 404/87. L.N. 404/87. Amounts receivable. L.N. 404/87. Liquid assets. L.N. 404/87. (Cap. 117.) L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87. (Cap. 289.) L.N. 404/87. L.N. 404/87. Ranking liabilities. L.N. 404/87. Valuation of approved and liquid assets. L.N. 404/87. L.N. 404/87. (Cap. 335.) L.N. 404/87. L.N. 404/87.

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SECURITIES (REGISTRATION OF DEALERS) (APPROVED EXAMINATIONS) (CONSOLIDATION) NOTICE

SECURITIES (REGISTRATION OF DEALERS) (APPROVED
EXAMINATIONS) (CONSOLIDATION) NOTICE

(Cap. 333, section 65A(2)(b))

[8 August 1986.]

1. This notice may be cited as the Securities (Registration of
Dealers) (Approved Examinations) (Consolidation) Notice.

2. The examinations-

(a)leading to associate or subscriber membership of the
Securities Institute of Australia;

(b)for membership of, or registration as a registered
representative or registered trader with, The International
Stock Exchange of the United Kingdom and the Republic of
Ireland Limited,

are approved by the Securities Commission for the purposes of
section 65A(2)(b) of the Ordinance.
L.N. 192/86. L.N. 88/87. Citation. Approved examinations. L.N. 192/86. L.N. 88/87.

L.N. 192/86. L.N. 88/87. Citation. Approved examinations. L.N. 192/86. L.N. 88/87.

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SECURITIES (RECOGNITION OF STOCK MARKETS) (CONSOLIDATION) NOTICE

RECOGNITION OF STOCK MARKETS)
NSOLIDATION) NOTICE

333, section 65A(2)(a)(ii))

[21 February 1986.]

ay be cited as the Securities (Recognition of
Stock Markets) (Consolidation) Notice.

2. The following places are recognized by the SecuritiesA
Commission as stock markets for the purposes of section 65A(2)(a) of
the Ordinance

Auckland Stock Exchange American Stock Exchange
Amsterdam Stock Exchange Brussels Stock Exchange Copenhagen Stock
Exchange Frankfurt Stock Exchange Korea Stock Exchange Kuala
Lumpur Stock Exchange Luxembourg Stock Exchange Manila Stock
Exchange

Member Exchanges of Australian Associated Stock Exchange
Milan Stock Exchange Montreal Stock Exchange National
Association of Securities Dealers (USA) New York Stock
Exchange Osaka Stock Exchange Oslo Stock Exchange Paris
Bourse Securities Exchange of Thailand Singapore Stock
Exchange Stockholm Stock Exchange The International Stock
Exchange of the United Kingdom and the Republic of Ireland
Limited Toronto Stock Exchange Tokyo Stock Exchange
Wellington Stock Exchange Zurich Stock Exchange
L.N. 43/86. L.N. 87/87. Citation. Recognition of stock markets. L.N. 87/87.

L.N. 43/86. L.N. 87/87. Citation. Recognition of stock markets. L.N. 87/87.

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SECURITIES (RECOGNITION OF STOCK MARKET) NOTICE

SECURITIES (RECOGNITION OF STOCK MARKET)
NOTICE

(Cap. 333, section 65A(2)(a)(ii)

[6 December 1985.]

1. This notice may be cited as the Securities (Recognition of Stock
Market) Notice.

2. The Stock Exchange, London, shall be a stock market recognized
by the Securities Commission for the purposes of paragraph (a) of
section 65A(2) of the principal Ordinance.
L.N. 340/85. Citation. Recognition of the Stock Exchange, London.

L.N. 340/85. Citation. Recognition of the Stock Exchange, London.

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SECURITIES (DEALERS, INVESTMENT ADVISERS, PARTNERSHIPS AND REPRESENTATIVES) RULES

SECURITIES (DEALERS, INVESTMENT ADVISERS,
PARTNERSHIPS AND REPRESENTATIVES) RULES

ARRANGEMENT OF RULES

Rule



1. Citation ...
2. Directions in forms
3. General requirements for forms lodged with the Commissioner
4. Application for registration or renewal of registration
5. Particulars to be entered in registers ...
6. Inspection of register, etc.
7. Correction of errors ...
8. Duplicate certificate of registration ... ...
9. Information provided by dealers, etc . ... ...
Schedule. Forms ...

Page
G 2

G 2

G 2

G 2

G 3

G 7

G 7

G 7

G 8

G 9





SECURITIES (DEALERS, INVESTMENT ADVISERS,
PARTNERSHIPS AND REPRESENTATIVES) RULES

(Cap. 333, section 146(A)

[25 October 1985.]

1. These rules may be cited as the Securities (Dealers, Investment
Advisers, Partnerships and Representatives) Rules.

2. A form prescribed by these rules shall be completed in
accordance with any directions specified in the form.

3. Unless the Commissioner otherwise directs, every application,
statement or notice lodged with the Commissioner for the purpose of
Part VI of the Ordinance shall be in the appropriate form prescribed in
the Schedule.

4. (1) An application for registration or renewal of registration
under Part VI of the Ordinance shall, with any relevant annexures, be
lodged in the office of the Commissioner.

(2) The Commissioner may refuse to accept an application under
this rule which is not accompanied by the prescribed fee (including
where appropriate, the penalty fee prescribed under section 54(1)(d) of
the Ordinance).

(3) Every such application shall-

(a)in the case of an application by an individual for registration
as a dealer, be in Form 1 and be accompanied by

(i) a supplementary statement in Form 1A;

(ii) if the applicant is not a stockbroker, 2 references in Form
1B and where applicable, a statement in Form 1 D; and

(iii) if the applicant is acting on behalf of a corporation for
registration as a dealer, a statement in Form 1C;

(b)in the case of an application by an individual for renewal of
registration as a dealer, be in Form 1 and be accompanied by

(i) a supplementary statement in Form 1A; and

(ii) if the applicant is acting on behalf of a corporation for
renewal of registration as a dealer, a statement in Form 1C;

(c)in the case of an application by a corporation for registration
or renewal of registration as a dealer, be in Form 2 and be
accompanied by a supplementary statement in Form 2A;






(d)in the case of an application by a partnership for registration
or renewal of registration as a dealing partnership, be in Form
3 and be accompanied by a supplementary statement in Form
3A;

(e)in the case of an application by an individual for registration
or renewal of registration as a dealer's representative, be in
Form 4 and be accompanied by

(i). a supplementary statement in Form 4A; and

(ii) a statement in Form 4B;

in the case of an application by an individual for registration
as an investment adviser, be in Form 5 and be accompanied
by

(i) a supplementary statement in Form 5A;

(ii) if the applicant is not a stockbroker, 2 references in
Form 5B;and

(iii) if the applicant is acting on behalf of a corporation for
registration as an investment adviser, a statement in Form 5C;

(g)in the case of an application by an individual for renewal of
registration as an investment adviser. be in Form 5 and be
accompanied by

(i) a supplementary statement in Form 5A; and

(ii) if the applicant is acting on behalf of a corporation for
renewal of registration as an investment adviser. a statement
in Form 5C;

(h)in the case of an application by a corporation for registration
as an investment adviser, be in Form 6 and be accompanied
by a supplementary statement in Form 6A;

(i)in the case of an application by a partnership for registration
or renewal of registration as an investment advisers'
partnership, be in Form 7 and be accompanied by a
supplementary statement in Form 7A;

(j)in the case of an application by an individual for registration
as an investment representative, be in Form 8 and be
accompanied by

(i) a supplementary statement in Form 8A; and

(ii) a statement in Form 8B.

5. (1 ) The particulars to be entered in the register of dealers

(a) in the case of a dealer who is an individual-

(i) his registration number as a dealer. the date of
registration and, where appropriate, renewal of registration,
and, if he is also registered as an investment adviser, his
registration number as an investment adviser;





(ii) his full name in English;
(iii) if applicable, his name in Chinese;
(iv) his business name (if any);-
(v) the addresses of all offices in Hong Kong at which
he carries on a business of dealing in securities, and the
telephone numbers of those offices;
(vi) his nationality;
(vii) if he is a member of a stock exchange, the name of
the exchange;
(viii) the name of every corporation of which he is a
director, the date of his appointment as a director, and the
address of the corporation's registered office; and
(ix) the name of every partnership of which he is a
partner and the address of the partnership's principal place
of business;

(b) in the case of a dealer which is a corporation-
(i) its registration number as a dealer, the date of
registration and, where appropriate, renewal of registra-
tion, and, if it is also registered as an investment adviser, its
registration number as an investment adviser;
(ii) its name;
(iii) the place and date of its incorporation;
(iv) the address of its registered office;
(v) the addresses of all offices in Hong Kong at which
it carries on a business of dealing in securities, and the
telephone numbers of those offices;
(vi) the names of its directors in English and, where
applicable, their names in Chinese, and their registration
numbers as dealers and as investment advisers;
(vii) if it is a member of a stock exchange, the name of
the exchange; and
(viii) the name of every partnership of which it is a
partner and the address of the partnership's principal place
of business;

(c) in the case of a dealing partnership-
(i) the partnership's registration number, the date of
registration and, where appropriate, renewal of registra-
tion, and, if it is also registered as an investment advisers'
partnership, its registration number;
(ii) its business name;
(iii) the place and date of its formation or registration
with the Registrar of Companies, as the case may be;
(iv) the address of its principal place of business;
(v) the address of all offices in Hong Kong at which
it carries on a business of dealing in securities, and the
telephone numbers of those offices;





(vi) the names of all partners in English and, where
applicable, their names in Chinese, and their registration
numbers as dealers and as investment advisers; and

(vii) if any partner is a member of a stock exchange, the
name of the exchange.

(2) The particulars to be entered in the register of investment
advisers are

(a) in the case of an investment adviser who is an individual-

(i) his registration number as an investment adviser and, if
he is also registered as a dealer, his registration number as a
dealer;

(ii) his full name in English;

(iii) if applicable, his name in Chinese;

(iv) his business name (if any);

(v) the addresses of all offices in Hong Kong at which he
carries on a business as an investment adviser, and the
telephone numbers of those offices;

(vi) his nationality;

(vii) the name of every corporation of which he is a director,
the date of his appointment as a director, and the address of
the corporation's registered office; and

(viii) the name of every partnership of which he is a partner
and the address of the partnership's principal place of
business;

(b)in the case of an investment adviser which is a corporation

(i) its registration number as an investment adviser, the date
of registration and, where appropriate, renewal of registration,
and, if it is also registered as a dealet, its registration number
as a dealer;

(ii) its name;

(iii) the place and date of its incorporation;

(iv) the address of its registered office;

(v) the addresses of all offices in Hong Kong at which it
carries on a business as an investment adviser, and the
telephone numbers of those offices;

(vi) the names of its directors in English and, where
applicable, their names in Chinese, and their registration
numbers as investment advisers and as dealers; and

(vii) the name of every partnership of which it is a partner
and the address of the partnership's principal place of
business;

(e) in the case of an investment advisers' partnership-

(i) the partnership's registration number, the date of
registration and, where appropriate, renewal of registra-











tion, and, if it is also a registered dealing partnership, its
registration number;

(ii) its business name;

(iii) the place and date of its formation or registration
with the Registrar of Companies, as the case may be;

(iv) the address of its principal place of business; .

(v) the address of all offices in Hong Kong at which it
carries on a business as an investment advisers' partnership,
and the telephone numbers of those offices;

(vi) the names of all partners in English and, where
applicable, their names in Chinese, and their registration
numbers as investment advisers and dealers; and

(vii) if any partner is a member of a stock exchange, the
name of the exchange.

(3) The particulars in respect of a dealer's representative that are to
be entered in the register of dealers' representatives are

(a)the representative's registration number as a dealer's
representative, the date of registration and, where appropriate,
renewal of registration, and, if he is also registered as an
investment representative, his registration number as an
investment representative;

(b) his full name in English;



(c) if applicable, his name in Chinese;


(d)the name and business address of the dealer who is employing
the representative;

(e)the representative's business address if different from that
specified under sub-paragraph (d);


(F) if that dealer is a member of a stock exchange, the name of the
exchange;
(g) the nationality of the representative;

(h)the name of every corporation of which the representative is a
director, the date of his appointment as a director, and the
address of the registered office of the corporation; and



(i)the name of every partnership of which he is a partner and the
address of the partnership's principal place of business.

(4) The particulars in respect of an investment representative that
are to be entered in the register of investment representatives are

(a)his registration number as an investment representative, the
date of registration and, where appropriate, renewal of
registration, and, if he is also registered as a dealer's
representative, his registration number as a dealer's






representative;





(b) his full name in English;
(c) if applicable, his name in Chinese;

(d)
the name and business address of the investment adviser
who is employing him;

(e)the representative's business address if different from that
specified under sub-paragraph (d);

(f) the nationality of the representative;
(9)

the name of every corporation of which the representative
is a director, the date of his appointment as a director, and
the address of the registered office of the corporation; and

(h)the name of every partnership of which he is a partner and
the address of the partnership's principal place of business.

(5) Where, pursuant to section 63 of the Ordinance, the
Commissioner is notified of any change in the particulars relating to
a registered person, he shall make such amendments in the register
and in any other records kept by him under the Ordinance as he
considers necessary to record the change.

6. (1) Any person may attend at the office of the Commis-
sioner at any time between 9.30 a.m. and 12.30 p.m. or 2.30 p.m. and
4.30 p.m. on a weekday or 9.30 a.m. and 12.30 p.m. on a Saturday
(not being a public holiday in either case), and may, upon payment
of the prescribed fee, inspect any register kept under section 64(1) of
the Ordinance and, after registration or renewal of registration, as
the case may be, any application for registration or renewal of
registration under Part VI of the Ordinance.

(2) Paragraph (1) does not entitle a person to inspect any
supplementary statement accompanying an application for registra-
tion or renewal of registration.

7. Where an error exists in the registers kept under section 64
of the Ordinance, or in a certificate of registration, or in any other
document issued under the Ordinance,. by reason of an error or
omission on the part of the Commissioner or any public officer, or
by reason of erroneous information having been supplied in any
application form or other document lodged with the Commissioner
under these rules, the Commissioner may correct the error and for
that purpose may require any person whom he reasonably believes
to be in possession of any such certificate or document to produce it
to him for correction.

8. (1) Subject to paragraph (2), any person registered under
the Ordinance whose certificate of registration has been lost or
destroyed may, on application being made to the Commissioner in
writing in that behalf and on payment of the prescribed fee, obtain a
duplicate certificate of registration from the Commissioner.





(2) The Commissioner may, before issuing a duplicate certificate of
registration applied for under paragraph (1), require the applicant to
produce such evidence as he thinks fit of the loss or destruction of the
certificate concerned.

9. (1) The notice required to be given to the Commissioner under
section 63(1)(a) of the Ordinance shall be in accordance with Form 9.

(2) The notice required to be given to the Commissioner under
section 63(1)(h) of the Ordinance shall

(a)in the case of an individual who is not a partner of a dealing
partnership or an investment advisers' partnership, be in
accordance with Form 10A;

(b)in the case of a corporation that is not a partner of a dealing
partnership or an investment advisers' partnership, be in
accordance with Form 1OB; and

(c)in the case of a dealing partnership or an investment advisers'
partnership, be in accordance with Form 10C.

(3) The notice required to be given to the Commissioner under
section 63(2) of the Ordinance shall be in accordance with Form 11.

(4) 'The notice required to be given to the Commissioner under
section 63(3) of the Ordinance shall be in accordance with Form 12.

(5) The notice required to be given to the Commissioner under
section 63(4) of the Ordinance shall be in accordance with Form 13 or
Form 14, as the circumstances of the case require.

(6) The notice required to be given to the Commissioner under
section 63(4A) of the Ordinance shall be in accordance with Form 15 or
Form 15A, as the circumstances of the case require.

(7) The notice required to be given to the Commissioner under
section 54A(1) of the Ordinance shall be in accordance with Form 15.

(8) The notice required to be given to the Commissioner under
regulation 9 of the Securities (Miscellaneous) Regulations shall be in
accordance with Form 16.





SCHEDULE

FORM 1

SECURITIES ORDINANCE
(Chapter 333)

APPLICATION BY AN INDIVIDUAL FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS A DEALER

[r. 3.]

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

Application is hereby made to the Commissioner for Securities for registration or renewal of registration as a dealer under
Part VI of the Securities Ordinance.



Please answer the following questions-






(If there is insufficient space to complete your answer to any question, please continue the answer on a

separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should, be
i . mmediately forwarded to the Commissioner for Securities.)


1 . State-

(a) in English your present surname (please underline) and other names
(including any aliases), and previous names by which known


(b) if applicable, your name in Chinese and code number

(c) your residential address and telephone number


(d) place of birth

(e) whether or not you are over 21 years of age


(f) if you are not over 21, your date of birth

(Answer 'Yes' or 'No')





(g) your Hong Kong identity card number or passport number

(h) your nationality

(i) the period for which you have been ordinarily resident in Hong
Kong.

2. State-

(a) the name(s) of the business (or proposed business) of dealing in securities of . which you are *a sole
proprietor/general partner/dealing director-

(i) English name

(ii) Chinese name (if applicable)

Delete whichever is inapplicable.






(b) the correspondence address and telephone number of the
business

(c) the address and telephone number of each place at or from
which the business of dealing in securities will be carried on
(Post Office Box numbers are not acceptable)

(d)the address at which you will keep the register pursuant to
section 67 of the Securities Ordinance


(e) the various types of the business of dealing in securities that you
are carrying on or propose to do (e.g. broking, underwriting,
etc.).

(a) Are you carrying on as a sole proprietor any business other than
the business of dealing in securities?

(b)If so, give the following details


(Answer 'Yes' or 'No')






(c) Do you intend to continue carrying on any of the above
business if your application to become a dealer in securities is
successful?


4. (a) Are you carrying on as a partner of a firm any business other
than the business of dealing in securities?


(b) If so, give the following details-

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')






1985 Ed. Securities (Dealers, Investment Advisers,
Partnerships and REpresentatives) Rules




(c)Do you intend to continue carrying on any of the above business if your
application to become a dealer in securities is successful?


5. (a)Are you a director of a corporation whose business is not that of dealing
in securities, whether incorporated in Hong Kong or elsewhere?


(b) If so, give the following details-


(Answer 'Yes' or 'No')

(Answer *Yes' or 'No')






(c) Do you intend to remain as a director of any of these
corporations if your application to become a dealer in securities
is successful?


6.State any professional, technical or academic qualifications that you hold
which have a bearing on dealing in securities, together with respective dates.



7.State how many years experience in dealing securities do you have and give
details of your experience.



(Answer 'Yes' or 'No')




8. (a) Are you or have you worked as a dealer's representative for a
person registered as a dealer under the Securities Ordinance or
Commodities Trading Ordinance in Hong Kong?

(b) If so, state-



(i) the name(s) of the registered dealer(s) by whom you are or
were employed; and

(ii) the date(s) of that employment.

(Answer 'Yes' or 'No')

9. If you are carrying on the business of dealing in securities as a sole proprietor, give the following
particulars of
any dealer's representatives you employ or propose to employ-
to




10. (a)Have you ever applied to be registered, licensed, authorized or permitted
to deal in securities or commodity futures at any place outside Hong
Kong?


(Answer 'Yes' or 'No')




(b) If so, state-


(i) the place and date of application

(ii) whether the application was successful.

(c)If the application was successful, indicate whether you are still so
registered, licensed, authorized or permitted.

(d) If you are not still so registered, licensed, authorized or permitted, give the
reason(s).

(e) If the application was unsuccessful, state the reason(s), if
known to you.

(a) Are you or have you been a member of any stock or commodity
futures exchange in Hong Kong or elsewhere?

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'NO')




(b) If so, qi ve details of-

(i) the name(s) of the exchange(s)


(ii) the place of the exchange(s)

(iii) the date(s) on which you became a member of the
exchange(s)

(iv) the date(s) of termination of membership (if applicable)

(v) the reason(s) for termination of membership (if known).



(c)State the period during which you have actively participated in dealing in
securities or commodity futures in the above stock or

commodity futures exchange(s).





(d) Are you applying for membership of any stock or commodity
futures exchange(s) in Hong Kong or elsewhere?


(e)If so, give the name(s) and address(es) of the exchange(s).


I declare that all information given by me in this application is true and correct.

Dated this- day of 19-



(Answer 'Yes' or 'No')




The applicant must affix a
recent passport size
photograph of himself here.



MWAIRM

Signature


Name of the applicant

(in block letters)





FORM 1A

SECURITIES ORDINANCE

(Chapter 333)

SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN
SUPPORT OF AN APPLICATION BY AN INDIVIDUAL FOR
REGISTRATION OR RENEWAL OF REGISTRATION AS A DEALER

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities for
registration or renewal of registration as a dealer under Part VI of the Securities Ordinance.






Please answer the following questions


(If there is insufficient space to complete your answer to any question, please continue the answer on a separate
sheet of paper, specifying the question to which the sheet relates and add your signature. In addition, if there are any
changes in the given information prior to the approval of this application, details of such changes should be immediately
forwarded to the Commissioner for Securities.)


1. (a) Have you carried on as a sole proprietor any business during the
5 years preceding this application? (Those named in Question 3
of Form 1 need not be repeated here.)

(b) If so, give the following details-

(Answer 'Yes' or 'No')







2. (a)Have you carried on as a partner of a firm any business during the 5
years preceding this application? (Those named in Question 4 of Form
1 need not be repeated here.)


(b) If so, give the following details-


(Answer 'Yes' or 'No')




1985 Ed. Securities (Dealers, Investment
advisers, Parterships and Representatives) Rules






any company or corporation, whether incorporated in Hong Kong or
elsewhere? (Those named in Question 5 of Form 1 need not be
repeated here.)

(b) If so, give the following details-








4. (a) Are you employed, or have you been employed during the 5
years preceding this application, by any person, firm or corpora-
tion otherwise than as a director?

(b) If so, give details of-

(i) the name of the employer

(Answer 'Yes' or 'NO-)




(5) his or its name in Chinese (if applicable)

(iii) his or its principal business address (Post Office Box numbers are
not acceptable)

(iv) the nature of his or its business

(v) if the employer is or has been a registered person under Part
VI of the Securities Ordinance and/or Part IV of the
Commodities Trading Ordinance, type(s) of his registration
and number(s)


(vi) the canacity in which you are or were employed


(vii) the date of commencement of employment


(viii) the date of termination of employment (if applicable)

(ix)the reason(s) for termination of employment (if applicable).




(c) If you are still in employment, do you intend to remain in this
employment if your application to become a dealer in securities
is successful?

5. (a) Have you ever been refused membership of a stock or
commodity futures exchange in Hong Kong or elsewhere?

(b) If so, state-


(i) the name(s) of the exchange(s)

(ii) place of the exchange(s)

(iii) the reason(s) for such refusal (if known)
6. (a)Have you ever applied for registration with the Commissioner for
Securities?



(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No') tl~i

jP ...





(b)If so, state the type and the date of application. State whether the
application was approved. If not, state the reason(s) for such refusal.

7. (a)Have you ever been adjudicated bankrupt in Hong Kong or elsewhere?


(b) If so, give details of-


(i) the date of adjudication of bankruptcy

(ii) the place of bankruptcy

(iii) name of court which made the adjudication

(iv) if you have been discharged-


(A) the date of discharge

(B) the conditions of discharge.


(Answer 'Yes' or 'No')




elsewhere, which did not result in your being adjudicated bankrupt?


(b)If so, specify details of the petition, including the date and the court
in which the petition was presented.



9. (a) Have you been censured or disciplined by any professional

body, in Hong Kong or elsewhere, to which you belong or belonged?

ewgte ?

(b) If so, give the details of the circumstances.
10. (a)Have you ever been involved in the affairs of any corporation in Hong
Kong or elsewhere, which is being or has been investigated by an
inspector or officet appointed under any enactment?



(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




(b) If so, give details of the circumstances and findings.

1. (a) Are you engaged in any civil litigation, whether as plaintiff or

defendant in Hong Kong or elsewhere?

(b) If so, give details or the circumstances.

12. (a) Have you, in connexion with the formation or management of
any corporation, been adjudicated by a court in Hong Kong or
elsewhere, civilly liable for any fraud, misfeasance or other
misconduct towards that corporation or any member thereof, or
been disqualified by order of such court from being a director, or
the equivalent in other jurisdiction?


(b) If so, give details of the circumstances.

(Answer 'Yes- or -No-)

(Answer 'Yes' or 'No')




13. (a) Have you ever been involved in the affairs of any business in
Hong Kong or elsewhere, which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?

(b) If so, give details or the circumstances and findings.

14. (a)Have you ever, in Hong Kong or elsewhere, been a party to a deed
of arrangement or entered into any form of composition with your
creditors?



(b) If so, give details of the arrangement or composition.

15.Give the following particulars of

(a)any judgment made against you in which fraud was alleged,
whether in Hong Kong or elsewhere

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')




(b)any unsatisfied judgment debts outstanding against you in
connexion with any business conducted by you, whether in Hong
Kong or elsewhere.

any unsatisfied judgment or court order requiring the payment
of damages or other sums of money in relation to any trade
or business carried on by you or in which you have been
concerned.

16. (a)Have you ever been convicted of an offence, other than a traffic
offence, in Hong Kong or elsewhere?


(b) If so, give the following details-

(Answer 'Yes' or 'No*)




17. (a)To the best of your knowledge, has any corporation of which you
have been a director, whether in Hong Kong or elsewhere, been
wound up otherwise than by means of a members' voluntary winding
up, during the 5 years preceding this

application?

(b) If so, state to


(i) the mode of winding up


(Answer 'Yes' or 'No')







(5) the reason(s) for winding up


(iii) the name(s) and address(es) of the liquidator(s).


18.Give the following details of each bank at which you keep or propose to keep an account in connexion with your business of
dealing in securities.





I declare that all information given by me in this supplementary statement is true and correct.

Dated this- day of 19-


Signature


Name of the applicant


(in block letters)





FORM 1B


SECURITIES ORDINANCE


(Chapter 333)

REFERENCE IN SUPPORT OF AN APPLICATION BY AN INDIVIDUAL
FOR REGISTRATION AS A DEALER
Note 1:Two references are required. One reference should be given by a director or manager of a bank licensed under the
Banking Ordinance (Chapter 155), and the other, on a separate form, may be given by


(a)a barrister or solicitor who has practised as such in Hong Kong for at least 5 years; or ;


(b)a professional accountant who has practised as such in Hong Kong for at least 5 years; or
(c) a justice of the peace.





Note 2: For persons who come from overseas to set up their securities business in Hong Kong,
two references
are required. One reference should be given by a director or manager of a bank incorporated or
established outside Hong Kong; and the other, on a separate form, may be given by-


(a)the Chairman or a committee member of a stock exchange recognized by the Commission for the purposes of
section 65A(2)(a)(ii) of the Ordinance;

(b) a legal practitioner who has practised as such for at least 5 years and his reference is acceptable to
the Commissioner; or


(c) a professional accountant who has practised as such for at least
5 years and his reference is
acceptable to the Commissioner.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5 years'
imprisonment for a person who makes a false or misleading representation for the purposes of obtaining,
either for himself or any other person, registration under Part VI of the Ordinance.



To the Commissioner for Securities:




1 .

(name of the referee)

(address and occupation of the referee)

have personally known (name of the applicant for registration as a dealer) ñ

for a period of not less than 12 months.

I came to know the applicant on


(approximate date on which the referee first met the applicant and the extent of the referee's

acquaintance with him)

3. To the best of my knowledge, the applicant is a person of
good character and is a fit and proper person to be
registered as a dealer in securities.


Dated this -day of 19



Signature
Name of signatory

(in block letters)








FORM 1C

SECURITIES ORDINANCE

(Chapter 333)


STATEMENT IN SUPPORT OF AN APPLICATION FOR REGISTRATION OR RENEWAL OF
REGISTRATION AS A DEALER ACTING ON BEHALF OF A CORPORATION

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of. 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

1. The applicant of

(name of applicant) (address of
applicant)






is acting on behalf of
(business name of the corporation)

2. The information given by the applicant in Forms 1 and 1 A is true and correct to the best of our knowledge and belief.


3.The applicant is a fit and proper person *to be registered /conti n ue to be registered as a dealer.

4. If the applicant ceases to act on behalf of the corporation, we will notify the Commissioner for Securities in
accordance with section 63(3) of the Securities Ordinance.

Dated this - day of 19-


(Note: Two directors, including the Chairman, must sign.)





Signed on behalf of the corporation


Delete whichever is inapplicable.


Signature

Name of signatory


Capacity

Signature
we
Name of signatory

Capacity


(in block letters)

(in block letters)





FORM 1 D


SECURITIES ORDINANCE


(Chapter 333)


CERTIFICATE IN SUPPORT OF AN APPLICATION BY AN INDIVIDUAL
FOR REGISTRATION AS A DEALER



WARNING -Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5 years'
imprisonment for a person who makes a false or misleading representation for the purposes of
obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

I hereby certify that the applicant

(name of applicant)

of
(address of applicant)





has acquired the following experience in dealing in securities-

Name and place of stock market in
Period Nature of services rendered which services rendered




Hong Kong, which is recognized by the Commission under section 65A(2)(a)(ii) of the Ordinance, then
this certificate should be signed by the Chairman or a committee member of the stock exchange
concerned.)

Signature

Name of registered dealer


Date


(in block letters)




FORM 2

SECURITIES ORDINANCE

(Chapter 333)

APPLICATION BY A CORPORATION FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS A DEALER

IMPORTANT If you are in doubt as to how to co mplete this application, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.


Application is hereby made to the Commissioner for Securities for registration or renewal of registration as a
dealer under Part VI of the Securities Ordinance.





Please answer the following questions-


(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and add the signature(s) of the directors
authorized to make the declaration. In addition, if there are any changes in the given information prior to the
approval of this application, details of such changes should be immediately forwarded to the Commissioner for
Securities.)

1 . State-
(a) the name and any former names of the corporation

(b) the place of incorporation


(c) the date of incorporation





(d) if incorporated outside Hong Kong, whether the corporation has
registered with the Registrar of Companies in Hong Kong. If so,
give details of registration.


2. (a) Give the following particulars of the corporation's registered office and all offices in Hong Kong where it
intends to carry on the business of dealing in securities-





(b)Give the following particulars if the corporation carries or has carried on a business of dealing in securities
or commodities outside Hong Kong.

(c)State the address at which the company will keep the register
pursuant to section 67 of the Securities Ordinance.


(d) State the various type(s) of the business of dealing in securities
that the corporation carries on or proposes to do (e.g. broking,
underwriting etc.).




business of dealing in securities?

(b) If so, give the following details-

(Answer 'Yes' or 'No')



(c)Does your corporation intend to continue carrying on any of the
above businesses if its application to become a dealer in
securities is successful?


(Answer 'Yes' or 'No')



business other than the business of dealing in securities?


(b) If so, give the following details-





State whether the corporation is a
general or limited partner

(c)Does your corporation intend to continue carrying on any of the
above business if its application to become a dealer in securities
is successful?





1985 Ed. Securities (Dealers, Investment Advisers, Parterships and Representatives) Rules




6.Give the following details of all persons, other than those named in Question 5 above, who have held office as
directors of the corporation during the period of 5 years preceding the date of this application-


7. Give the details of all the existing (or proposed) dealer's
representatives of the corporation-







8. Give details of the capital of the corporation as follows-

(a)the nominal capital, the class or classes into which it is divided
and the number of shares in each class





(b) the number of shares issued to date

(c) whether or not the shares are fully paid up

(d) if not, to what extend they are paid up

(e)whether or not any shares have been issued for a consideration
other than cash

(f)if so, how many and of what class and for what consideration.

9. (a)Has the corporation ever applied to be registered, licensed,
authorized or permitted to deal in securities or commodity
futures at any place outside Hong Kong?

(b) If so, state-

(i) the place and date of the application

(ii) whether the application was successful


(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')

(Answer'Yes'or'No')
(Answer 'Yes' or 'No')





(c)If the application was successful indicate whether the corpora-
tion is still so registered, licensed, authorized or permitted

(d)If the corporation has ceased to be so registered, licensed,
authorized or permitted, give the reason(s)


(e)If the application was unsuccessful, state the reason(s), if
known to you.

10. (a)Is the corporation, or has the corporation been, a member of any
stock or commodity futures exchange in Hong Kong or
elsewhere?


(b) If so, give details of-

(i) the name(s) of the exchange(s)

(ii) the place of the exchange(s)


(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')




(iii)the date(s) on which the corporation became a member of
the exchange(s)

(iv)the date(s) of termination of membership (if applicable)

(v) the reason(s) for termination of membership (if known).

(c)Is the corporation applying for membership of any stock or
commodity futures exchanges in Hong Kong or elsewhere?


(d) If so, give the name(s) and address(es) of the exchange(s).


We declare that all information given by us in this application is true and correct.

Dated this - day of 19-


(Note: Two directors, including the Chairman, must sign.)


(Answer 'Yes' or 'No')






Signed on behalf of the applicant corporation

Signature

Name of signatory
(in block letters)
capacity


Signature

Name of signatory

Capacity


(in block letters)
(Note: * This application must be accompanied by a board resolution signed by all members of the board.)





FORM 2A

SECURITIES ORDINANCE

(Chapter 333)


SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT of
AN APPLICATION BY A CORPORATION FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS A DEALER
IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities
for registration or renewal of registration as a dealer under Part VI of the Securities Ordinance.





Please answer the following questions-


(if there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to' which the sheet relates and add the signature(s) of the directo
authorized to make the declaration. In addition, if there are any changes in the given information prior to the
approval of this application, details of such changes should be immediately forwarded to the Commissioner for
Securities.)

1. (a) Has your corporation carried on any business during the 5 years
preceding this application? (Those named in Question 3 of Form
2 need not be repeated here.)

(b) If so, give the following details-

Name of business


(Answer 'Yes' or 'No')




2
2. (a)Has your corporation carried on as a partner of a firm any
business during the 5 years preceding this application? (Those
named in Question 4 of Form 2 need not be repeated here.)



(b) If so, give the following details-

(Answer 'Yes- or 'No')






1985 Ed. Securities (Dealers, Inverstment Advisers.
Partnerships and Representatives) Rules




1985 Ed. Securities (Dealers, Investment Advisers.
Partnerships and Representatives) Rules




State the following particulars of the ultimate holding company:
name, registered office, country of incorporation, nature of
business, existing directors and six major shareholders.


(c)State the particulars of subsidiary and associated companies:
name, registered office, country of incorporation, nature of
business, existing directors and six major shareholders.





4. (a) Give the following particulars of any debentures created and
issued by the corporation-

(i) the date of issue


(ii) the amount of the debt secured by the debenture


(iii)the rate of interest payable to the debenture holders


(iv) the date of repayment of the loan


(v) the names of the debenture holders or trustees for the
debenture holders.





(b)State the total amount of any other charges created by the
corporation over its assets or any pawof them.

5. (a)Has the corporation ever been refused membership of a stock or
commodity futures exchange in Hong Kong or elsewhere?

(b) If so, state-


(i) the name(s) of the exchange(s)

(ii~ place of the exchange(s),

(iii) the reason(s) for such refusal (it known).

6. (a)Has the corporation or any of the existing shareholders or
directors ever applied for registration With the Commissioner for
Securities?


(Answer 'Yes- or -No-)

(Answer 'Yes' or 'No')





(b)If so, state the date of application and where applicable the
names of the shareholders or directors. State whether the
application was approved. If not, state the reason(s) why the
application was refused.

7. (a) Have any of the directors of the corporation ever been
adjudicated bankrupt in Hong Kong or elsewhere?

(b) If so, give the following- details-

(Answer 'Yes' or 'No')





8. (a) Has a bankruptcy petition ever been served on any of the
directors of the corporation, in Hong Kong or elsewhere, which
did not result in his being ad judicated bankrupt?

(b) If so, give the following details of the petition-

(Answer 'Yes' or 'No-)





9. (a)Have any of the directors been censured or disciplined by any
professional body, in Hong Kong or elsewhere, to which he
belongs or belonged?

(b)If so, state the name(s) of the director(s) and details of the
circumstances.
10. (a)Have any of the directors ever been involved in the affairs of any
corporation in Hong Kong or elsewhere, which is being or has
been investigated by an inspector or officer appointed under any
enactment?


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




(b)If so, state the name(s) of the director(s) and details of the
circumstances and findings.

(a)Have any of the directors, in connexion with the formation or
management of any corporation, been adjudicated by a court in
Hong Kong or elsewhere, civilly liable for any fraud, misfeasance
. or other misconduct towards such corporation or any member
thereof, or been disqualified by order of such court from being a
director, or the equivalent in other jurisdiction?


(b)If so, state the name(s) of the d.irectors(s) and details of the
circumstances.
12. (a)Have any of the directors ever been involved in the affairs of any
business, in Hong Kong or elsewhere, which is being or has
been investigated in relation to any offence involving fraud or
dishonesty?

(Answer 'Yes' or ' No')

(Answer -Yes- or 'No')




(b) If so, give details of the circumstances and findings.


13. (a)Have any of the directors of the corporation ever, in Hong Kong
or elsewhere, been a party to a deed of arrangement or entered
into any form of composition with his creditors?


(b) If so, give the following details-

(Answer 'Yes' or 'No')


14. Give the following, particulars of-

(a) any judgment made against any of the directors of the corporation in which fraud was alleged, whether in
Hong Kong or elsewhere-







(b)any unsatisfied judgment debts outstanding against any director of the corporation in connexion with any
business conducted by him, whether in Hong Kong or elsewhere-







(c)any unsatisfied judgment or court order requiring the payment of damages or other sums of money in
relation to any trade or business carried on by a director of the corporation or in which such a director has
been concerned-






15. (a)Have any of the directors ever been convicted of an offence,
other than a traffic offence, in Hong Kong or elsewhere?

(b) If so, give the following details-






16. (a)To the best of your knowledge, has any corporation of which
any of the existing directors have held office, whether in Hong
Kong or elsewhere, been wound up otherwise than by means of
a members' voluntary winding up, during the 5 years preceding
this application?

(b) Is so, state-

(i) the mode of winding up

(ii) the reasons for winding up


(Answer 'Yes' or 'No-)




(iii) thename(s) and address(es) of the liquidator(s).
17. (a)Is the corporation engaged in any civil litigation, whether as
plaintiff or defendant?

(b)If so, give details of the circumstances.

18. (a)Have the corporation's affairs ever been investigated by an
inspector or officer appointed under any enactment of Hong
Kong or elsewhere?

(b)If so, give details of the circumstances and findings.

19. (a) Has the corporation ever entered into any deed of arrangement
or any form of composition with its creditors?


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(b)If so, give details of arrangement or composition.

20. (a)Has a petition ever been presented for winding up the
corporation?

(b)If so, is it now pending or how was it disposed of?


21. (a) Has a receiver ever been appointed by the court or by a
debenture holder to manage the affairs of the corporation?


(b) If so, is the receiver still in possession of the corporation's
assets?

22. (a)Are there unsatisfied judgment debts, or judgments or court
orders for the payment of damages or other sums of money,
outstanding against the corporation?

(b)If so, give the amount and full details.


(Answer 'Yes- or 'No')
(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




23. (a) Has the corporation ever been convicted of any offence in Hong
Kong or elsewhere?


(b) If so, give the following details-






24. Give details of every bank at which the corporation keeps or proposes to keep an account in connexion with its
business of dealing in securities-

We declare that all information given by us in this supplementary statement is true and correct.

Dated this

day of 19-

(Note: Two directors, including the Chairman, must sign)

Signed on behalf of the applicant corporation





Signature


Name of signatory


Capacity


Signature


Name of signatory


Capacity


(in block letters)

(in block letters)

(Note: This supplementary statement must be accompanied by a board
resolution signed by all members of the board.)








FORM 3

SECURITIES ORDINANCE

(Chapter 333)


APPLICATION FOR REGISTRATION OR RENEWAL OF
REGISTRATION AS A DEALING PARTNERSHIP

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.


Application is hereby made to the Commissioner for Securities for registration or renewal of registration as a
dealing partnership under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and have it signed by all the general
partners. In addition, if there are any changes in the given information prior to the approval of this application,
details of such changes should be immediately forwarded to the Commissioner for Securities.)

Wherever and whenever the word 'partner' is used, it means all the partners of the partnership, whether
general or limited.

1. State-

(a) the name and any former names of the partnership


(b) the place of its registration

(c) whether it is a general or limited partnership


(d) in the case of a general partnership, the date of its formation,
and in case of a limited partnership, the date of its registration
with the Registrar of Companies.





2. (a) Give the following particulars of the partnership's
principal place of business and of all offices in Hong
Kong,where it intends to carry on the business of dealing in securities-

.(b)Give the following particulars if the partnership carries or has carried on a business of dealing in securities
or commodity futures outside Hong Kong-







(c) State the address at which the partnership keeps the register
pursuant to section 67 of the Securities Ordinance.


(d) State the various type(s) of the business of dealing in securities
that it carries on or proposes to do (e.g. broking, underwriting,
etc.).

3. (a)Is your partnership carrying on any business other than the
business of dealing in securities?

(Answer 'Yes' or ' No')




(b) If so, give the following details-



(c)Does your partnership intend to continue carrying on any of the
above business if its application to become a dealing partnership
is successful?


(Answer 'Yes' or 'No')




4. Give the following particulars of all existing partners-






5. Give the details of. all the existing (or proposed) dealer's representatives of the partnership-






6. (a)Has the partnership ever applied to be registered, licensed,
authorized or permitted to deal in securities or commodity
futures at any place outside Hong Kong?


(Answer 'Yes' or 'No')





(b) If so, state-

(i) the place and date otthe application

(ii) whether the application was successful.

(c)If the application was successful, indicate whether it is still so
registered, licensed, authorized or permitted.


(d)If the partnership has ceased to be so registered, licensed,
authorized or permitted, give the reason(s).

(e)If the application was unsuccessful, state the reason(s), if
known to you.

7. (a) Is the partnership or has the partnership been a member of any
stock or commodity futures exchange outside Hong Kong?


(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')






(b) If so, give details of-

(i) the name(s) of the exchange(s)


(ii) the place of the exchange(s)

(iii) the date(s) on which the partnership became a member of
the exchange(s)

(iv) the date(s) of termination of membership (if applicable)
(v) the reason(s) for termination of membership (if known).


(c)Is the partnership applying for membership of any stock or
commodity futures exchanges outside Hong Kong?


(d) If so, give the name(s) and the address(es) of the exchange(s).

(Answer 'Yes' or 'No')




We declare that all information given by us in this application is true and correct.

Dated this - day of 19


(Note:This application must be signed by all the general partners. In addition, general partners of the dealing
partnership must also hold registration as, dealers and may only carry on the, business of dealing in
securities in the name of that dealing partnership.)

Signature


Name of general partner


Signature


Name of general partner


(in block letters)

(in block letters)





FORM 3A

SECURITIES ORDINANCE

(Chapter 333)


SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN
SUPPORT OF AN APPLICATION FOR REGISTRATION OR
RENEWAL OF REGISTRATION AS A DEALING PARTNERSHIP


IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.


The following confidential information is given in support of the application to the Commissioner for Securities
for registration or renewal of registration as a dealing partnership under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer toany question, please continue the answer on a
separate sheet of paper, specify the question, to which the sheet relates and have it signed by all the general
partners. In addition, if there are any changes in the given information prior.,to the approval of this application,
details of such changes should be immediately forwarded to the Commissioner for Securities.)

Wherever and henever the word 'partner' is used, it means all partners of the partnership, whether general or
limited.



(a)Has your partnership carried on any business during the 5 years
preceding this application? (Those named in Question 3 of Form
3 need not be repeated here.)


(b) If so, give the following details-

(Answer 'Yes' or 'No')







2. (a)Has the partnership ever been refused membership of any stock
or commodity futures exchange outside Hong Kong?


(b) If so, state

(i) the name(s) of the exchange(s)

(5) place of the exchange(s)

(iii) the reason(s) for the refusal of the application (if known).


(Answer *Yes' or 'No')


3. (a)Has the partnership or any of its existing partners ever applied
for registration with the Commissioner for Securities?

(b) If so, state the name of the applicant and the date of application.
State whether the application was approved. If not, state the
reason(s) why the application was refused.

4. (a) Has any existing partner ever been adjudicated bankrupt in Hong
Kong or elsewhere?


(b) If so, give the following particulars-

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





5. (a)Has a bankruptcy petition ever been served on any existing
partner, in Hong Kong or elsewhere, which did not result in his
being adjudicated bankrupt?

(Answer 'Yes' or -No')




(b) If so, give the following details of the petition-

6. (a) Has any existing partner been censured or disciplined by any
professional body, in Hong Kong or elsewhere, to which he
belongs or belonged?

(Answer 'Yes' or 'No')




(b) If so, state the name(s) of the partner(s) and details of the
circumstances.

7. (a)Has any existing partner ever been involved in the affairs of any
corporation in Hong Kong or elsewhere, which is being or has
been investigated by an inspector or officer appointed under any
enactment?


(b) If so, state the name(s) - of the partner(s) and details of the
circumstances and findings.

8. (a)Is any existing partner, in connexion with the business of the
partnership, engaged in any civil litigation, whether as a plaintiff
or defendant?

(b)If so, give details of the circumstances.


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')



management of any corporation, been adjudicated by a court in
Hong Kong or elsewhere, civilly liable for any fraud, misfeasance
or other misconduct towards such corporation or any member
thereof, or been disqualified by order of such court from being a
director, or the equivalent in other jurisdiction?


(b) If so, state the name(s) of the partner(s) and details of the
circumstances.

10. (a)Has any existing partner ever been involved in the affairs of any
business in Hong Kong or elsewhere, which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?

(b) If so, state the name(s) of the partner(s) and details of the
circumstances and findings.

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





11. (a) Has any existing partner ever, in Hong Kong or elsewhere, been
a party to a deed of arrangement or entered into any form of
composition with his creditors?


(b) If so, give the following details-





12. Give the following particulars of-

(a) any judgment made against any existing partner in which fraud was alleged, whether in Hong Kong or
elsewhere-





(b) any unsatisfied judgment debts outstanding against any existing partner in connexion with any business
conducted by him, whether in Hong Kong or elsewhere-






(c) any unsatisfied judgment or court order requiring the payment
of damages or other sums of money in
relation to any trade or business carried on by an existing partner, or in which such a partner has been
concerned-




other than a traffic offence, in Hong Kong or elsewhere?

(b) If so, give the following details-



(Answer 'Yes' or 'No')





14. (a)To the best of your knowledge, has any corporation of which
any of the existing partners have held office, whether in Hong
Kong or elsewhere, been wound up otherwise than by means of
a members' voluntary winding up, during the 5 years preceding
this application?

(b) If so, state-

(i) the mode of winding up

(ii) the reasons for winding up

(iii) the name(s) and address(es) of the liquidator(s),


(Answer 'Yes- or 'No')



plaintiff or defendant?

(b) If so, give details of the circumstances.

16. (a) Have the partnership's affairs ever been investigated by an
inspector or officer appointed under any enactment of Hong
Kong or elsewhere?

(b) If so, give details of the circumstances and findings.

(Answer 'Yes' or -No')
(Answer 'Yes' or 'No')

17.Give details of every bank at which the partnership keeps or proposes to keep an account in connexion with its
business of dealing in securities-





Account number(s)
(if applicable)

Date(s) of opening of the
account(s) (if applicable)


We declare that all information given by us in this supplementary statement is true and correct.

Dated this - day of
19-

(Note: This supplementary statement must be signed by all the general partners. In addition, general partners of
the dealing partnership must also hold registration as dealers and may only carry on the business of dealing
in securities in the name of that dealing partnership.)

Signature

Name of general partner
(in block letters)





Signature

Name of general partner

FORM 4

SECURITIES ORDINANCE

(Chapter 333)


(in block letters)

APPLICATION BY AN INDIVIDUAL FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS A DEALER'S REPRESENTATIVE
IIMPORTANTIf you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.





WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.



Application is hereby made to the Commissioner for Securities for registration or renewal of registration as a
dealer's representative under Part VI of the Securities Ordinance.


Please answer the following questions:-


(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should be
immediately forwarded to the Commissioner for Securities.)


1 . State-

(a) in English your present surname (please underline) and other
names (including any aliases), and previous names by which
known





(b) if applicable, your name in Chinese and code number


(c) your residential address and telephone number


(d) place of birth


(e)
whether or not you are over 21 years of age

(f)if you are not over 21, your date of birth

(g) your Hong Kong identity card number or passport number


(h) your nationality

(i) the period for which you have been ordinarily resident in Hong
Kong.


(Answer 'Yes- or -No')




2. State-


(a)the address and telephone number of each place at or from
which you carry on or intend to carry on business as a dealer's
representative (Post Office Box numbers are not acceptable)


Tei. No.

2.

Tei. No.


3.

Tei. No.
(b)the address at which you will keep the register pursuant to
section 67 of the Securities Ordinance.





3. Give the following details of your employer-


(a) name of the employer

(b)name of the employer in Chinese (if applicable)

(c) business name of the employer

(d) business address of the employer

(e) capacity in which you are employed

(f)date of commencement of employment.


4. (a) Are you carrying on as a sole proprietor any business other than
the business of dealing in securities?

(Answer 'Yes' or *No')





(b) If so, give the following details-


Name of business


Address of business (Post Office
Box numbers are not acceptable)

Nature of business


Date of commencement of
business

(c)Do you intend to continue carrying on any of the above
business if your application to become a dealer's representative
is successful?

(Answer 'Yes' or 'No')




5. (a) Are you carrying on as a partner of a firm any business other
than the business of dealing in securities?

(b) If so, give the following details-


(Answer 'Yes' or 'No')







(c)Do you intend to continue carrying on any of the above
business if your application to become a dealer's representative
is successful?

6. (a)Are you a director of a corporation whose business is not that of
dealing in securities, whether incorporated in Hong Kong or
elsewhere?

(b) If so, give the following details-
(Answer 'Yes' or *No')
(Answer 'Yes' or 'No')





(c)Do you intend to remain as a director of any of these corpora-
tions if your application to become a dealer's representative is
successful?

(Answer 'Yes' or 'No')




7.State any professional, technical or academic qualifications that you
hold which have a bearing on dealing in securities, together with
respective dates.

8. How many years experience in dealing in securities do you have and
give details of your experience.

9. (a) Are you or have you worked as a dealer's representative for a
person registered as a dealer under the Securities Ordinance or
Commodities Trading Ordinance in Hong Kong?

(b) If so, state-



(i) the name of the registered dealer(s) by whom you are or
were employed; and

(ii) the date(s) of that employment.


(Answer 'Yes' or 'No')



permitted to deal in securities or commodity futures at any place
Outs Hong Kong?

(b) If so, state-


(i) the place and date of application

(ii) whether the application was successful.


(c)If the application was successful, indicate whether you are still
so registered, licensed, authorized or permitted.

(d) If you are not still so registered, licensed, authorized or
permitted, give the reason(s).

(e) If the application was unsuccessful, state the reason(s), if
known to you.

(Answer 'Yes- or *No')

(Answer *Yes' or 'No')
(Answer 'Yes' or *No')




1. (a) Are you or have you been -a member of any stock or commodity
futures, exchange in Hong Kong or elsewhere?


(b) If so, give details of-


(i)the name(s) and address(es) of the exchange(s)
the date(s) on which you became a member

(iii) the date(s) of termination of membership (if applicable)

(iv)the reason(s) for termination of membership (if known)

(c)State the period during which you have actively participated in
dealing in securities or commodity futures in the above stock or
commodity futures exchange(s).

(d) Are you applying for membership of any stock or commodity
futures exchange(s) in Hong Kong or elsewhere?


(Answer 'Yes' or -NO-)

(Answer 'Yes' or 'No')




(e)If so, give the name(s) and the address(es) of the exchange(s).

I declare that all information given by me in this application is true and correct.

Dated this - day of

19


The applicant must affix a
recent passport size
photograph of himself here.

Signature

Name of the applicant


(in block letters)




FORM 4A

SECURITIES ORDINANCE

(Chapter 333)


SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT OF
AN APPLICATION BY AN INDIVIDUAL FOR REGISTRATION OR
RENEWAL OF REGISTRATION AS A DEALER'S REPRESENTATIVE

IMPORTANT - If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities
for registration or renewal of registration as a dealer's representative under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should be
immediately forwarded to the Commissioner for Securities.)

1. (a)Have you carried on as a sole proprietor any business during the
5 years preceding this application? (Those named in Question 4
of Form 4 need not be repeated here.)


(b) If so, give the following details-


(Answer 'Yes' or 'No')





2. (a) Have you carried on as a partner of a firm any business during
the 5 years preceding this application? (Those named in
Question 5 of Form 4 need not be repeated here.)

(b) If so, give the following detail

(Answer 'Yes' or 'No')







1985 Ed. Securities (Dealers, Investment Advisers,
Partnerships and Representatives) Rules



director of any corporation, whether incorporated in Hong Kong
or elsewhere? (Those named in Question 6 of Form 4 need not
be repeated here.)

(b) If so, give the following details-





4. . (a) Are you employed, or have you been employed during the 5
years preceding this application, by any person, firm or any
corporation otherwise than as a director?

(b) If so, give details of-

(i) the name of the employer

(ii) his or its name in Chinese (if applicable)


(Answer 'Yes' or 'No')





(iii) his or its principal business address

(iv) the nature of his or its business

(v) if the employer is or has been a registered person under Part
VI of the Securities Ordinance or Part IV of the Commodities
Trading Ordinance, type(s) of his registration and number(s)

(vi)the capacity in which you are or were employed

(viii)the date of termination of employment (if applicable)

(ix) the reason(s) for termination of employment (if known).

(c) If you are still in employment, do you intend to remain in this
employment if your application to . become a dealer's
representative is successful?


(Answer 'Yes' or 'No*)




5. (a) Have you ever been refused membership of a stock or
commodity futures exchange in Hong Kong oi elsewhere?


(b) If so, state-

(i) the name(s) of the exchange(s)


(ii) place of the exchange(s)


(iii) the reason(s) for such refusal (if known).

6. (a) Have you ever applied for registration with the Commissioner for
Securities?


(b) If so, state the type and the date of application. State whether
the application was approved. If not, state the reason(s) for such
refusal.

(Answer 'Yes' or 'No-)
(Answer 'Yes' or 'No')




elsewhere?

(b) If so, give details of-

(i) the date of adjudication of bankruptcy

(ii) the place of bankruptcy

(iii) name of court which made the adjudication

(iv) if you have been discharged-

(A) the date of discharge

(B) the conditions of discharge.

8. (a)Has a bankruptcy petition ever been served on you in Hong
Kong or elsewhere, which did not result in your being
adjudicated bankrupt?



(Answer 'Yes* or 'No')

(Answer 'Yes' or 'No')




(b) If so, specify details of the petition, including the date and the
court in which the petition was presented.


9. (a) Have you been censured or disciplined by any professional
body, in Hong Kong or elsewhere, to which you belong or
belonged?

(b) If so, give the details of the circumstances.

10. (a) Have you ever been involved in the affairs of any corporation in
Hong Kong or elsewhere, which is being or has been investigated
by an inspector or officer appointed under any enactment?

(b)If so, give details of the circumstances and findings.

11. (a)Are you engaged in any civil litigation, whether as plaintiff or
defendant in Hong Kong or elsewhere?

(Answer 'Yes' or'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No-)





(b) If so, give details of the circumstances.

12. (a)Have you, in connexion with the formation or management of
any corporation, been adjudicated by a court in Hong Kong or
elsewhere, civilly liable for any fraud, misfeasance or other
misconduct towards that corporation or any member thereof or
been disqualified by order of such court from being a director, or
the equivalent in other jurisdiction?

(b) If so, give details of the circumstances.

13. (a)Have you ever been involved in the affairs of any business in
Hong Kong or elsewhere which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?



(Answer 'Yes' or 'No')


(Answer 'Yes' or 'No')






(b) If so, give details of the circumstances and findings.

14. (a)Have you ever, in Hong Kong or elsewhere, been a party to a
deed of arrangement or entered into any form of composition
with your creditors?


(b) If so, give details of the arrangement or composition.

15. Give the following particulars of-


(a)any judgment made against you in which fraud was alleged,
whether in Hong Kong or elsewhere

(b)any unsatisfied judgment debts outstanding against you in
connexion with any business conducted by you, whether in
Hong Kong. or elsewhere


(Answer 'Yes' or 'No')




(c)any unsatisfied judgment or court order requiring the payment of
damages or other sums of money in relation to any trade or
business carried on by you or in which you have been
concerned.
16. (a)Have you ever been convicted of an offence, other than a traffic
offence, in Hong Kong or elsewhere?


(b)If you have, give the following details-


(Answer 'Yes' or 'No')






17. (a)To the best of your knowledge, has any corporation of which.
you have been a director, whether in Hong Kong or elsewhere,
been wound up, otherwise than by means of a members'
voluntary winding up, during the 5 years preceding this
application?

(b) If so, state-

(i) the mode of winding up

(ii) the reasons for winding up

(iii) name(s) and address(es) of liquidator(s).


(Answer 'Yes- or 'No')





I declare that all information given by me in this supplementary statement is true and correct.

Dated this -

day of 19

Signature


Name of the applicant


(in block letters)





FORM 4B

SECURITIES ORDINANCE

(Chapter 333)

STATEMENT IN SUPPORT OF AN APPLICATION BY AN INDIVIDUAL FOR
REGISTRATION OR RENEWAL OF REGISTRATION AS A DEALER'S REPRESENTATIVE

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

1. The applicant of
(Name) (Address)





has been employed by me as a dealer's representative as from


(Date)

2. The information given by the applicant is correct to the best of my knowledge and belief.


3. The applicant is a fit and proper person *to be
registered/continue to be registered as a dealer's representative.


4.If the applicant ceases to be employed by me, I undertake to notify the Commissioner for Securities in writing
of that fact immediately.


Dated this - day of 19-





Signature


Name of employer of the applicant


Employer's Registration No. as a dealer


t If a representative is employed by a corporation, a dealing director must sign this statement.

Delete whichever is inapplicable.


(in block letters)




FORM 5

SECURITIES ORDINANCE

(Chapter 333)


APPLICATION BY AN INDIVIDUAL FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS AN INVESTMENT ADVISER

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor o
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purpose,
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

Application is hereby made to the Commissioner for Securities for registration or renewal of registration as an
investment adviser under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer to any 'question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should be
immediately forwarded to the Commissioner for Securities.)
Vtw & -*i:fi V_ *UPARLOI -4a -

1 . State-


(a) in English your present surname (please underline) and other
names (including any aliases), and previous names by which
known

(b)if applicable, your name in Chinese and code number

(c) your residential address and telephone number

(d) place of birth






(e) whether or not you are over 21 years of age


(f) if you are not over 21, your date of birth

(g) your Hong Kong identity card number or passport number


(h) your nationality


(i) the period for which you have been ordinarily resident in Hong
Kong.

2. State-


(a) the name(s) of the business (or proposed business) of an
investment adviser of which you are a *sole proprietor/general
partner/director-

(i) English name

Delete whichever is inapplicable


(Answer 'Yes' or 'No')



(ii) Chinese name (if applicable)

(b) the correspondence address and telephone number of the
business

(c)

the address and telephone number of each place at or from
which the business of an investment adviser will be carried on
(Post Office Box numbers are not accepta ble)

(d) the address at which you will keep the register pursuant to
section 67 of the Securities Ordinance
(e)the various types of the business of an investment adviser that
you are carrying on or propose to do (e.g. advising other
persons concerning securities, issuing analyses or reports
concerning securities, etc.).

3. (a) Are you carrying on as a sole proprietor any business other than
the business of an investment adviser?

(b) If so, give the following details-


(Answer 'Yes' or 'No')






(c)Do you intend to continue carrying on any of the above
business if your application to become an investment adviser is
successful?

4. (a) Are you carrying on as a partner of a firm any business other
than the business of an investment adviser?

(b) If so, give the following details-


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




1985 Ed. Securities (Dealers, Investment Advisers, Partnerships and
Respresentatives) Rules




(c)Do you intend to continue carrying on any of the above
business if your application to become an investment adviser is
successful?

(Answer 'Yes' or 'No')

5. (a)Are you a director of a corporation whose business is not that of
an investment adviser, whether incorporated in Hong Kong or
elsewhere?


(b) If so, give the following details-


(Answer 'Yes' or 'No')







(c)Do you intend to remain as a director of any of these
corporations if your application to become an investment adviser
is successful?


6.State any professional, technical or academic qualifications that you
hold which have a bearing on giving investment advice, together
with respective dates.

7.How many years of experience as an investment adviser do you have
and give details of your experience.

(Answer 'Yes* or 'No')




8. (a) Are you or have you worked as

(i)an investment representative for a person registered as an
investment adviser under the Securities Ordinance in Hong
Kong?


(ii)a commodity trading adviser's representative for a person
registered as a commodity trading adviser under the
Commodities Trading Ordinance in Hong Kong?

(b) If so, state-


(i) the name(s) of the registered investment adviser(s) or
commodity trading adviser(s) by whom you are or were
employed; and

(ii) the date(s) of that employment.


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')
9.If you are carrying on the business of an investment adviser as a sole proprietor, give the following particulars
of any investment representatives you employ or propose to employ-





1985 ed. Securities (Dealers. Investment Advisers
Partnerships and Representatives ) Rules



permitted to act as an investment adviser or commodity trading
adviser at any place outside Hong Kong?


(b) If so, state

(i) the place and date of application

(ii) whether the application was successful


(c) If the application was successful, indicate whether you are still
so registered, licensed, authorized or permitted.


(d) If you are not still -so registered, licensed, authorized or
permitted, give the reason(s).

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




(e) If the application was unsuccessful, state the reason(s), if
known to you.

1. (a) Are you or have you been a member of any stock or commodity
futures exchange in Hong Kong or elsewhere?


(b) if so, give details of-



(i) the name(s) of the exchange(s)

(5) the place of the exchange(s)

(iii) the date(s) on which you became a member of the
exchange(s)


(iv) the date(s) of termination of membership (if applicable)

(v) the reason(s) for termination of membership (if known).

(Answer 'Yes' or 'No')




(c)State the period during which you have actively participated in
dealing in securities or commodity futures in the above stock or
commodity futures exchange.


(d) Are you applying for membership of any stock or commodity
futures exchange in Hong Kong or elsewhere?


(e) If so, give the name(s) and address(es) of the exchange(s).


I declare that all information given by me in this application is true and correct.

Dated this - day of 19-

(Answer 'Yes' or 'No')




The applicant must affix a
recent passport size
photograph of himself here.

Signature


Name of the applicant

(in block letters)




FORM 5A

SECURITIES ORDINANCE

(Chapter 333)

SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT OF
AN APPLICATION BY AN INDIVIDUAL FOR REGISTRATION OR
RENEWAL OF REGISTRATION AS AN INVESTMENT ADVISER

IMPORTANT If you are in doubt as to how to complete this application, you should consult your solicitor o
other professional advisers.

WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment fora person who makes a false or misleading representation for the purpose
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities
for registration or renewal of registration as an investment adviser under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer to any question, please continue. the answer on i
separate sheet of paper, specifying the question to which the sheet relates and add your signature. In addition,
there are any changes in the given information prior to the approval of this application, details of such change
should be immediately forwarded to the Commissioner for Securities.)

1. (a) Have you carried on as a sole proprietor any business during the
5 years preceding this application? (Those named in Question 3
of Form 5 need not be repeated here.)

(b) If so, give the following details-

(Answer 'Yes' or 'No')





2. (a)Have you carried on as a partner of a firm any business during
the 5 years preceding this application? (Those named in
Question 4 of Form 5 need not be repeated here.)

(b) If so, give the following details-


(Answer 'Yes' or 'No')






3. (a) Have you, during the 5 years preceding this application been a
director of any company or corporation, whether incorporated in
Hong Kong or elsewhere? (Those named in Question 5 of Form
5 need not be repeated here.)


(b) If so, give the following details-


(Answer 'Yes' or 'No-)



1985 Ed. Securities (Dealers, Investment advisers,
Partnerships and REpresentative) Rules



preceding this application, by any person, firm or corporation
otherwise than as a director?

(b) If so, give details of-

(i) the name of the employer

(ii)his or its name in Chinese (if applicable)

(iii) his or its principal business address (Post Office Box
numbers are not acceptable)

(iv) the nature of his or its business

(v)if the employer is or has been a registered person under Part VI
of the Securities Ordinance and/or Part IV of the Commodities
Trading Ordinance, type(s) of his registration and number(s)

(vi) the capacity in which you are or were employed


(Answer 'Yes' or 'No')





(viii) the date of termination of employment (if applicable)

(ix) the reason(s) for termination of employment (if applicable).


If you are still in employment, do you intend to remain in this
employment if your application to become an investment adviser
is successful?

5 (a)Have you ever been refused membership of a stock or
commodity futures exchange in Hong Kong or elsewhere?

(b) If so, state-

(i) the name(s) of the exchange(s)

(ii) place of the exchange(s)

(iii) the reason(s) for such refusal (if known).

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




6. (a) Have you ever applied for registration with the Commissioner for
Securities?

(b)If so, state the type and the date of application. State whether
the application was approved. If not, state the reason(s) for such
refusal.


7. (a) Have you ever been adjudicated bankrupt in Hong Kong or
elsewhere?

(b) If so, give details of-


(i) the date of adjudication of bankruptcy

(5) the place of bankruptcy

(iii) name of court which made the adjudication

(iv) if you have been discharged-

(A) the date of discharge


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(B) the conditions of discharge.

8. (a)Has a bankruptcy petition ever been served on you in Hong
Kong or elsewhere, which did not result in your being
adjudicated bankrupt?



(b)If so, specify details of the petition, including the date and the
court in which the petition was presented.

9. (a)Have you been censured or disciplined by any professional
body, in Hong Kong or elsewhere, to which you belong or
belonged?


(b) If so, give the details of the circumstances.
10. (a)Have you ever been involved in the affairs of any corporation in
Hong Kong or elsewhere, which is being or has been investigated
by an inspector or officer appointed under any enactment?

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




(b) If so, give details of the circumstances and findings.


11. (a) Are you engaged in any civil litigation, whether as plaintiff or
defendant in Hong Kong or elsewhere?

(b) If so, give details of the circumstances.


12. (a)Have you, in connexion with the formation or management of
any corporation, been adjudicated by a court in Hong Kong or
elsewhere, civilly liable for any fraud, misfeasance or other
misconduct towards that corporation or any member thereof or
been disqualified by order of such court from being a director, or
the equivalent in other jurisdiction?


(b) If so, give details of the circumstances.

(Answer 'Yes' or 'No-)
(Answer 'Yes' or 'No')




Hong Kong or elsewhere, which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?

(b)If so, give details of the circumstances and findings.

14. (a)Have you ever, in Hong Kong or elsewhere, been a party to a
deed of arrangement or entered into any form of composition
with your creditors?


(b)If so, give details of the arrangement or composition.

15. Give the following particulars of-


(a) any judgment made against you in which fraud was alleged,
whether in Hong Kong or elsewhere

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(b)any unsatisfied judgment debts outstanding against you in
connexion with any business conducted by you, whether in
Hong Kong or elsewhere

(c) any unsatisfied judgment or court order requiring the payment of
damages or other sums of money in relation to any trade or
business carried on by you or in which you have been
concerned.

16. (a)Have you ever been convicted of an offence, other than a traffic
offence, in Hong Kong or elsewhere?


(b) If so, give the following details-

(Answer 'Yes' or 'No')








17. (a)To the best of your knowledge, has any corporation of which
you have been a director, whether in Hong Kong or elsewhere,
been wound up otherwise than by means of a members'
voluntary winding up, during the 5 years preceding this
application?


(Answer 'Yes' or 'No')




(b) If so, state-

(i) the mode of winding up

(ii) the reason(s) for winding up

(iii) the name(s) and address(es) of the liquidator(s).


18. Give the following details of each bank at which you keep or
propose to keep an account in connexion with
your business of an investment adviser.





I declare that all information given by me in this supplementary statement is true and correct.

Dated this - day of

19-

Signature


Name of the applicant

(in block letters)




FORM 5B

SECURITIES ORDINANCE

(Chapter 333)


REFERENCE IN SUPPORT OF AN APPLICATION BY AN INDIVIDUAL
FOR REGISTRATION AS AN INVESTMENT ADVISER

Note 1: Two references are required. One reference should be given by a director or manager of a
bank licensed
under the Banking Ordinance (Chapter 155), and the other, on a separate form, may be given by-


(a) a barrister or solicitor who has practised as such in Hong Kong for at least 5 years; or

(b) a professional accountant who has practised as such in Hong Kong for at least 5 years; or

(c) a justice of the peace.







Note 2: For persons who come from overseas to set up their investment advice business in Hong Kong, two
references are required. One reference should be given by a director or manager of a bank incorporated
or established outside Hong Kong; and the other, on a separate form, may be given by-

(a)the Chairman or a committee member of a stock exchange recognized by the Commission for the
purposes of section 65A(2)(a)(5) of the Ordinance;

(b) a legal practitioner who has practised as such for at least 5 years and his reference is
accepable to
the Commissioner; or


(c) a professional accountant who has practised as such for at least
5 years and his reference is
acceptable to the Commissioner.

WARNING - Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5 years'
imprisonment for a person who makes a false or misleading representation for the purposes of
obtaining, either for himself or any other person, registration under Part VI of the Ordinance.





To the Commissioner for Securities:


I .

of
(name of the referee)

(address and occupation of the referee)

have personally known

(name of the application for registration as an investment adviser)

for a period of not less than 12 months.

2. I came to know the applicant on

(approximate date on which the referee first met the appficant and the extent of the referee's

acquaintance with him)




3.To the best of my knowledge, the applicant is a person of good character and is a fit and proper person to be
registered as an investment adviser.

Dated this -day of 19---


Signature


Name of signatory

(in block letters)





FORM SC

SECURITIES ORDINANCE

(Chapter 333)

STATEMENT IN SUPPORT OF AN APPLICATION FOR REGISTRATION OR
RENEWAL OF REGISTRATION AS AN INVESTMENT ADVISER ACTING ON
BEHALF OF A CORPORATION

IMPORTANT --- If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.






1. The applicant


(name of applicant)

of -


(address of applicant)

is acting on behalf of


(business name of the corporation)

2.The information given by the applicant in Forms 5 and 5A is true and correct to the best of our knowledge
and belief.

3. The applicant is a fit and proper person *to be
registered/continue to be registered as an investment adviser.

4. If the applicant ceases to act on behalf of the corporation, we will notify the Commissioner for Securities in
accordance with section 63(3) of the Securities Ordinance.

Dated this - day of 19-







(Note: Two directors, including the Chairman, must sign.)

Signed on behalf of the corporation


Delete whichever is inapplicable.


Signature

Name of signatory


Capacity



Signature

Name of signatory

Capacity


(in block letters)

(in block letters)





FORM 6

SECURITIES ORDINANCE

(Chapter 333)

APPLICATION BY A CORPORATION FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS AN INVESTMENT ADVISER
IMPORTANT---If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers
WARNING - Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.


Application is hereby made to the Commissioner for Securities for registration or renewal of registration as an
investment adviser under Part VI of the Securities Ordinance.





Please answer the following questions-

(If there is insufficient space to complete your answer to any question, please continue the answer on a separate
sheet of paper, specify the question to which the sheet relates and add the signature(s) of the directors authorized to
make the declaration. In addition, if there are any changes in the given information prior to the approval of this
application, details of such changes should be immediately forwarded to the Commissioner for Securities.)

1 . State-


(a) the name and any former names of the corporation

(b) the place of incorporation

(c) the date of incorporation


(d) if incorporated outside Hong Kong, whether the corporation has
registered with the Registrar of Companies in Hong Kong. If so,
give details of registration.




intends to carry on the business of an investment adviser-


(b)Give the following particulars if the corporation carries or has carried on a business of an investment
adviser or commodity trading adviser outside Hong Kong-






(c) State the address at which the company will keep the register
pursuant to section 67 of the Securities Ordinance.

(d) State the various type(s) of the business of an investment
adviser that the corporation carries on or proposes to do (e.g.
advising other persons concerning securities, issuing analyses or
reports concerning securities, etc.).


.3. (a) Is your corporation carrying on any business other than the
business of an investment adviser?

(b) If so, give the following details-

(Answer 'Yes' or 'No')





(c) Does your corporation intend to continue carrying on any of
the above business if its application to become an investment
adviser is successful?

4. (a)Is your corporation carrying on as a partner of a firm any
business other than the business of an investment adviser?

(b) If so, give the following details-


(Answer 'Yes' or 'No')
(Answer 'Yes- or 'No')





1985 Ed. Securities (Dealers, Investment Advisers
Partnerships and Representatives) Rules




(c)Does your corporation intend to continue carrying on any of
the above business if its application to become an investment
adviser is successful?





6. Give the following details of all persons, other than those named in Question 5 above, who have held office as
directors of the corporation during the.period of 5 years preceding the date of this application-







7. Give the details of all the existing (or proposed) investment representatives of the corporation-








8. Give details of the capital of the corporation as follows-

(a)the nominal capital, the class or classes into which it is divided
and the number of shares in each class





(b)the number of shares issued to date

(c) whether or not the shares are fully paid up

(d) if not, to what extent they are paid up

(e) whether or not any shares have been issued for a consideration
other than cash


(f) if so, how many and of what class and for what consideration.
-
9. (a)Has the corporation ever applied to be registered, licensed,
authorized or permitted to act as an investment adviser or
commodity trading adviser at any place outside Hong Kong?



(b) If so, state-

(i) the place and date of the application


(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(ii) whether the application was successful.

(c) If the application was successful, indicate whether the corporation
is still so registered, licensed, authorized or permitted.

(d) If the corporation has ceased to be so registered, licensed,
authorized or permitted, give the reason(s).


(e)If the application was unsuccessful, state the reason(s), if
known to you.



10(a) Is the corporation, or has the corporation been, a member of
any stock or commodity futures exchange in Hong Kong or
elsewhere?

(b) If so, give details of-

(i) the name(s) of the exchange(s)


(Answer 'Yes' or 'NO')

(Answer 'Yes' or 'No')


(Answer 'Yes' or 'No-)





(ii) the place of the exchange(s)

(iii)the date(s) on which the corporation became a member of
the exchange(s)

(iv) the date(s) of termination of membership (if applicable)

(v)the reason(s) for termination of membership (if known).

(c) Is the corporation applying for membership of any stock or
commodity futures exchanges in Hong Kong or elsewhere?

(d) If so, give the name(s) and address(es) of the exchange(s).


We declare that all information given by us in this application is true and correct.

Dated this - day of


19
(Answer 'Yes' or 'No')





(Note: Two directors, including the Chairman, must sign.)
*1. iwj -R- 1-P - f:,'~ ffi 1.5 1 1-~

Signed on behalf of the applicant corporation
a f ~ W lEP IP W W

Signature
lpt X_
YR

Name of signatory
i9P9- W- k kt ~5

Capacity
-4 f5~

Signature
tt W
Ost

Name of signatory
-9 A 4t ~9

Capacity
4 fff

(in block letters) GA 111 A:

(in block letters) GA4 ill Il: 411 )

(Note: This application must be accompanied by a board resolution signed by all members of the board.)
(a- : * IP -K -VI Al 9~ PR ~1.11 A * 95 It- M* A R W A A211 IA PA- )





FORM 6A

SECURITIES ORDINANCE

(Chapter 333)


SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT OF
AN APPLICATION BY A CORPORATION FOR REGISTRATION OR RENEWAL OF
REGISTRATION AS AN INVESTMENT ADVISER

IMPORTANT---If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities
for registration or renewal of registration as an investment adviser under Part VI of the Securities Ordinance.

Please answer the following questions-






(If there is insufficient space to complete your answer to any question, please continue the answer on a separate
sheet of paper, specify the question to which the sheet relates and add the signature(s) of the directors authorized
to make the declaration. In addition, if there are any changes in the given information prior to the approval of this
application, details of such changes should be immediately forwarded to the Commissioner for Securities.)


1 . (a) Has your ~orporation carried on any business during the 5 years
preceding this application? (Those named in Question 3 of Form
6 need not be repeated here)?

(b) If so, give the following details-


(Answer -Yes- or -No')





2. (a) Has your corporation carried on as a partner of a firm any
business during the 5 years preceding this application? (Those
named in Question 4 of Form 6 need not be repeated here.)

(b) If so, give the following details-


(Answer 'Yes' or 'No')





3. (a) Give the following details of shareholding of the corporation-






1985 Ed. Securities (Dealers, Investment Advisers
Partnerships and representatives ) Rules




(b)State the following particulars of the ultimate holding company:
name, registered office, country of incoporation, nature of
business, existing directors and six major shareholders.

(c)State the particulars of subsidiary and associated companies:
name, registered office, country of incorporation, nature of
business, existing directors and six major shareholders.


4. (a) Give the following particulars of any debentures created and
issued by the corporation-

(i) the date of issue

(ii)the amount of the debt secured by the debenture




(iv) the date of repayment of the loan






(v) the names of the debenture holders or trustees for the
debenture holders.

(b)State the total amount of any other charges created by the
corporation over its assets or any part of them.

5. (a)Has the corporation ever been refused membership of a stock or
commodity futures exchange in Hong Kong or elsewhere?

(b) If so, state-

(i) the name(s) of the exchange(s)


1 .

2.

3.

4.

5.

6.

(Answer 'Yes' or 'No')




(ii) place of the exchange(s)

(iii) the reason(s) for such refusal (if known).

6. (a)Has the corporation or any of the existing shareholders or
directors ever applied for registration with the Commissioner for
Securities?


(b) If so, state the date of application and where applicable the
names of the shareholders or directors. State whether the
application was approved. If not, state the reason(s) why the
application was refused.

7. (a)Have any of the directors of the corporation ever been
adjudicated bankrupt in Hong Kong or elsewhere?

(b) If so, give the following details-

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




1985 Ed. Securities (Dealers, Investment Advisers,
Partnerships and Representativaes) Rules




directors of the corporation, in Hong Kong or elsewhere, which
did not result in his being adjudicated bankrupt?


(b) If so, give the following details of the petition-

(Answer -Yes' or 'No')






9. (a) Have any of the directors been censured or disciplined by any
professional body, in Hong Kong or elsewhere, to which he
belongs or belonged?

(b) If so, state the name(s) of the director(s) and details of the
circumstances.

10. (a) Have any of the directors ever been involved in the affairs of any
corporation in Hong Kong or elsewhere, which is being or has
been investigated by an inspector or officer appointed under any
enactment?

(b)If so, state the name(s) of the director(s) and details of 'the
circumstances and findings.

11. (a)Have any of the directors, in connexion with the formation or
management of any corporation, been adjudicated by a court in
Hong Kong or elsewhere, civilly liable for any fraud, misfeasance
or other misconduct towards such corporation or any member
thereof, or been disqualified by order of such court from being a
director, or the equivalent in other jurisdiction?


(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')






(b) If so, state the name(s) of the director(s) and details of the
circumstances.


12. (a) Have any of the direc tors ever been involved in the affairs of any
business, in Hong Kong or elsewhere, which is being or has
been investigated in relation to any offence involving fraud or
dishonesty?


(b) If so, give details of the circumstances and findings.


13. (a)Have any of the directors of the corporation ever, in Hong Kong
pr elsewhere, been a party to a deed of arrangement or entered
into any form of composition with his creditors?

(Answer 'Yes' or 'No')

(Answer 'Yes- or 'No')

(Answer 'Yes' or 'No')




(b) If so, give the following details-

14. Give the following particulars of-

(a) any judgment made against any of the directors of the
corporation in which fraud was alleged, whether in
Hong Kong or elsewhere-






(b)any unsatisfied judgment debts outstanding against any director of the corporation in connexion with any
business conducted by him, whether in Hong Kong or elsewhere-






(c)any unsatisfied judgment or court order requiring the payment of damages or other sums of money in
relation to any trade or business carried on by a director of the corporation or in which such a director has
been concerned-







15. (a) Have any of the directors ever been convicted of an offence,
other than a traffic offence, in Hong Kong or elsewhere?

(b) If so, give the following details-







Name and place of the court which
tried the offence


Court reference, if any

16. (a) To the best of your knowledge, has any corporation of which
any of the existing directors have held office, whether in Hong
Kong or elsewhere, been wound up otherwise than by means of
a members' voluntary winding up, during the 5 years preceding
this application?

(b) Is so, state-

(i) -the mode of winding up

(5) trie reasons for winding up

(iii) the name(s) and address(es) of the liquidator(s).

(Answer 'Yes' or 'No')




plaintiff or defendant?


(b) If so, give details of the circumstances.

18. (a)inspector or officer appointed under any enactment of HO
Kong or elsewhere?

19. (a)

Have the corporation's affairs ever been investigated by


(b) If so, give details of the circumstances and findings.

Has the corporation ever entered into any deed of arrangemen
or any form of composition with its creditors?

(b) If so, give details of arrangem6nt or composition.

20. (a)Has a petition ever been presented for winding up the
corporation?

(Answer 'Yes' or 'No-)

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(b) If so, is it now pending or how was it disposed of?


21. (a) Has a receiver ever been appointed by the court or by a
debenture holder to manage the affairs of the corporation?

(b) If so, is the receiver still in possession of the corpc;ration's
assets?

22. (a) Are there unsatisfied judgment debts, or judgments or court
orders for the payment of damages or other sums of money,
outstanding against the corporation?

(b)If so, give the amount and full details.

23. (a)Has the corporation ever been convicted of any offence in Hong
Kong or elsewhere?


(b) If so, give the following details


(Answer 'Yes- or 'No')
(Answer 'Yes' or 'NO')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')







24. Give details of every bank at which the corporation keeps
or proposes to keep an account in connexion with its
business of an investment adviser.







We declare that all information given by us in this supplementary statement is true and correct.


Dated this - day of




(Note: Two directors, including the Chairman, must sign.)


19-





Signed on behalf of the applicant corporation

Signature

Name of signatory

Capacity


Signature

Name of signatory


Capacity


(in block letters)

(in block letters)

(Note: This supplementary statement must be accompanied by a board resolution signed by all members of the board.)





FORM 7
SECURITIES ORDINANCE

(Chapter 333)


APPLICATION FOR REGISTRATION OR RENEWAL OF REGISTRATION
AS AN INVESTMENT ADVISERS' PARTNERSHIP

IMPORTANT---If you are in doubt as to how to complete this application, you should consult your solicitor or
other professional advisers.

WARNING---Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

Application is hereby made to the Commissioner for Securities for registration or renewal of registration as an
investment advisers' partnership under Part VI of the Securities Ordinance.

Please answer the following questions-





(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and have it signed by all the general
partners. In addition, if there are any changes in the given information prior to the approval of this application,
details of such changes should be immediately forwarded to the Commissioner for Securities.)


Wherever and whenever the word 'partneC is used, it means all the partners of the partnership, whether
general or limited.

1 . State-


(a) the name and any former names of the partnership

(b) the place of its registration

(c) whether it is a general or limited partnership


(d) in the case of a general partnership, the date of its formation,
and in case of a limited partnership, the date of its registration
with the Registrar of Companies.






2. (a) Give the following particulars of the partnership's
principal place of business and of all offices in Hong
Kong where it intends to carry on the business of an investment advisers' partnership-



(b) Give the following particulars if the partnership carries or has carried on a business
of an investment
advisers' partnership or commodity trading advisers' partnership outside Hong Kong-







(c)State the address at which the partnership keeps the register
pursuant to section 67 of the Securities Ordinance.


(d) State the various type(s) of the business of an investment
advisers' partnership that it carries on or proposes to do (e.g.
advising other persons concerning securities, issuing analyses or
reports concerning securities, etc.).

3. (a)Is your partnership carrying on any business other than the
business of an investment advisers' partnership?

(Answer 'Yes' or 'No')




(b) If so, give the following details-

(c)Does your partnership intend to continue carrying on any of
the above business if its application to become an investment
advisers' partnership is successful?



4. Give the following particulars of all existing partners-

(Answer 'Yes' or 'No')






1985 Ed. Securities (Dealers, Investment Advisers
Partnerships and Represnetatives) Rules




1985ed. Securities(Dealers, Investment Advisers,
Partnerships and Representatives) Rules




5. Give the details of all the existing (or proposed) investment representatives of the partnership-




authorized or permitted to carry on the business of an
investment advisers' partnership or commodity trading advisers'
partnership at any place outside Hong Kong?


(b) If so, state-

(i) the place and date of the application

(ii) whether the application was successful.


(c)If the application was successful, indicate whether it is still so
registered, licensed, authorized or permitted.


(d)If the partnership has ceased to be so registered, licensed,
authorized or permitted, give the reason(s).

(e) If the application was unsuccessful, state the reason(s), if
known to you.

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')



stock or commodity futures exchange outside Hong Kong?


(b) If so, give details of-

(i) the name(s) of the exchange(s)

(ii) the place of the exchange(s)



(iii)the date(s) on which the partnership became a member of
the exchange(s)

(iv) the date(s) of termination of membership (if applicable)

(v) the reason(s) for termination of membership (if known).

(c) Is the partnership applying for membership of any stock or
commodity futures exchanges outside Hong Kong?

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(d) If so, give the name(s) and the address(es) of the exchange(s).

We declare that all information given by us in this application is true and correct.


Dated this - day of

19-
(Note:This application must be signed by all the general partners. In addition, general partners of the investment
advisers' partnership must also hold registration as investment advisers and may only carry on the business
of an investment adviser in the name of that investment advisers' partnership.)


Signature


Name of general partner


(in block letters)





Signature


Name of general partner


(in block letters)

FORM 7A

SECURITIES ORDINANCE

(Chapter 333)

SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT OF
AN APPLICATION FOR REGISTRATION OR RENEWAL OF REGISTRATION
AS AN INVESTMENT ADVISERS' PARTNERSHIP

IMPORTANT--If you are in doubt as to how to complete this application,
you should consult your solicitor or other professional advisers.






WARNING - Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5

years imprisonment tor a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commi~sioner for Securities
for registration or renewal of registration as an investment advisers' partnership under Part VI of the Securities
Ordinance.

Please answer the following questions-


(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and have it signed by all the general
partners. In addition, if there are any changes in the given information prior to the approval of this application,
details of such changes should be immediately forwarded to the Commissioner for Securities.)
limited.

Wherever and whenever the word 'partneC is used, it means all paitners of the partnership, whether general or







1 . (a) Has your partnership carried on any business during the 5 years
preceding this application? (Those named in Question 3 of Form
7 need not be repeated here.)

(b) If so, give the following details-





or commodity futures exchange outside Hong Kong?

(b) If so, state-

(i) the name(s) of the exchange(s)

(ii) place of the exchange(s)
(iii) the reason(s) for the refusal of the application (if known).

3. (a)Has the partnership or any of its existing partners ever applied
for registration with the Commissioner for Securities?


(b)If so, state the name of the applicant and the date of application.
State whether the application was approved. If not, state the
reason(s) why the application was refused.

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')



Kong or elsewhere?

(b) If so, give the following particulars-


(Answer 'Yes' or 'No-)





5. (a)Has a bankruptcy petition ever been served on any existing
partner, in Hong Kong or elsewhere, which did not result in his
being adjudicated bankrupt?



(b) If so, give the following details of the petition-

(Answer 'Yes' or 'No')








6. (a) Has any existing partner been censured or disciplined by any
professional body, in Hong Kong or elsewhere, to which he
belongs or belonged?


(b)If so, state the name(s) of the partner(s) and details of the
circumstances.

(Answer 'Yes' or 'No')




corporation in Hong Kong or elsewhere, which is being or has
been investigated by an inspector or officer appointed under any
enactment?


(b) If so, state the name(s) of the partner(s) and details of the
circumstances and findings.
AL 0JJ

8. (a) Is any existing partner, in connexion with the business of the
partnership, engaged in any civil litigation, whether as a plaintiff
or defendant?


(b) If so, give details of the circumstances.

9. (a)Has any existing partner, in connexion with the formation or
management of any corporation, been adjudicated by a court in
Hong Kong or elsewhere, civilly liable for any fraud, misfeasance

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')




or other misconduct towards such corporation or any member
thereof, or been disqualified by order of such court from being a
director, or the equivalent in other jurisdiction?


(b) If so, state the name(s) of the partner(s) and details of the
circumstances.

10. (a)Has any existing partner ever been involved in the affairs of any
business in Hong Kong or elsewhere, which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?


(b)If so, give the name of the partners and the details of
circumstances and findings.

(Answer 'Yes' or 'No')
(Answer 'Yes' or 'No')




a party. to a deed of arrangement or entered into any form of
composition with his creditors?

(b) If so, give the following details-

(Answer 'Yes' or 'No')



12. Give the following particulars of-


(a) any judgment made against any existing partner in which
fraud was alleged, whether in Hong Kong or
elsewhere-






(b)any unsatisfied judgment debts outstanding against any existing partner in connexion with any business
conducted by him, whether in Hong Kong or elsewhere-





(c) any unsatisfied judgment or court order requiring the payment of damages or other sums of money in
relation to any trade or business carried on by an existing partner, or in which such a partner has been
concerned-





13. (a) Has any existing partner ever been convicted of an offence,
other than a traffic offence, in Hong Kong or elsewhere?

(b) If so, give the following details-



(Answer 'Yes' or 'No')





14. (a)To the best of your knowledge, has any corporation of which
any of the existing partners have held office, whether in Hong
Kong or elsewhere, been wound up otherwise than by. means of
a members' voluntary winding up, during the 5 years preceding
this application?

(Answer 'Yes' or 'No')




(b) If so, state-

(i) the mode of winding up

(ii) the reasons for winding up

(iii) the name(s) and address(es) of the liquidator(s).


15. (a) Is the partnership engaged in any civil litigation, whether as
plaintiff or defendant?

(b) If so, give details of the circumstances.


16. (a)Have the partnership's affairs ever been investigated by an
inspector or officer appointed under any enactment of Hong
Kong or elsewhere?


(b) If so, give details of the circumstances and findings.

(Answer 'Yes' or 'No')
(Answer -Yes- or 'No')




17.Give details of every bank at which the partnership keeps or proposes to keep an account in connexion with its
business of an investment advisers' partnership-


We declare that all information given by us in this supplementary statement is true and correct.

Dated this - day of 19






(Note: This supplementary statement must be signed by all the general partners. In addition, general partners of
the investment advisers' partnership must also hold registration as investment advisers and may only carry

Signature
Name of general partner (in block letters)

Signature

Name of general partner


(in block letters)






FORM 8

SECURITIES ORDINANCE

(Chapter 333)


APPLICATION BY AN INDIVIDUAL FOR REGISTRATION
OR RENEWAL OF REGISTRATION AS AN INVESTMENT REPRESENTATIVE

IMPORTANT If you are in doubt as to how to complete this appjication, you should consult your solicitor or
other professional advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Pari VI of the Ordinance.


Application is hereby made to the Commissioner for.Securities for. registration or renewal of registration as an
investment representative under Part VI of the Securities Ordinance.






Please answer the following questions-

(If there is insufficient space to complete your answer to any question, please continue the answer on a
separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should be
immediately forwarded to the Commissioner for Securities.)

1. State-


(a) in English your present surname (please underline) and other
names (including any aliases), and previous names by which
known.


(b)if applicable, your name in Chinese and code number


(c) your residential address and telephone number





(d) place of birth


(e) whether or not you are over 21 years of age

(f) if you are not over 21, your date of birth



(g) your Hong Kong identity card number or passport number

(h) your nationality


(i) the period for which you have been ordinarily resident in Hong
Kong.

2. State-


(a)the address and telephone number of each place at or from which
you carry on or intend to carry on business as an investment
representative (Post Office Box numbers are not acceptable)

(Answer 'Yes' or 'No')




Tei. No.

2.

Tei. No.


3.

Tei. No.


(b)the address at which you will keep the register pursuant to
section 67 of the Securities Ordinance.

3. Give the following details of your employer-


(a) name of the employer


(b)name of the employer in Chinese (if applicable)


(c) business name of the employer






(d) business address of the employer


(e) capacity in which you are employed


(f) date of commencement of employment.


4. (a) Are you carrying on as a sole proprietor any business other than
the business of an investment adviser?


(b) If so, give the following details-
(Answer 'Yes' or 'No')








(c)Do you intend to continue carrying on any of the above
business if your application to become an investment
representative is successful?

5. (a)Are you carrying on as a partner of a firm any business other
than the business of an investment adviser?


(b) If so, give the following details-

(Answer 'Yes- or 'No')
(Answer 'Yes' or 'No')







(c)Do you intend to continue carrying on any of the above
business if your application to become an investment
representative is successful?

(Answer 'Yes' or 'No')




6. (a) Are you a director of a corporation whose business is not that of
an investment adviser, whether incorporated in Hong Kong or
elsewhere?

(b) If so, give the following details-


(Answer 'Yes' or 'No')







(c)Do you intend to remain as a director of any of these corporations
if your application to become an investment representative is
successful?

7.State any professional, technical or academic qualifications that you
hold which have a bearing on giving investment advice, together
with respective dates.

8. How many years of experience as an investment adviser do you have
and give details of your experience.


(Answer 'Yes' or 'No')




9. (a) Are you or have you worked as-

(i) an investment representative for a person registered as an
investment adviser under the Securities Ordinance in Hong
Kong?

(5) a commodity trading adviser's representative for a person
registered as a commodity trading adviser under the
Commodities Trading Ordinance in Hong Kong?


(b) If so, state-

(i) the name 'Of the registered investment adviser(s)
commodity trading adviser(s) by whom you are or were
employed; and

(ii) the date(s) of that employment.


10. (a) Have you ever applied to be registered, licensed, authorized or
permitted to act as an investment adviser or commodity trading
adviser at any place outside Hong Kong?


(Answer 'Yes' or 'No')
(Answer 'Yes- or 'No')
(Answer 'Yes- or 'No')




(b) If so, state-

(i) the place and date of application

(ii) whether the application was successful.


(c) If the application was successful, indicate whether you are still
so registered, licensed, authorized or permitted.


(d) If you are not still so registered, licensed, authorized or
permitted, give the reason(s).

(e)If the application was unsuccessful, state the reason(s), if
known to you.
1. (a)Are you or have you been a member of any stock or commodity
futures exchange in Hong Kong or elsewhere?

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')

(Answer 'Yes' or 'No')





(b) If so, give details of-


(i) the name(s) and address(es) of the exchange(s)

(5) the date(s) on which you became a member

(iii) the. date(s) of termination of membership (if applicable)

(iv) the reason(s) for termination of membership (if known).

(c) State the period during which you have actively participated in
dealing in securities or commodity futures in the above stock or
commodity futures exchange(s).

(d) Are you applying for membership of any stock or commodity
futures exchange(s) in Hong Kong or elsewhere?


(e)If so, give the name(s) and the address(es) of the exchange(s).

(Answer'*Yes' or 'No')




I declare that all information given by me in this application is true and correct.

Dated this day of 19
M

The applicant must affix a
recent passport size
photograph of himself
here.

Signature

Name of the applicant

(in block letters)





FORM 8A

SECURITIES ORDINANCE

(Chapter 333)

SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION IN SUPPORT OF
AN APPLICATION BY AN INDIVIDUAL FOR REGISTRATION OR RENEWAL OF REGISTRATION
AS AN INVESTMENT REPRESENTATIVE

IMPORTANT - If you are in doubt as to how to complete this application, you should consult your solicitor or other
professional advisers.

WARNING - Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5 years'
imprisonment for a person who makes a false or misleading representation for the purposes of
obtaining, either for himself or any other person, registration under Part VI of the Ordinance.

The following confidential information is given in support of the application to the Commissioner for Securities for
registration or renewal of registration as an investment representative under Part VI of the Securities Ordinance.





Please answer the following questions-



(if there is insufficient space to complete your answer to any question, please continue the answer on a

separate sheet of paper, specify the question to which the sheet relates and add your signature. In addition, if there
are any changes in the given information prior to the approval of this application, details of such changes should be
immediately forwarded to the Commissioner for Securities.)


1 . (a) Have you carried on as a sole proprietor any business during the
5 years preceding this application? (Those named in Question 4
of Form 8 need not be repeated here.)

(b) If so, give the following details- (Answer 'Yes' or 'No')









2. (a)Have you carried on as a partner of a firm any business during the 5
years preceding this application? (Those named in Question 5 of Form 8
need not be repeated here.)


(Answer 'Yes' or 'No')

(b) If so, give the following details-







3. (a)Have you, during the 5 years preceding this application, been a director
of any corporation, whether incorporated in Hong Kong





or elsewhere? (Those named in Question 6 of Form 8 need not
be repeated here.)


(Answer 'Yes' or 'No')

(b) If so, give the following details-







4. (a)Are you employed, or have you been employed during the 5 years
preceding this application, by any person, firm or any corporation
otherwise than as a director?


(Answer 'Yes' or 'No')
(b) If so, give details of-

(i) the name of the employer

(ii) his or its name in Chinese (if applicable)





(iii) his or its principal business address



(iv) the nature of his or its business


(v)if the employer is or has been a registered person under Part VI of
the Securities Ordinance or Part IV of the Commodities Trading
Ordinance, type(s) of his registration and number(s)

(vi)the capacity in which you are or were employed






(ix) the reason(s) for termination of employment (if known).

(c) If you are still in employment, do you intend to remain in this
employment if your application to become an investmentrepresentative is successful?


(Answer 'Yes' or 'No')



exchange in Hong Kong or elsewhere?


(Answer 'Yes' or 'No')



(b) If so, state-

(i) the name(s) of the exchange(s)

(ii) place of the exchange(s)

(iii) the reason(s) for such refusal (if known).

6. (a)Have you ever applied for registration with the Commissioner for
Securities?


(Answer 'Yes' or 'No')

(b)If so, state the type and the date of application. State whether the
application was approved. If not, state the reason(s) for such refusal.





(Answer 'Yes' or 'No')


(b) If so, give details of-


(i) the date of adjudication of bankruptcy

(ii) the place of bankruptcy


(iii) name of court which made the adjudication

(iv) if you have been
discharged

(A) the date of discharge

(B) the conditions of discharge.

8. (a) Has a bankruptcy petition ever been served on you in Hong
Kong or elsewhere, which did not result in your being

adjudicated bankrupt?

(Answer 'Yes' or 'No')







(b) If so, specify details of the petition, including the date and the
court in which the petition was presented.


9. (a)Have you been 'censured or disciplined by any professional body, in
Hong Kong or elsewhere, to which he belongs or belonged?


(b) If so, give the details of the circumstances.

(Answer 'Yes' or 'No')

10. (a) Have you ever been involved in the affairs of any corporation in
Hong Kong or elsewhere, which is being or has been
investigated by an inspector or officer appointed under any
enactment?

(Answer 'Yes' or 'No')

(b) If so, give details of the circumstances and findings.


11. (a) Are you engaged in any civil litigation, whether as plaintiff or
defendant in Hong Kong or elsewhere?

(Answer 'Yes' or 'No')





(b) If so, give details of.the circumstances.

12. (a)Have you, in connexion with the formation or management of any
corporation, been adjudicated by a court in Hong Kong or elsewhere,
civilly liable for any fraud, misfeasance or other misconduct towards that
corporation or any member thereof or been disqualified by order of such
court from being a director, or the equivalent in other jurisdiction?


(Answer 'Yes' or 'No')

(b) If so, give details of the circumstances.


13. (a) Have you ever been involved in the affairs of any business in
Hong, Kong or elsewhere which is being or has been
investigated in relation to any offence involving fraud or
dishonesty?.

(Answer 'Yes' or 'No')




(b) If so, give details of the circumstances and findings.


14. (a)Have you ever, in Hong Kong or elsewhere, been a party to a deed of
arrangement or entered into any form of composition with your creditors?

(Answer 'Yes' or 'No')

(b) If so, give details of the arrangement or composition.

15. Give the following particulars of-

(a)any judgment made against you in which fraud was alleged, whether in
Hong Kong or elsewhere


(b)any unsatisfied judgment debts outstanding against you in connexion
with any business conducted by you, whether in Hong Kong or
elsewhere





(c)any unsatisfied judgment or court order requiring the payment of
damages or other sums of money in relation to any trade or business
carried on by you or in which you have been concerned.


16. (a)Have you ever been convicted of an offence, other than a traffic offence, in
Hong Kong or elsewhere?



(Answer 'Yes' or 'No')

(b) If you have, give the following details






17. (a)To the best of your knowledge, has any corporation of which you have
been a director, whether in Hong Kong or elsewhere, been wound up,
otherwise than by means of a members' voluntary winding up, during the
5 years preceding this application?

(Answer 'Yes' or 'No')

(b) If so. state-

(i) the mode of winding up


(ii) the reasons for winding up

(iii) name(s) and address(es) of liquidator(s).





1 declare that all information given by me in this supplementary statement is true and correct.


Dated this - day of 19-


Signature


Name of the applicant

(in block letters)




FORM 813


SECURITIES ORDINANCE


(Chapter 333)


STATEMENT IN SUPPORT OF AN APPLICATION BY AN INDIVIDUAL FOR
REGISTRATION OR RENEWAL OF REGISTRATION AS
AN INVESTMENT REPRESENTATIVE

IMPORTANT - If you are in doubt as to how to complete this application, you should consult your solicitor or other professional
advisers.


WARNING Section 62 of the Securities Ordinance makes it an offence punishable with a maximum of 5
years' imprisonment for a person who makes a false or misleading representation for the purposes
of obtaining, either for himself or any other person, registration under Part VI of the Ordinance.






1 . The applicant (Name) of (Address)

has been employed by me as an investment representative as from (Date)

2.The information given by the applicant is correct to the best of my knowledge and belief.


3.The applicant is a fit and proper person *to be registered/continue to be registered as an investment representative.


4.If the applicant ceases to be employed by me, I undertake to notify the Commissioner for Securities in writing of that fact
immediately.






Dated this - day of 19-

Signature

Name of employer of the applicant

(in block letters)


Employer's Registration No. as an investment adviser

If a representative it employed by a corporation, a director must sign this statement.

Delete whichever is inapplicable.





FORM 9

SECURITIES ORDINANCE

(Chapter 333)

NOTICE OF CHANGE OF BUSINESS ADDRESS
WARNING -Section 63(1) (a) and (5) of the Securities Ordinance makes it an offence, punishable with a fine of up to
$2,000, for a dealer, an investment adviser or any partner of the dealing partnership or investment
advisers' partnership who fails to notify the Commissioner for Securities in writing of any change of
business address.

Notice is hereby given to the Commissioner for Securities pursuant to section 63(1)(a) of the Securities

Ordinance that has ceased

(state the name of the registered person)

to carry on business as *a dealer/a dealing partnership/an investment adviser/an investment advisers' partnership





at

(state the business address previously notified to the Cornissioner)

as from (date) and is now carrying on business at (state new business
address)




Dated this - day of 19-





(Note: This notice must be signed by all general partners.)


Signature


Name of signatory
(in block letters)
Capacity



Registration No.

Delete whichever is inapplicable.




FORM 10A



SECURITIES ORDINANCE

(Chapter 333)

NOTICE OF CHANGE OF INFORMATION PURSUANT TO SECTION 63(1)(b) REQUIRED TO BE GIVEN
BY A REGISTERED *DEALER/INVESTMENT ADVISER WHO IS AN INDIVIDUAL


$2,000, for a dealer or an investment adviser who fails to notify the Commissioner for Securities in writing
of any change of information supplied in or in connexion with his application for registration or renewal of
registration, being information prescribed by regulations.



Notice is hereby given to the Commissioner for Securities by

(State name of registered person)





(Registration No. ) pursuant to section 63(1 )(b) of the Securities Ordinance that-

*(a) my *name/business name *has been changed/will be changed from (state former or existing name) to

(state new name)

with effect from
(date)


*(b) I have become a member of the following stock or commodity
futures exchange(s) in Hong Kong or
elsewhere-






*(c) I have ceased to be a member of the following stock or
commodity futures exchange(s) in Hong Kong or
elsewhere-







*(d) I have become a plaintiff or defendant in the following civil litigations


(state particulars of the litigations)

*(e) I have been convicted of the following offences, other than a traffic offence





*(f) I am involved in the affairs of the following corporation(s) in Hong Kong or elsewhere which is being

investigated by an inspector or officer appointed under any enactment-

(give names ofthe corporations and details of circumstances)

*(g) A bankruptcy petition is served on me, with particulars as follows



(give particulars of petition)




Dated this - day of 19-

Signature


Name of signatory (in block letters)

Delete whichever is inapplicable.




FORM 10B

SECURITIES ORDINANCE

(Chapter 333)

NOTICE OF CHANGE OF INFORMATION PURSUANT TO SECTION 63(1)(b) REQUIRED
TO BE GIVEN BY A REGISTERED *DEALER/INVESTMENT ADVISER WHICH IS A CORPORATION


$2,000, for a dealer or an investment adviser who fails to notify the Commissioner for Securities in writing
of any change of information supplied in or in connexion with its application for registration or renewal of
registration, being information prescribed by regulations.


Notice is hereby given to the Commissioner for Securities by (state name of corporation)





(Registration No. pursuant to section 63(1 )(b) of the Securities Ordinance that-


*(a) the name of the corporation *has been changed/will be changed from

(state former or existing name)
to

(state new
name) with effect from

(date)

(b)the corporation has become a member of the following stock or commodity futures exchan.ge(s) in Hong Kong
or elsewhere







*(c)the corporation has ceased to be a member of the following stock or commodity futures exchange(s) in Hong Kong or
elsewhere







*(d) there is a change of the corporation's ultimate holding company, with details as follows



(state particulars of change)

*(e) there is a change in the corporation's nominal or issued share capital, with details as follows-

(state details of change)

*(f) the corporation has become a plaintiff or defendant in the following civil litigation(s)

(state particulars of the litigations)








*(g) a winding-up petition is served on the corporation, with details as follows

(state details of the petition)

Dated this day of 19---


(Note: Two directors, including the Chairman, must sign.)







Signed on behalf of the corporation

Signature


Name of signatory

(in block letters)

Capacity

Signature


Name of signatory (in block letters)

Delete whichever is inapplicable. Capacity





FORM 10C

SECURITIES ORDINANCE.

(Chapter 333)


NOTICE OF CHANGE OF INFORMATION PURSUANT TO SECTION 63(1)(b) REQUIRED TO BE GIVEN
BY A REGISTERED *DEALING PARTNERSHIP11INVESTM ENT ADVISERS' PARTNERSHIP


WARNING -Section 63(1)(b) and (5) of the Securities Ordinance makes it an offence, punishable with a fine of

up to $2,000, for any partner of a dealing partnership or an investment advisers' partnership who
fails to notify the Commissioner for Securities in writing of any change of information supplied in or
in connexion with its application for registration or renewal of registration, being information
prescribed by regulations.

Notice is hereby given to the Commissioner for Securities by
(state name of
partnership)





(Registration No. ) pursuant to section 63(1)(b) of the Securities Ordinance that-


*(a) the name of the partnership *has been changed/will be changed from (state former or existing name)

to
(state new name)

with effect from
(date)


*(b) the partnership has become a member of the following stock or commodity futures exchange(s)




*(c) the partnership has ceased to be a member of the following
stock or commodity futures exchange(s)







*(d) there is a change in the capital distribution of the partners, with details as follows

(state particulars of change)

the partnership has become a plaintiff or defendant in the following civil litigation(s)

(state particulars of the litigations)

Dated this - day of 19-







(Note: This notice must be signed by all general partners.)

Signature


Name of general partner (in block letters)

Signature

Name of general partner

(in block letters)



Delete whichever is inapplicable.






FORM 11

SECURITIES ORDINANCE

(Chapter 333)

NOTICE OF CESSATION OF BUSINESS


$2,000, for a dealer, an investment adviser or any partner of the dealing partnership or investment advisers'
partnership Who fails to notify the Commissioner for Securities in writing of cessation of business.



Notice is hereby given to the. Commissioner for Securities pursuant to section 63(2) of the Securities Ordinance

that
(state the name of the registered
person)

as from 19-, will *cease/has ceased to carry on a business of *dealing in

securities/as an investment adviser.






Dated this - day of 19-

(Note: This notice must be signed by all general partners.)

Signature


Name of signatory (in block letters)




Capacity

Delete whichever is inapplicable. Registration No.

FORM 12

SECURITIES ORDINANCE
(Chapter 333)


NOTICE OF CHANGE OF DIRECTOR OF CORPORATION REGISTERED
AS *A DEALER/AN INVESTMENT ADVISER


$2,000, for a corporation registered as a dealer or an investment adviser who fails to notify the
Commissioner for Securities in writing within 7 days if any director of the corporation ceases to hold office
or any person is appointed as such a director.





Notice is hereby given to the Commissioner for Securities by
(State name of the corporation)

pursuant to section 63(3) of the Securities Ordinance that-


*(a)the following persons have ceased to be directors of the corporation




*(b) the following persons have been appointed as directors of the corporation







Dated this day of 19


(Note: For a corporation, two directors, one of whom is the Chairman, must sign.)





Signed on behalf of the corporation

Signature


Name of signatory (in block letters)

Capacity

Signature


Name of signatory (in block letters)

Capacity

Delete whichever is inapplicable.




FORM 13

SECURITIES ORDINANCE

(Chapter 333)


NOTICE BY A REPRESENTATIVE OF CO MMENCEMENT OR
CESSATION OF EMPLOYMENT AS A REPRESENTATIVE


for a dealer's representative or an investment representative who fails to notify the Commissioner for
Securities in writing within 7 days of commencement or cessation of employment with a dealer or an
investment adviser.



Notice is herey.given to the Commissioner for Securities pursuant to section 63(4) of the Securities Ordinance that





*(a) I ceased to be the representative of

(state name of the dealer or investment adviser, as the case may be)

of
(address)

who is registered as *a dealer/an investment adviser (Registration No. with

effect from
(date)



*(b) I became the representative of

(state name of the dealer or investment adviser, as the case may be)

of
(address)

who is registered as *a dealer/an investment adviser (Registration No. )

with

effect from
(date)







Dated this - day of 19-

Signature



Name of Representative
(in block letters)

Registration No., if any

Delete whichever is inapplicable.






FORM 14


SECURITIES ORDINANCE

(Chapter 333)

NOTICE BY A DEALER OR AN INVESTMENT ADVISER OF COMMENCEMENT OR
CESSATION OF EMPLOYMENT OF A REPRESENTATIVE


$2,000, for a dealer or an investment adviser who fails to notify the Commissioner for Securities in writing
within 7 days of commencement or cessation of employment of his/its representatives.


Notice is hereby given to the Commissioner for.Securities by

(state name of *dealer or investment adviser)

(Registration No. ) pursuant to section 63(4) of the Securities Ordinance that-





*(a)............ (state name of *dea;er's representative or investment representive,

as the case may be) of (address) whose registration number is

ceased to be the representative of (state name of *dealer or investment adviser)

(registration NO. )

with effect from ............ (Date) .....


*(b) ..........(state name of *dealer's representative or investment representative,

as the case may be) whose registration number is

became the representativae or (state name of *dealer or

investment adviser) (Registration No. )

with effect from (date)





Dated this day of 19-


Signature



Name of signatory

(in block letters)

Delete whichever is inapplicable. Capacity







FORM 15

SECURITIES ORDINANCE

(Chapter 333)

NOTICE OF CHANGES IN PARTNERS OF A REGISTERED *DEALING PARTNERSHIP/
INVESTMENT ADVISERS' PARTNERSHIP


registered dealing partnership or an investment advisers' partnership who fails to notify the Commissioner for
Securities in writing of changes in partners.


Notice is hereby given to the Commissioner for Securities by

(State name of the partnership)

pursuant to section 54A(1) or 63(4A) of the Securities Ordinance that-






*(a) the following persons have joined the partnership







*(b) the following persons have ceased to be partners





*(c) he partnership is dissolved by an order of the Court on

(date
) he case number of which is


*(d) he following partners, remaining as new partners, desire to continue carrying on the business of *dealing )artnership/investment advisers' partnership, for the purpose of section 54A of the Ordinance--

(state names of all concerned and whether they are to be general or limited
partners)







Dated this day of 19---


(Note:This notice must be signed by all the existing general partners or where paragraph (d) above is applicable, by all those
who are to be general partners stated therein.)



Signature

Name of general partner





Signature

Name of general partner

(in block letters)

Delete whichever is inapplicable.

FORM 15A


SECURITIES ORDINANCE


(Chapter 333)


NOTICE BY FORMER PARTNER OF *A DEALING PARTNERSHIP/
AN INVESTMENT ADVISERS' PARTNERSHIP


$2,000, for the former partners of a registered dealing partnership or an investment advisers' partnership,
or their personal representatives if they are deceased, who fail to notify the Commissioner for Securities
in writing of changes in partners.






Notice is hereby given to the Commissioner for Securities pursuant to section 63(4A) of the Securities

Ordinance that
(state narne of former partner)

has ceased to be a partner of (state name of partnership)

with effect from
(date)



Dated this - day of







(Note: When the former partner has died, this notice should be signed by his personal representative.)


Signature


Name of signatory (in block letters)

Capacity

Registration No.
of the former partner





FORM 16


SECURITIES ORDINANCE


(Chapter 333)

NOTICE OF CHANGE OF BUSINESS ADDRESS OF REPRESENTATIVE


with a fine of up to $2,000, for a dealer's representative or an investment representative who fails to notify
the Commissioner for Securities in writing within 7 days of any change of business address.


Notice is hereby given to the Commissioner for Securities pursuant to regulation 9 of the Securities

(Miscellaneous) Regulations that

(state the name of the dealer's representative or investment representative)





has ceased to carry on business as *a dealer's representative/an investment representative

at (state the business address

previously notified to the Commissioner)

and is now carrying on business at
(state new business address)


Dated this - day of 19-





Signature


Name of signatory

(in block letters)

Capacity

Delete whichever is inapplicable. Registration No.

L.N. 304/85. L.N. 339/85. Citation. Directors in forms. General requirements for forms lodged with the Commissioner. Schedule. Application for registration or renewal registration. Particulars to be entered in registers. Inspection of register, etc, Correction of errors. Duplicate certificate of registration. Information provided by dealers, etc.

L.N. 304/85. L.N. 339/85. Citation. Directors in forms. General requirements for forms lodged with the Commissioner. Schedule. Application for registration or renewal registration. Particulars to be entered in registers. Inspection of register, etc, Correction of errors. Duplicate certificate of registration. Information provided by dealers, etc.

https://oelawhk.lib.hku.hk/items/show/3261

SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES

SECURITIES (STOCK EXCHANGE LISTING) (APPROVED
SITARE REGISTRAR) RULES

(Cap. 333, section 14)

[27 August
1976.]

1. These rules may be cited as the Securities (Stock Exchange Listing)
(Approved Share Registrar) Rules.

2. In these rules, unless the context otherwise requires

'approved share registrar' means a share registrar who is a member of an
association of persons approved, for the purposes of these rules, by the
Commissioner under rule 3;

11 company' means a company limited by shares whether incorporated in Hong
Kong or elsewhere;

',share registrar' means any person who maintains in Hong Kong the register of
members of a company the securities of which are listed on a stock
exchange.

3. (1) The Commissioner may approve an association of persons as an
association each of whose members shall be an approved share registrar for the
purposes of these rules.

.(2) The Commissioner may cancel the approval of any association of
persons approved under paragraph (1).

(3) The Commissioner shall maintain a list of associations of persons
approved under paragraph (1).

4. No application by a company (whenever made) for the listing of its
securities on a stock exchange shall, on or after the 1st September 1976, be
approved by the stock exchange to which


the application was made unless the company is an approved share registrar or
employs an approved share registrar as its share registrar.

5. (1) Where before the 1st September 1976 the securities of a company
are listed on a stock exchange and the company on such date is not an approved
share registrar or does not employ an approved share registrar, the stock
exchange concerned shall suspend dealings in those securities on the 1st
December 1976 or on the expiry of the 21 days' notice given under
paragraph (2), whichever is the later, unless before then the company
becomes an approved share registrar or employs an approved share registrar as
its share registrar.

(2) Before suspending dealings in the securities of a company under
paragraph (1) the stock exchange shall give notice in writing to the company
warning the company of its intention to suspend dealings in the securities of
the company unless, before the 1st







December 1976 or before the expiry of a period of 21 days from the
date of the notice, whichever is the later, the company becomes an
approved share registrar or employs an approved share registrar as
its share registrar.

(3) If a stock exchange fails or neglects to give notice to a
company under paragraph (2) before the 1st December 1976, the
Commissioner may require the stock exchange to give such notice
and the stock exchange shall forthwith comply with such require-
ment, or the Commissioner may himself give 21 days' notice in
writing to the company containing a warning similar to that required
under paragraph (2) and such notice shall, for the purposes of
paragraph (1), be deemed to be a notice under paragraph (2).

6. (1) Where the securities of a company are listed on a stock
exchange on or after the 1st September 1976, and thereafter the
company ceases either to be an approved share registrar or to
employ an approved share registrar, the stock exchange concerned
shall suspend dealings in those securities unless within 3 months
after the date on which the stock exchange first learned of such
cessation or before the expiry of the 21 days' notice given under
paragraph (2), whichever is the later, the company becomes an
approved share registrar or employs an approved share registrar as
its share registrar.

(2) Before suspending dealings in the securities of a company
under paragraph (I) the stock exchange shall give notice in writing
to the company warning the company of its intention to suspend
dealings in the securities of the company unless, before the date
specified in the notice, being the date on which the period of 3
months specified in paragraph (1) expires, or within 21 days from the
date of the notice, whichever is the later, the company becomes an
approved share registrar or employs an approved share registrar as
its share registrar.

(3) The Commissioner may require a stock exchange to give
notice under paragraph (2) to a company specified in paragraph (1)
which has ceased either to be an approved share registrar or to
employ an approved share registrar if, in the opinion of the
Commissioner, the stock exchange has failed or neglected to do so
within a reasonable time, and the stock exchange shall forthwith
comply with such requirement.

6A. (1) The Commission may exempt all or any particular
class of securities issued by a specified company from all or any of
the provisions of these rules.

(2) An exemption made under paragraph (1) shall be notified
in writing by the Commission to the specified company and to the
stock exchange on which the exempted class of securities are, or are
intended to be, listed.





(3) The Commission may withdraw any exemption made under paragraph
(1), and such withdrawal shall be notified in the same manner as an exemption
is required to be notified under paragraph (2).

(4) Where any securities of a company are listed on a stock exchange and
have been exempted under paragraph (1), in the event of a withdrawal under
paragraph (3) of the exemption the stock exchange concerned shall suspend
dealings in those securities unless at the date of the notification of the
withdrawal the company is, or within 3 months after that date the company
becomes, an approved share registrar or employs an approved share registrar as
its share registrar.

7. A stock exchange which has suspended dealings in the securities of any
company under rule 5, 6 or 6A shall re-commence dealings in those securities
when it is satisfied that the company has become an approved share registrar or
has employed an approved share registrar as its share registrar.

8. (1) Where a stock exchange suspends dealings in the securities of a
company under rule 5, 6 or 6A the company may within 21 days of the
suspension appeal in writing to the Commission against the suspension.

may-

(2) An appeal under paragraph (1) shall be accompanied by such
submissions in writing as the company wishes to make.

(3) On any appeal under paragraph (1), the Commission

(a) dismiss the appeal;

(b)direct the stock exchange to re-commence dealings in the securities;
or

(e)direct the stock exchange to re-commence dealings in the securities
subject to such conditions as the Commission thinks fit.
L.N. 227/76. L.N. 307/76. L.N. 9/86. Citation. L.N. 9/86. Interpretation. L.N. 9/86. Approved share registrars. Securities not to be listed where approved share registrar not employed. Suspension of dealings in securities listed before 1st September 1976. Suspension of dealing of securities in certain circumstances. Power to exempt. L.N. 307/76. Re-commencement of dealing in securities. L.N. 307/76. Appeal against suspension. L.N. 307/76.

L.N. 227/76. L.N. 307/76. L.N. 9/86. Citation. L.N. 9/86. Interpretation. L.N. 9/86. Approved share registrars. Securities not to be listed where approved share registrar not employed. Suspension of dealings in securities listed before 1st September 1976. Suspension of dealing of securities in certain circumstances. Power to exempt. L.N. 307/76. Re-commencement of dealing in securities. L.N. 307/76. Appeal against suspension. L.N. 307/76.

https://oelawhk.lib.hku.hk/items/show/3260

SECURITIES (DISCIPLINARY COMMITTEE PROCEEDINGS) RULES

Rule

1. Citation ... .

2. Interpretation .

SECURITIES (DISCIPLINARY COMMITTEE
PROCEEDINGS) RULES

ARRANGENENT OF RULES

PART I

PRELIAMINARY

PART II

INQUIRIES

3. Allegation to be in writing, with affidavit

4.................Transmission of documents ... ...

5. Dismissal without answer by respondent

PART III

6. Appeal to be in writing
7. Transmission of documents

8. Parties

9.
10.
11.
12.
13.
14.
is.
16.
17.
18.
19.
20.
21.
22.
23.
24.
25.
26.

APPEALS

PART IV

GENERAL

Further information

Notice of date of bearing
Forms of notice ... ...
Inspection of documents
Failure to appear.
Representation






Hearings to be in camera ... ...
Re-hearing after failure to appear
Notification of decision ... ...
Withdrawal of proceedings ... ...
Adjournments ... ... ... ...
Amendment and additional affidavits
Shorthand notes ...
Service ... ... ...
Power of Disciplinary Committee to dispense with requirements of rules ...
Extension or abridgement of time ...
Retention of documents pending appeal
Admission

Schedule. Forms ...

Page

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SECURITIES (DISCIPLINARY COMMI7ITEE
PROCEEDINGS) RULES

(Cap. 333, section 45)

PART I

PRELIMINARY

[25th August, 1978.]

1. These rules may be cited as the Securities (Disciplinary

Committee Proceedings) Rules.

2. In these rules, unless the context otherwise requires

'affidaviC' includes affirmation;

'allegation' means an allegation of misconduct made against a
respondent under section 39 of the Ordinance;

44 appear' means an appeal under section 58 of the Ordinance;

'appellant' means a person who makes an appeal;

'clerk' means the clerk to the Committee or any deputy or person
appointed by the Committee to perform the duties of that office;

'Committee' means the Disciplinary Committee;

'complainant' means the Commission. the Commissioner or any other
person making an allegation;

'hearing' means the hearing of an inquiry or an appeal;

'inquiry' means an inquiry into an allegation;

'respondent' means any stock exchange or the committee or any
member of the committee of any such exchange against which or
whom an allegation is made.

PARTII

INQUIRIES

3. (1) An allegation shall be in writing and signed by or on behalf of
the complainant in Form 1 in the Schedule and shall be sent to the
Commission together with an affidavit by or on behalf of the
complainant in Form 2 in the Schedule stating the misconduct alleged.

(2) Where the allegation is made by the Commission it may be
signed and the affidavit sworn on behalf of the Commission by





the Chairman or the secretary of the Commission or by such other
person as may from time to time be appointed by the Commission.

4. The Commission shall transmit to the Committee all documents
received by the Commission pursuant to rule 3(1) or any allegation and
affidavit signed and sworn pursuant to rule 3(2).

5. If upon consideration of any such documents transmitted to it
under rule 4, the Committee is of the opinion that no prima facie case is
shown for any disciplinary action, the Committee may dismiss the
allegation without requiring the respondent to answer the allegation and
without hearing the complainant.

PART III

APPEALS

6. An appeal shall be in writing and signed by or on behalf of the
appellant in Form 3 in the Schedule stating the grounds of the appeal
and shall be sent to the Commission.

7. The Commission shall transmit to the Committee all documents
received by the Commission pursuant to rule 6.

PART IV

GENERAL

8. (1) In the case of an allegation made pursuant to rule 3, the
complainant and the respondent shall be parties.

(2) In the case of an appeal made pursuant to rule 6, the appellant
and the Commissioner shall be parties.,

9. The Committee may at any time require any party to supply such
further information and documents in his or its possession or under his
or its control relating to an allegation or an appeal, as the case may be,
as the Committee thinks fit.

10. (1) Where-

(a)an allegation is made pursuant to rule 3 and in the opinion of
the Committee a prima facie case is shown against the
respondent; or

(b) an appeal is made pursuant to rule 6,

the Committee shall fix a day for the hearing and the clerk shall serve
notice thereof on each party to the proceedings and shall serve





(i) in the case of an allegation, on the respondent, or

(ii) in the case of an appeal, on the Commissioner, a copy of the
allegation and of the affidavit or of the appeal, appropriate to the case.

(2) There shall be a period of not less than 21 days between the
service of any such notice and the day fixed therein for the hearing.

11. A notice under rule 10 shall be-

(a)in the case of an allegation, in Form 4 or 5 in the Schedule, as
appropriate; or

(b)in the case of an appeal, in Form 6 or 7 in the Schedule, as
appropriate,
and shall require the party to whom it is addressed to furnish to the
clerk and to every other party at least 14 days before the day fixed
for the hearing, unless the Committee directs otherwise, a list of all
documents which are or have been in his or its possession or control
and on which he or it intends to rely.

12. (1) Any party may inspect the documents included in the list
furnished by any other party.

(2) A copy of any document mentioned in the list furnished by any
party which is or has been in his or its possession or control shall, on
application by the party requiring it, be furnished to that party by the
other, within 7 days after receipt of such application.

13. If any party fails to appear at a hearing the Committee may,
upon proof of service on such party of the appropriate notice of hearing,
proceed to hear and determine the proceedings in his absence, and

(a)in the case of an allegation, in the absence of the complainant;
or

(b) in the case of an appeal, in the absence of the appellant, the
Committee may, in its discretion, -dismiss the allegation or the appeal, as
the case may be, without a hearing.

14. Any party may be represented by solicitor or counsel.

15. Every hearing shall be held in camera, and the Committee shall
determine which persons may be present.

. 16. (1) Any party who has failed to appear at a hearing may, within 1
calendar month from the pronouncement of the decision of the
Committee and upon giving notice to every other party and to the clerk,
apply to the Committee for a re-hearing.





(2) The Committee, if satisfied that it is just that the case should be
re-heard, may grant such application upon such terms as to costs or
otherwise as it thinks fit.

(3) Upon such re-hearing the Committee may amend, vary, add to,
or reverse its decision pronounced upon such previous hearing.

17. The clerk shall notify every decision of the Committee by
sending a copy of that decision to each party concemed.

18. Unless the Committee directs otherwise, no proceedings shall
be withdrawn after they have been transmitted to the Committee
pursuant to rule 4 or 7.

19. The Committee may of its own motion, or upon the application
of any party, adjourn a hearing upon such terms as to costs, or
otherwise, as the Committee shall think fit.

20. (1) If upon the hearing it shall appear to the Committee that the
allegations in an affidavit require to be amended, or added to, the
Committee may permit the affidavit to be amended, or added to, in which
case such affidavit shall be resworn.

(2) If in the opinion of the Committee, such amendment or addition
is not within the scope of the affidavit, the Committee may require the
same to be embodied in a further affidavit.

21. (1) Shorthand notes of proceedings may be taken by a person
appointed by the Committee, and any party to. the proceedings shall be
entitled to inspect the transcript thereof.

(2) The shorthand writer shall, if required, supply to the Committee,
to any party to the proceedings and to the Commission, but to no other
person or body, a copy of the transcript of such notes on payment of
the shorthand writer's charges.

(3) If no shorthand notes be taken, the Chairman of the Committee
shall take a note of the proceedings, and the provisions of this rule as to
inspection and taking of copies shall apply to such note accordingly.

22. (1) Service of any notice or document under these rules may be
effected personally or by registered post addressed

(a)in the case of a stock exchange or the committee of a stock
exchange, to the chairman of the committee of that exchange
at its place of business;

(b)in the case of the Commissioner, to the Commissioner at his
offices;

(c)in the case of the Commission, to the Chairman thereof at the
offices of the Commissioner; and

(d)in every other case, to the last known place of business or
abode of the person to be served,





and such service shall be deemed to be effected at the time when
the letter would be delivered in the ordinary course of post.

(2) Notwithstanding the provisions of paragraph (1), the
Committee may make such order for substituted service as in the
circumstances of the case may appear to be just.

23. The Committee may dispense with any requirements of
these rules respecting notices, affidavits, documents, service, or
time, in any case where it appears to the Committee to be just so
to do.

24. The Committee may extend or abridge the time for doing
anything under these rules.

25. Unless the Committee otherwise orders, all affidavits,
books, papers, records and exhibits produced, used or made in
connexion with any proceedings under these rules shall be retained
by the Committee or the clerk until the time within which any
appeal against a decision of the Committee may be entered has
expired, and, if notice of such appeal is given (subject to the
requirement of such appeal) until the appeal is heard or otherwise
disposed of and thereafter shall be deposited for safe keeping with
the Secretary of the Commission who shall hold the same on behalf
of members of the Committee who alone shall have access thereto.

26. (1) Any party may by notice in writing at any time not
later than 9 days before the day fixed for a hearing call upon any
other to admit any document saving an just exceptions and if such
other party desires to challenge the authenticity of the document
he shall within 6 days after service of such notice give notice that
he does not admit the document and requires it to be proved at the
hearing.

(2) If such other party refuses or neglects to give notice of
non-admission within the time prescribed in paragraph (1), he shall
be deemed to have admitted the document unless otherwise ordered
by the Committee.

(3) Where a party gives notice of non-admission within the
time prescribed by paragraph (1) and the document is proved at the
hearing, the costs of proving the document shall be paid by the
party who has not. admitted the document, whatever the decision
of the Committee may be, unless in its findings the Committee shall
find that there were reasonable grounds for not admitting the
document.

(4) Where a party proves a document without having given
notice to admit under paragraph (1) no costs of proving the docu-
ment shall be allowed, unless otherwise directed by the Committee,
except where the omission to give notice to admit is in the opinion
of the Committee a saving of expenses.





SCHEDULE

FORM i

ALLEGATION AGAINST A STOCK EXCHANGE/
COMMITTEE OF A STOCK EXCHANGE/MEMBER
OF THE COMMITTEE OF A STOCK EXCHANGE

[rule 3.]

IN THE MATTER of C.D.. a Stock Exchange
(or as the case may be) of ...........................

IN THE MATTER of the Securities Ordinance, Cap.
333.

TO: The Securities Commission.

1, the undersigned, A.B., hereby allege that the
Stock Exchange Ltd.lthe Committee of the .............................................
Stock Exchange Ltd.1C.D. a member of the Committee of the .....................

...........Stock Exchange Ltd. has been guilty of misconduct as

Affidavit / Affirmation which accompanies this application and
1 make application that the said may be
required to answer the said allegations and that such order be made as the
Disciplinary Committee shall think right.

In witness whereof I have hereunto set my hand this ...........................

day or

Profession,
business or

Signature ................................................

Address..................................................
.










FORM 2

AFFIDAVIT/AFFIRMATION BY COMPLAINANT

[rule 3.]

IN THE MATTER of C.D., a Stock Exchange
(or as the case may be) of ...........................

.......................

and
IN THE MATTER of the Securities Ordinance,
Cap. 333.

make ' oath/do solemnly sincerely and truly say - as ................

(Here state the facts concisely in
numbered paragraphs, and show
deponent's means of knowledge)

Sworn, affirmed, etc.

* Insert full name, address and description of deponent.

.................................... ..........................................

.................



NOTICE OF APPEAL UNDER SECTION 58
OF THE SECURITIES ORDINANCE
AGAINST DECISION OF COMMISSIONER

TO: The Securities Commission.

[rule 6.]

. ............................................... ...

do hereby give you notice of appeal to the Disciplinary Committee under
section 58(1) of the Securities Ordinance, Cap.333, against the decision of the
Commissioner for Securities communicated to me by letter dated ..................

.............................. 19 that (brief details of decision).

The grounds of this appeal are-

(Here stage concisely the grounds of Weal)

. In witness whereof I have hereunto set my hand this ....

day of .........19

Signature ......................

Profession.






business or
occupation ................................................










FORM 4

NOTICE OF HEARING TO COMPLAINANT
BY THE CLERK TO THE DISCIPLINARY COMMITTEE

[rule 11.]

IN THE MATTER of .Exchange
Ltd / the Committee of Exchange

Ltd/C.D., a member of the Committee of

.............................. Exchange Ltd

and
IN THE MATTER of the Securities Ordinance,
Cap. 333.

TO: A.B., of

Securities Commission.

The day of

/Commissioner for Securities/

. is the day fixed by the Disciplinary
Committee constituted under the Securities Ordinance for the hearing of your
allegation in the matter of .....................................................................

The Disciplinary Committee will sit at .............................................

at ....o'clock in the noon. Your attendance will

be required at the date, time and place aforesaid.

You are required by the Securities (Disciplinary Committee Proceedings) Rules
to furnish to every other party and to the Clerk to the Disciplinary Committee at
the Office of the Securities Commission at ...........................

Hong Kong at least days before the date of hearing,

a list of all the documents on which you intend to rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must, on
application by the party requiring it, be furnished to that party by the other within
seven days after receipt of such application.

You are requested to acknowledge the receipt of this notice without delay.

Dated this day of ..

Clerk to the Disciplinary Committee







FORM 5

NOTICE TO RESPONDENT BY THE CLERK
TO THE DISCIPLINARY COMMITTEE

IN THE MATTER of ............. Exchange

Ltd/the Committee of ................ Exchange

Ltd/C.D., a member of the Committee of

.............................. Exchanged Ltd

and
IN THE MATTER of the Securities Ordinance,
Cap. 333.

[rule 11]

TO: * ............................................................

An allegation of misconduct has been made against you under rule 3 of the
Securities (Disciplinary Committee Proceedings) Rules by ...........

............................

The ...day of ...........is the day fixed by the

Disciplinary Committee for the bearing of the proceedings. The committee will

sit at .........at ....o'clock in the

noon. Your attendance will be required at the date, time and place aforesaid.
If you fail to appear, the Disciplinary Committee may, in accordance with rule
13 of the said Rules, proceed in your absence.





You are required by the said Rules to furnish to every other party and to the
Clerk to the Disciplinary Committee at the Office of the Securities Commis

sion at .........Hong Kong at least days

before the date of hearing, a list of all the documents on which you intend to
rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must, on
application by the party requiring it, be furnished to that party by the other within
seven days after receipt of such application.

In order to reduce the costs of the hearing you are invited to inform the Clerk
to the Disciplinary Committee not less than seven days before the date of hearing
of any facts set out in the affidavit which are not in dispute.

You are requested to acknowledge the receipt of this notice without delay.

Dated this day of

* Insert name and address of respondent.

Clerk to the Disciplinary Committee








FORM 6

NOTICE TO APPELLANT TO HEARING OF APPEAL

TO: A.B . .........

Take Notice that ...............day of is the day

fixed by the Disciplinary Committee constituted under the Securities Ordinance,

Cap. 333, for the hearing of your appeal dated under

section 58(1) of the Ordinance against the decision of the Commissioner for
Securities.

[rule 11.]

The Disciplinary Committee will sit on

19 .at
a.m./p.m. at

Your attendance will be required at the date, time and place aforesaid. If you
fail to appear, the Disciplinary Committee may, in accordance with rule 13 of
the Securities (Disciplinary Committee Proceedings) Rules, dismiss your appeal
without a hearing.

You are required by the said Rules to furnish to every other party and to the
Clerk to the Disciplinary Committee at the Office of the Securities

Commission at .........................Hong Kong at
least .................................days before the date of hearing, a list of all the documents

on which you intend to rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must, on
application by the party requiring it, be furnished to that party by the other within
seven days after receipt of such application.

You are requested to acknowledge the receipt of this notice without delay.

Dated this ..................day of 19

Clerk to the Disciplinary Committee---









FORM 7

NOTICE TO COMMISSIONER OF BEARING OF APPEAL

TO: The Commissioner for Securities.

[rule 11]

Take Notice that .of
has appealed under section 58(1) of the Securities Ordinance, Cap. 333, to the
Disciplinary Committee against your decision dated .................................
19 .that
(brief details of decision appealed against).
.The ....day of .........is the day fixed by the
Disciplinary Committee for the hearing of the appeal. The committee will sit
on ...............19 ..at am./p.m.
at .......................Your attendance will be required at the date,
time and place aforesaid. If you fail to appear, the Disciplinary Committee
may, in accordance with rule 13 of the Securities (Disciplinary Committee
Proceedings) Rules, proceed in your absence.

You are required by the said Rules to furnish to every other party and to
the Clerk to the Disciplinary Committee at the Office of the Securities Com-
mission at least .........days before the date of hearing, a list of all the
documents on which you intend to rely.

Any party may inspect the documents included in the list furnished by any
other, and a copy of any document mentioned in the list of any party must, on
application by the party requiring it, be furnished to that party by the other
within seven days after receipt of such application.

In order to reduce the costs of the hearing you are invited to inform the
Clerk to the Disciplinary Committee not less than seven days before the date of
hearing of any facts which are not in dispute.

You are requested to acknowledge the receipt of this notice without delay.

Dated this...................day of 19

Clerk to the Disciplinary Committee



1987 Ed. Securities (Disciplinary Committee Proceedings) Rules L.N. 196/78. Citation. Interpretation. Allegation to be in writing, with affidavit. Schedule, Forms 1 and 2. Transmission of documents. Dismissal without answer by respondent. Appeal to be in writing. Schedule, Form 3. Transmission of documents. Parties. Further information. Notice of date of hearing. Forms of notice. Schedule, Forms 4, 5, 6 and 7. Inspection of documents. Failure to appear. Representation. Hearings to be in camera. Re-hearing after failure to appear. Notification of decision. Withdrawal of proceedings Adjournments. Amendment and additional affidavits. Shorthand notes. Service. Power of Disciplinary Committee to dispense with requirements of rules. Extension or abridgement of time. Retention of documents pending appeal. Admission.