COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND REPRESENTATIVES) REGULATIONS
Title
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND REPRESENTATIVES) REGULATIONS
Description
COMMODITIES TRADING (DEALERS, COMMODITY
TRADING ADVISERS AND REPRESENTATIVES)
REGULATIONS
ARRANGEMENT OF REGULATIONS
Regulation .................................
Page
PART 1
PRELIMINARY
1. Citation............................... ... . ... ... ... ... A 2
2. General requirements for documents lodged with the Commissioner ... A 2
3. Directions in forms ................... ... ... ... ... ... ... ... . A 2
PARI II
REGISTRATION OF DEALER, COMMODITY TRADING
ADVISERS AND REPRESENTATIVES
4. Applications for registration and renewal of registration, etc . ... ... A 2
5. Registration fee and renewal of registration fee ... ... ... ... ... A 4
6. Particulars to be entered in registers ... ... ... ... ... A 4
7. Inspection of register, etc. .......... ... ... ... ... ... ... ... A 6
8. Information provided by dealers, etc . ... ... ... ... ... ... ... A 6
9. Certificate of registration to be exhibited ... ... ... .. ... ... A 6
10..............Correction of errors ..... ... ... ... ... ... ... ... ... ... ... A 7
11.....................Duplicate certificate of registration ... ... ... ... ... ... ... ... A 7
PART III
APPLICATION OF DEPosiTs
12...........Interpretation .............. ... ... ... ... ... ... ... ... ... A7
13...........................Application of deposit by trustees in bankruptcy ... ... ... ... ... A 7
14.......................Application of deposits by liquidators ... ... ... ... ... ... ... A 8
15.....................................Application of deposits forfeited under section 33 of the Ordinance ... A 8
First Schedule. Forms ...................... ... ... ... ... ... ... ... A 10
Second Schedule. Claims Notice................. . ... ... A 195
COMMODITIES TRADING (DEALERS, COMMODITY
TRADING ADVISERS AND REPRESENTATIVES)
REGULATIONS
(Cap. 250, section 109)
[1st October, 1976.]
PART I
PRELIMINARY
1. These regulations may be cited as the Commodities Trading (Dealers, Commodity Trading
Advisers and Representatives) Regulations.
2. Unless the Commissioner otherwise directs, every application, statement or notice lodged
with the Commissioner for the purposes of Part IV of the Ordinance shall be in the
appropriate form prescribed in the First Schedule which is specified in these
regulations by reference to the number of the form.
3. A form prescribed in the First Schedule shall be completed in accordance with any
directions specified in the form.
PART II
REGISTRATION OF DEALERS, COMMODITY TRADING
ADVISERS AND REPRESENTATIVES
4.(1) An application for registration, or renewal of registration, under Part IV 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 regulation which is not
accompanied by the fee prescribed by regulation 5.
(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 accompanied by-
(i) a supplementary statement in Form 1A; and
(ii) two references in Form 1B; and
(iii) if the applicant is accredited to a corporation or firms as a dealer. a statement in
Form 1C;
(b) in the case of an application by a corporation for registration as a dealer, be in
Form 2 and accompanied by a supplementary statement in Form 2A; (c) in the case of an application by a firm for registration as
a dealer, be in Form 3 and accompanied by a supplementary statement
in Form 3A;
(d) in the case of an application by an individual for registration
as a commodity trading adviser, be in Form 4 and accompanied by -
(i) a supplementary statement in Form 4A; and
(ii) two references in Form 4B;
(e) in the case of an application by a corporation for registration as a commodity trading
adviser, be in Form 5 and accompanied by a supplementary statement in Form 5A;
(f) in the case of an application by a firm for registrationas a commodity trading adviser,
be in Form 6 and accompanied by a supplementary statement in Form 6A;
(g) in the case of an application for registration as a dealer's representative, be in
Form 7 and accompanied by -
(i) a supplementary statement in Form 7A; and
(ii) a statement in Form 7B;
(h) in the case of an application for registration as a commodity trading adviser's
representative, be in Form 8 and accompanied by-
(i) a supplementary statement in Form 8A; and
(ii) a statement in Form 7B; and
(i) in the case of an application for renewal of registration as -
(i) a dealer who is an individual, be in Form 9 and accompanied by a supplementary
statement in Form 9A and, if the applicant is accredited to a corporation or firm as a
dealer, a statement in Form 1C;
(ii) a dealer that is a corporationn, be in Form 10 and accompanied by a supplementary
statement in Form 10A;
(iii) a dealer that is a firm, be in Form 11 and accompanied by a supplementary statement
in Form 11A;
(iv) a commodity trading adviser that is a corporation, be in Form 12 and accompanied by
a supplementary statement in Form 12A;
(v) a commodity trading adviser that is a corporation, be in Form 13 and accompanied by
a supplementary statement in Form 13A;
(vi) a commodity trading adviser that is a firm, be in Form 14 and accompanied by a
supplementary statement in Form 14A;
(vii) a dealer's representative, be in Form 15 and
accompanied by a supplementary statement in Form 15A and a
statement in Form 713; or
(viii) a commodity trading adviser's representative, be in
Form 16 and accompanied by a supplementary statement in
Form 16A and a statement in Form 7B.
5. (1) The fee for registration, or renewal of registration, as a dealer or
commodity trading adviser shall
(a) in the case of an individual, be $500;
(b) in the case of a corporation, be $1,000; and
(c) in the case of a firm, be $1,000.
(2) The fee for registration, or renewal of registration, as a dealer's
representative or commodity trading adviser's representative shall be
$200.
(3) If an applicant withdraws his application for registration or
renewal of registration, or if registration or renewal of registration is
refused by the Commissioner, half of the fee paid by the applicant shall
be returned to him by the Commissioner.
6. (1) The particulars to be entered in the register of dealers are as
follows
(a)in the case of an individual who is a dealer or commodity
trading adviser
(i) the registration number, the date of registration and,
where appropriate, renewal of registration; and, if the dealer or
commodity trading adviser is also registered as a commodity
trading adviser or dealer, the registration number as a
commodity trading adviser or dealer;
(ii) his full name; and if he is of Chinese race, his name in
Chinese characters;
(iii) his nationality;
(iv) his business name (if any);
(v) the addresses of all offices in Hong Kong at which he
carries on his business, and the telephone numbers of those
officers;
(vi) if he is a member, or is accredited to a member, of a
commodity exchange, a statement to that effect; and
(vii) the name of every corporation of which he is a director,
the date of his appointment as a director and the address of
such corporation's registered office; or the name of every firm
of which.he is a partner, the date on which he became a partner
and the business address of such firm;
(b)in the case of a dealer or commodity trading adviser that
is a corporation or firm-
(i) the registration number, the date of registration and,
where appropriate, renewal of registration, and, if the
dealer or commodity trading adviser is also registered as
a commodity trading adviser or dealer, the registration
number as a commodity trading adviser or dealer;
(ii) the name of the corporation or firm;
(iii) the place and date of incorporation of the corpora-
tion or the place and date at which the partnership is
formed;
(iv) the address of the corporation's registered office
or the principal business address of the firm;
(v) the addresses of all offices in Hong Kong at which
the corporation or firm carries on business, and the
telephone numbers of those offices;
(vi) the names of the directors or partners of the
corporation or firm and, where appropriate, their registra-
tion numbers as dealers and commodity trading advisers,
and the names in Chinese characters of those directors or
partners who are of Chinese race; and
(vii) if the corporation or firm is a member of a com-
modity exchange, a statement to that effect; and
(c)in the case of an individual who is a dealer's representa-
tive or commodity trading adviser's representative-
(i) the registration number, the date of registration and,
where appropriate, renewal of registration; and, if the
dealer's representative or commodity trading adviser's
representative is also registered as a commodity trading
adviser's representative or dealer's representative, the
registration number as a commodity trading adviser's
representative or dealer's representative;
(ii) his full name; and if he is of Chinese race, his name
in Chinese characters;
(iii) his nationality;
(iv) the name or business name (if any) of his employer;
(v) the addresses of all offices in Hong Kong at which
he carries on his business, and the telephone numbers of
those offices;
(vi) the name of every corporation of which he is a
director, the date of his appointment as a director and
the address of such corporation's registered office; or the
name of every firm of which he is a partner, the date on
which he became a partner and the business address of
such firm;
(vii) the name, business address and registration number of
the dealer or commodity trading adviser for whom he is a
representative; and
(viii) if the dealer referred to in sub-paragraph (vii) is a
member, or is accredited to a member, of a commodity
exchange, a statement to that effect.
(2) Where 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.
7. (1) Any person may attend at the office of the Commissioner 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) for the purpose of inspecting any register kept
under the Ordinance and, after registration or renewal of registration, as
the case may be, any application for registration or renewal of
registration lodged under regulation 4.
(2) Paragraph (1) does not entitle a person to inspect any
supplementary statement accompanying an application for registration
or renewal of registration.
(3) There shall be payable to the Commissioner in respect of each
inspection of the particulars relating to a registered person (including
any form of application for registration or renewal of registration
pertaining to that person) a fee of $10.
8. (1) The notice required to be given to the Commissioner under
section 41(1)(a) of the Ordinance shall be in Form 17.
(2) The notice required to be given to the Commissioner under
section 41(1)(b) or (c) of the Ordinance shall be in Form 18.
(3) The notice required to be given to the Commissioner under
section 41(2) of the Ordinance shall be in Form 19.
(4) The notice required to be given to the Commissioner under
section 41(3) of the Ordinance shall be in Form 20.
(5) The notice required to be given to the Commissioner under
section 41(4) of the Ordinance shall be in Form 21 or 22 as may be
appropriate.
9. (1) Every dealer and commodity trading adviser shall exhibit, and
keep exhibited, his certificate of registration in a prominent place at his
place of business or, if he has more than one place of business, at his
principal place of business.
(2) Any dealer or commodity trading adviser who, without
reasonable excuse, fails to comply with paragraph (1) shall be
guilty of an offence and shall be liable on conviction to a fine of $500
10. (1) Where an error exists in any register kept under 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 regulations, 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.
(2) Any person who, without reasonable excuse, fails to comply
with a requirement under paragraph (1) when it is within his power to do
so shall be guilty of an offence and shall be liable on conviction to a fine
of $200.
11. (1) Subject to paragraph (2), any registered person 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 a fee of $10, 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.
PART 111
APPLICATION OF DEPOSITS
12. In this Part, unless the context otherwise requires-
'dealer' includes a person whose registration as a dealer has been
revoked;
'deposit' means a deposit paid by a dealer under section 31 of the
Ordinance.
13. (1) Subject to paragraph (2), where under section 33(1)(a) of the
Ordinance the Commissioner transfers a deposit to the trustee in
bankruptcy of an individual who is a dealer, the trustee shall apply the
deposit as if the clients of the dealer in respect of any trading in
commodity futures contracts were the only creditors of the dealer.
(2) If there are no clients of the dealer who are his creditors or if
their claims against the dealer have been fully satisfied, the
trustee in bankruptcy may apply the deposit or, as the case may be, the
balance of the deposit for the benefit of any other creditors of the
dealer.
14. (1) Subject to paragraph (2), where under section 33(1)(b) of the
Ordinance the Commissioner transfers a deposit to the liquidator of a
dealer that is a corporation or firm ordered to be wound up or dissolved
by or under the supervision of the Court, the liquidator shall apply the
deposit as if the clients of the dealer in respect of any trading in
commodity futures contracts were the only creditors of the dealer.
(2) If there are no clients of the dealer who are its creditors or if
their claims against the dealer have been fully satisfied, the liquidator
may apply the deposit or, as the case may be, the balance of the deposit
for the benefit of any other creditors of the dealer.
15. (1) Where under section 33(1)(c) of the Ordinance a deposit or
part of a deposit is forfeited, it shall be applied by the Commissioner for
the purpose of compensating persons who establish claims as provided
in this regulation.
(2) Where a person sustains pecuniary loss because of a default
committed in the course of or in connexion with the commodity futures
trading business of a dealer, by the dealer or any director, partner or
employee, as the case may be, of the dealer in respect of any money,
futures contract or other property
(a)which was entrusted to or received by the dealer or any
director, partner or employee of the dealer, for or on behalf of
that person; and
(b)to which that person is entitled or in which he has a beneficial
interest (whether existing or contingent),
he shall be entitled to claim compensation from the Commissioner for
such pecuniary loss in accordance with this regulation.
(3) The amount which any claimant shall be entitled to claim as
compensation under this regulation is the amount of the actual
pecuniary loss suffered by him (including the reasonable costs of and
disbursements incidental to the making and proving of his claim) less
the amount or value of money or other benefits received or receivable
by him in reduction of the loss from any source other than the
Commissioner.
(4) In addition to any compensation payable under this regulation,
the Commissioner shall pay to the claimant interest on the amount of the
compensation, less any amount attributable to costs and disbursements,
at such rate as may be determined by the Commissioner, which shall be
calculated from the day on which the default was committed and
continue until the day on which the claim is satisfied.
(5) The Commissioner shall cause to be published in one or
more English language newspapers and one or more Chinese
language newspapers, published daily and circulating generally in
Hong Kong, a notice in the form prescribed in the Second Schedule
specifying a date, not being earlier than 3 months after publication
of the notice, on or before which claims for compensation under
this regulation in relation to the dealer specified in the notice may
be made.
(6) A claim for compensation may be made in writing to the
Commissioner-
(a)if a notice under paragraph (5) has been published, on
or before the date specified in the notice; or
(b)if no such notice has been published, within 3 months
after the claimant became aware of the default giving rise
to the claim.
(7) The Commissioner shall, subject to this regulation, and
after such inquiry as he thinks fit-
(a)allow any claim made in accordance with this regulation
and determine the amount payable as compensation
(whether or not in excess of $100,000); and
(b) disallow any other claim.
(8) Where all claims made in accordance with this regulation
have been dealt with under paragraph (7), the Commissioner shall,
as soon as practicable thereafter and subject to paragraph (9),
authorize payments from the relevant deposit, in respect of amounts
determined under paragraph (7), to the persons whose claims have
been allowed.
(9) In authorizing payment under paragraph (8), the Com-
missioner shall have regard to the following-
(a)if only one amount is determined under paragraph (7)
and that amount does not exceed the deposit, that amount
shall be payable in full;
(b)if two or more amounts are so determined and those
amounts together do not exceed the deposit, those amounts
shall be payable in full;
(e)if only one amount is so determined and that amount
exceeds the deposit, only so much of the amount as does
not exceed the deposit shall be payable;
(d)if two or more amounts are so determined and those
amounts together exceed the deposit, the total amount
payable to all claimants whose claims have been allowed
under paragraph (7) shall not exceed the amount of the
deposit and each amount so determined shall be abated by the
same proportion as the total amounts determined bear to the
amount of the deposit.
(10) Any claim which is not made within the time limited by
paragraph (6) shall, unless the Commissioner otherwise determines, be
barred.
(11) An action for damages shall not lie against the Commissioner by
reason of any notice published for the purposes of this regulation in
good faith and without malice.
FIRST SCHEDULE
FORMS
FORM 1 [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS
AND REPRESENTATIVES) REGULATIONS
APPLICATION BY AN INDIVIDUAL FOR REGISTRATION
AS A DEALER
(under regulation 4(3)(a)
Application is hereby made to the Commissioner for Commodities Trading for
registration as a Dealer under Part IV of the Commodities Trading Ordinance.
Please answer the following questions
(If there is insufficient space to complete you 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 this Form, 'the business', unless the
context otherwise requires, means the business as a dealer.)
(a)your present surname and other names in English (including any
aliases) ...........................................................................
.....................................................................
(b) if you are of Chinese race, your name in Chinese characters and
code number .... ...............................................................
(c) your residential address ......................................................
(d) whether or not you are over 21 years of age*
Yes No
(e) your Hong Kong identity card number
your nationality ............................................................... E) PRO
(g)the period during which you have been ordinarily resident in Hong
Kong .....................................................................
(h)the address and telephone number of each place, at or from which,
the business will be carried on (Post Office Box numbers are not
acceptable)
1 .................................................................................. .....................
..............................Telephone No .
2 ..................................................................................
..............................Telephone No .
3 ..................................................................................
..............................Telephone No .
2. Are you an individual dealer or are you accredited to any corporation
or firm which will carry on the business?*
individual accredited to accredited to
dealer a corporation a firm
3. State the business name (if any) of the business or the names of the
corporation or firm to which you are accredited as a dealer-
Name in English ........................................................................
Name in Chinese (if applicable) .........................................
4. If you are accredited to a corporation/firm as a dealer, give the particulars
of all directors/partners of the corporation/firm
1 2 3 4
Name in English of
dirctor/partner
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential Address
Nationality
State whether the
directorlpartnert is
accredited to the
corporation/firm as a
dealer
In the case of a firm,
state whether the
partner is a general
or limited partner
If a limited partner,
state the amount of
contribution in cash
5.Give the following particulars of any dealer's representatives you employ or
propose to employ
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential Address
Nationality
6. State any professional, technical or academic qualifications you hold
which have a bearing on the business
..................................
..................................
7. Give details of any experience you have in the business
....................
....................
8. (a) Are you, or have you been, a member of any commodity exchange
outside Hong Kong?*
Yes No
(b) Is the corporation or firm (if any) to which you are accredited as
a dealer, or has it been, a member of any commodity exchange
outside Hong Kong?*
Yes No
(c) If the answer to (a) or (b) is 'Yes', give the following details SW
(i) the name of the commodity exchange .............................
(ii) the address of the commodity exchange ...........................
............................
(iii) the date on which you, the corporation or firm to which you
are accredited as a dealer, became a member of the commodity
exchange ...................................................................
(iv) the date of termination of membership (if applicable) .........
(V) the reasons for termination of membership (if known to you)
............................
.....................................
9. (a)Are you, or the corporation or firm to which you are accredited
as a dealer, a shareholder of the Hong Kong Exchange Company,
or have you or has it been such a shareholder?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the date on which you, or the corporation/firm, became a
shareholder ...............................................................
(ii) the date of ceasing to be a shareholder (if applicable) .........
.................
(iii) the reasons for ceasing to be a shareholder (if known to you)
............................
............................
............................
Company, either in your name or in the name of the corporation or firm to
which you are accredited as a dealer is under consideration, please state the
date of submission of the application .................................
11. (a) Has the Hong Kong Exchange Company deposited towards the
Compensation Fund under Part VIII of the Commodities Trading
Ordinance in respect of you or the corporation/firm to which you
are accredited as a dealer?*
Yes No
(b) If the answer to (a) is 'Yes', state the date of deposit
........................
12. (a) Are you now carrying on, or have you carried on during the 5
years preceding this application, any business as a sole proprietor?*
Yes No
(b) If the answer to (a) is 'Yes' give details of-
1 2 3
Name of business
19-9119
Address of business
Nature of business
Date of commencement
of business
Date of termination of
business (if applicable)
13. (a)Are you now, or have you been during the 5 years preceding this
application, a director of a company or other body corporate whether
incorporated in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give the following details-
1 2 3
Name of company or other
body corporate
Address of its registered office
or principal place of business
Place of incorporation
Nature of its business
Date of appointment as a
director
Date of termination of
appointment (if applicable)
14. (a) Are you now carrying on, or have you carried on during the 5 years
preceding this application, any business as a partner of a firm?*
Yes No
(b) If the answer to (a) is 'Yes', give the following details-
1 2 3 4
Name of firm
Address of firm
Date of
commencement
of business
Name of partners in
English and Chinese
characters (if
applicable) (including
any aliases)
Residential address of
partners
Date of joining the
partnership
Date of termination
of partnership (if
applicable)
15.If you are a registered person under Part VI of the Securities Ordinance (Cap.
333), state the capacity, date of registration and registration number
...................................
...................................
I declare that all the information given by me in this application is
true and correct to the best of my knowledge and belief.
Dated this ...............day of 19
The applicant must
affix a recent
passport size
photograph of
himself here
Signed ................................................
Applicant
Tick in appropriate box.
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes 1
it an otTence punishable with a maximum fine of $20,000
and 2 years' imprisonment for a person to make a false or
misleading representation for the purposes of obtaining,
either for himself or any other person, registration under
Part IV of the Ordinance.
FORM I A [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS
AND REPRESENTATIVES) REGULATIONS
SUPPLEMENTARY STATEMENT OF CONFIDENTIAL
INFORMATION IN SUPPORT OF AN APPLICATION BY
AN INDIVIDUAL FOR REGISTRATION AS A DEALER
(under regulation 4(3)(a)(i)
The following confidential information is given in support of the
application to the Commissioner for Commodities Trading for
registration as a Dealer under Part IV of the Commodities Trading
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 ofpaper, specify the question to
which the sheet relates and add your signature. In this Form, 'the business', unless
the context otherwise requires, means the business as a dealer.)
1. (a) Are you now employed, or have you been employed during the
5 years preceding this application, by any person, corporation or
firm (otherwise than as a director)?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the name of the employer .............................................
(ii) his or its name in Chinese characters (if applicable) ............
............................
(iii) his or its principal business address .................................
................... ...
(iv) the nature of his or its business .......................................
(y) the capacity in which you are or were employed ...............
(vi) the date of commencement of employment ........................
(vii) the date of termination of employment (if applicable) ......... 91
............................
(viii) the reason for termination of employment (if known to you)
............................
............................
............................
2. If you are still in employrnent as described in the answer to question 1,
do you intend to remain in this employment if your application to become
a dealer is successful?*
Yes No Not applicable
3. If you are still carrying on a business as a principal as mentioned in the
answer to question 12 in Form 1 do you intend to continue this business
if your application to become a dealer is successful?*
Yes No
4. If you are still a director as mentioned in the answer to question 13 in
Form 1, do you intend to remain a director if your application to become
a dealer is successful?*
Yes No
5. if you are still a partner as mentioned in the answer to question 14 in
Form 1, do you intend to remain a partner if your application to become
a dealer is successful?*
Yes No
6. (a)Have you ever been refused membership of a commodity exchange
or stock exchange in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the commodity exchange or stock exchange
.............................
(ii) the reasons for the refusal of the application (if known to you)
.............................
...............
.......................
7. (a) Have you ever been adjudicated bankrupt in Hong Kong or
elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the date of the adjudication ..........................................
(ii) the place of the bankruptcy ..........................................
(iii) the name of the court which made the adjudication of
bankruptcy ................................
(c) If you have been discharged as a bankrupt, state-
(i) the date of discharge ...................................................
(ii) 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?*
Yes No
(b) If the answer to (a) is 'Yes', specify details of the petition,
including the date. place and the court in which the petition was
presented ........................................................................
...... .................
...... .................
9. (a) Have you, in Hong Kong or elsewhere, ever been a party to a
scheme of arrangement or entered into any form of composition
with your creditors?*
Yes No
(b) If the answer to (a) is 'Yes', give details of the arrangement or
composition .....................................................................
...... ..........
...............................
10. Give particulars of-
(a) any judgment made against you in any court proceedings, in
Hong Kong or elsewhere, in which fraud or dishonesty was
alleged-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment ..............................
(b) any unsatisfied judgment debts outstanding against you in con-
nexion with any business conducted by you, in Hong Kong or
elsewhere-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment ..............................
............................
(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-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment or making order
............................
..... ...............................................................
11. (a) To the best of your knowledge, has any company or other body
corporate of which you have been a director, in Hong Kong or
elsewhere, been wound up, otherwise than by means of a members'
voluntary winding up, during the 5 years preceding this applica-
tion?*
Yes No
(b) If the answer to (a) 'Yes', state-
(i) the name of the company or body corporate .........
...........................
(ii) the mode of winding up ................................................
............................
(iii) the reasons for winding up .............................................
.....................................................
......................
12. (a)To the best of your knowledge, has any firm of which you have been a
partner, in Hong Kong or elsewhere, been dissolved, otherwise than
voluntarily with the consent of all the partners, during the 5 years
preceding this application?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the firm .....................................................
.............................
(ii) the mode of dissolution ................................................
.............................
(iii) the reasons for dissolution .............................................
.............................
13. (a)Have you ever been convicted of an offence, other than a traffic
offence, in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give the following details-
The offence
Penalty (if any) which
was imposed
Date of conviction
Place of conviction
Name of the
court which tried the
offence
14. (a)Will any person, other than the persons mentioned in the answer to
question 4 in Form 1, have any power to exercise control over or in
relation to the business?*
Yes No
(b)If the answer to (a) is 'Yes', give the following particulars of those
persons
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential address
Nationality
Nature of control
keep an account in connexion with the business
1976 Ed Cap250 A24
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.
Dated this ........day of ................... 19
Signed .........................................
WARNING-Section 40 of the Commodities Trading Ordinance makes it an
offence punishable with a maximum fine of $20,000 and 2
years' imprisonment for a person to make a false or
misleading representation for the purposes of obtaining, either
for himself or any other person, registration under Part IV of
the Ordinance.
FORM 1C [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND
REPRESENTATIVES) REGULATIONS
STATEMENT IN SUPPORT OF AN APPLICATION FOR
REGISTRATION OR RENEWAL OF REGISTRATION
AS A DEALER
(under regulation 4(3)(a)(iii) and (i)(i))
1. The applicant .............................................................................
(name of applicant)
of ........................ ......
(address of applicant)
is/will be* accredited to ...............................................................
(business name of the corporation
............
or firm to which the applicant is or will be accredited)
as a dealer in his capacity as-
*(a) a director of the corporation.
(b) a partner of the firm.
(c) an employee of the
(State post held as employee ................................................
2. The information given by the applicant in Form 119* is true and correct
to the best of our/my* knowledge and belief.
3. The applicant is a fit and proper person to be registered/continue to be
registered* as a dealer.
4. If the applicant ceases to be accredited to the corporation/firm* we/I*
will notify the Commissioner for Commodities Trading in accordance
with section 41(3) of the Commodities Trading Ordinance.
Dated this ................day of 19
(Note:Two directors, one of whom is the Chairman of the corporation, must sign.
The signature of one director will only be accepted where he is the sole
director. In the case of a firm, all the partners must sign this form.)
Signature Name of signatory Capacity
(in block letters)
................................. ...........................
................................................................ ...........................
........................................................ ...........................
................................................................ ........................
................................................................ ...........................
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes it an
offence punishable with a maximum fine of $20,000 and 2
years' imprisonment for a person to make a false or misleading
representation for the purposes of obtaining either for himself
or any other person, registration or renewal of registration
under Part IV of the Ordinance.
*la* a* ffi m F9j
Rn.
1976 Ed cap.250 A27 Form 2
(e)the countries or territories in which the corporation has carried on the
business and in what name(s) ....................................
..............................
2. Give the following particulars of all existing directors of the corporation-
1 2 3 4
Name in English
Name in Chinese
characters (if
applicable)
All aliases
Residential address
Nationality
Date of appointment
as a director
Occupation,
or if
more than one, the
principal occupation
State whether the
director is accredited
to the corporation as
a dealer
3. Give the following particulars of all persons, other than those mentioned
in the answer to question 2, who had been directors during the period of
3 years preceding the date of this application-
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential address
Period of service
as a director
Nationality
4. Give the following particulars of any employee, other than any director
mentioned in the answer to question 2, who will be-
(a) accredited to the corporation as a dealer-
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential address
(b) the dealer's representative of the corporation-
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters (if
applicable)
Residential address
5. Give the following details of the capital of the corporation-
(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 and the total issued capital
........................ ......
(c) the total paid up capital
(d) whether or not any shares have been issued for a consideration
other than cash.?*
CT)
Yes No
(e) if the answer to (d) is 'Yes', state the number, the class and the
consideration
...............................
6. Give details of any experience the corporation has in the business
..................................
..................................
7. (a)Is the corporation, or has it been, a member of any commodity
exchange outside Hong Kong?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the name of the commodity exchange ..............................
........................
(ii) the address of the commodity exchange ...........................
..............................
..............................
(iii) the date on which the corporation became a member of the
commodity exchange ...................................................
............... *
(iv) the date of termination of membership (if applicable) .........
..............................
(v) the reasons for termination of membership (if known to you)
..............................
..............................
..............................
..............................
8. (a)Is the corporation, or has it been, a shareholder of the Hong Kong
Exchange Company?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the date on which the corporation became a shareholder
................................................................................
......
(ii) the date of termination as a shareholder (if applicable)
..............................
..............................
(iii) the reasons for termination as a shareholder (if known to you)
..............................
..............................
..............................
9. If an application by the corporation to become a shareholder of the
Hong Kong Exchange Company is under consideration, please state the
date of submission of application ...................................................
...........
10. (a) Has the Hong Kong Exchange Company deposited towards the
Compensation Fund under Part VIII of the Commodities Trading
Ordinance in respect of the corporation?*
Yes No
(b) If the answer to (a) is 'Yes', please state the date of deposit
11. If the corporation is registered under Part VI of the Securities Ordinance
(Cap. 333) state the capacity, date of registration and registered number
....................................
....................................
WelIt declare that all the information given by us/met in this application
is true and correct to the best of our/myt knowledge and belief.
Dated this ................day of 19
(Note:Two directors, one ofwhom is the Chairman, ofthe corporation must sign.
The signature of one director will only be accepted where he is the sole
director.)
Signed on behalf of the applicant Signature
corporation
Name of signatory
(in block letters)
Capacity
Signature
Name of signatory
(in block letters)
Capacity
Tick in appropriate box.
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes
it an offence punishable with a maximum fine of $20,000
and 2 years' imprisonment for a person to make a false or
misleading representation for the purposes of obtaining,
either for himself or any other person, registration under
Part IV of the Ordinance.
1976 Ed cap.250 A33 Form 2A 1976 Ed cap.250 A34 1976 Ed. Cap250 A35 1976 Ed cap250 A36 1976 Ed cap.250 A37
1976 Ed. cap.250 A38 1976 Ed cap.250 A39 1976 Ed cap.250 A40
We/I declare that all the information given by us/met in this supple-
mentary statement is true and correct to the best of our/myt knowledge and
belief.
Dated this ................day of 19
(Note:Two directors. one of whom is the Chairman, of the corporation must sign.
The signature of one director will only be accepted where he is the sole
director.)
Signed on behalf of the applicant
corporation.
Signature ....................................
Name of signatory
(in block letters) ............
Capacity .......................................
Signature
Name of signatory
(in block letters) ..............................
Capacity .......................................
Tick inappropriate box.
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes
it an ofrence punishable with a maximum fine of $20,000
and 2 years' imprisonment for a person to make a false or
misleading representation for the purposes of obtaining,
either for himself or any other person, registration under
Part IV of the Ordinance.
1976 Ed. cap 250 A42 1976 Ed cap.250 A43 1976ed cap.250 A44 1976 ed cap 250 A45 1976 ed cap.250 A46 1976 ed. cap 250 A47 1976 ed. cap.250 A48 1976 ed. cap.250 A49 1976 ed. cap.250 A50 1976 ed. cap.250 A51
9. (a)Has any partner or person mentioned in the answer to question 2
or question 4(a) in Form 3 or question 10 in this Form ever been
convicted of any offence, other than a traffic ofrence, in Hong
Kong or elsewhere?*
1976ed. cap.250 A53 1976ed. cap.250 A54 1976 ed cap.250 A55 1976 ed. cap 250 A56 1976 ed. cap.250 A57 1976 ed. cap.250 A58 1976 ed. cap.250 A59 1976 ed. cap.250 A60 1976 ed. cap.250 A61 1976 ed cap.250 A62
3. If you are still carrying on a business as a principal as mentioned in the
answer to question 10 in Form 4 do you intend to continue this business
if your application to become a commodity trading adviser is successful?*
Yes No
4. If you are still a director as mentioned in the answer to question 11 in
Form 4, do you intend to remain a director if your application to become
a commodity trading adviser is successful?*
Yes No
5. If you are still a partner as mentioned in the answer to question 12 in
Form 4, do you intend to remain a partner if your application to become
a commodity trading adviser is successful?*
Yes No
6. (a)Have you ever been refused membership of a commodity exchange
or stock exchange in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the commodity exchange or stock exchange
.....................
(ii) the reasons for the refusal of the application (if known to you)
..............................
..............................
..............................
7. (a)Have you ever been adjudicated bankrupt in Hong Kong or
elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the date of the adjudication ..........................................
(ii) the place of bankruptcy .......................
(iii) the name of the court which made the adjudication ............
1976 ed cap.250 A64 1976 ed cap.250 A65 1976 ed cap.250 A66 1976 ed. cap.250 A67 1976 ed cap.250 A68 1976 ed cap.250 A69 1976 ed cap.250 A70
(e) the countries or territories in which the corporation has carried
on the business and in what name(s)
.................................
2. Give the following particulars of all existing directors of the corporation-
1 2 3 4
Name in English
(including any aliases)
Name in Chinese
characters
(if applicable)
Residential address
Nationality
Date of appointment
as a director
Occupation, or if
more than one, the
principal occupation
State whether the
director is accredited
to the corporation as
a commodity trading
adviser
1976 ed cap.250 A72 1976ed Cap.250 A73 1976 ed cap.250 A74 1976ed. cap.250 A75 1976ed cap.250 A76 1976ed cap.250 A77 1976 ed. cap.250 A78 1976 ed. cap.250 A79 1976 ed cap.250 A80 1976 ed. cap.250 A81 1976ed cap.250 A82 1976 ed. cap.250 A83 1976 ed. cap.250 A84 1976 ed. cap.250 A83 1976 ed cap.250 A86 1976 ed. cp.250 A87 1976 cap.250 A88 1976 ed. cap.250 A89 1976 ed cap.250 A90 1976 ed cap.250 A91 1976 ed cap.250 A92 1976 ed. cap.250 A93 1976ed cap.250 A94 1976 ed cap.250 A95 1976 ed cap.250 A96 1976ed cap 250 A97 1976 ed cap 250 A98 1976 ed cap.250 A99 1976 ed cap 250 A100 1976 ed cap 250 A101 1976 ed cap 250 A102 1976 ed cap 250 A103 1976 ed cap 250 A104
(b) If the answer to (a) is 'Yes', give details of the arrangement or
composition .....................................................................
............ 1
7. Give particulars of-
(a) any judgment made against you in any court proceedings, in
Hong Kong or elsewhere, in which fraud or dishonesty was
alleged-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment .............................
..............................
(b)any unsatisfied judgment debts outstanding against you in con-
nexion with any business conducted by you, in Hong Kong or
elsewhere-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment ...........................
..............................
(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-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment or making order
...............
8. (a)To the best of your knowledge, has any company or other body
corporate of which you have been a director, in Hong Kong or
elsewhere, been wound up, otherwise than by means of a members'
voluntary winding up, during the 5 years preceding this applica-
tion?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the company or body corporate .....................
(ii) the mode of winding up ................................................
................................................................................
(iii) the reasons for winding up .............................................
..............................
9. (a)To the best of your knowledge, has any firm of which you have
been a partner, in Hong Kong or elsewhere, been dissolved,
otherwise than voluntarily with the consent of all the partners,
during the 5 years preceding this application?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the firm ...................................................
(ii) the mode of dissolution ................................................
..............................
(iii) the reasons for dissolution .............................................
10. (a)Have you ever been convicted of an offence, other than a traffic
offence, in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give the following details-
The offence
Penalty (if any) which was
imposed
1976 ed cap 250 A 107
FORM 713 [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND
REPRESENTATIVES) REGULATIONS
STATEMENT IN SUPPORT OF AN APPLICATION FOR
REGISTRATION/RENEWAL OF REGISTRATION* AS A
DEALER'S REPRESENTATIVE/COMMODITY
TRADING ADVISER'S REPRESENTATIVE*
..(under regulation 4(3)(g)(ii), (h)(ii), (i)(vii) and (viii))
1.The applicant for registration/renewaI of registration* as a dealer's
representativelcommodity trading adviser's representative* ..................
................................... .
.(applicant's name)
of ............................................................................................
(address)
is an employee/a director of the corporation/a partner of the firm*.
2. He is performing/will be performing* for me/the corporation/the firm*
the functions of a dealer's representativelcommodity trading adviser's
representative*.
3.The information given by the applicant is correct to the best of my/our*
knowledge and belief.
4.The applicant is a fit and proper person for registration/renewal of
registration* as a dealer's representative/commodity trading adviser's
representative*.
5.If the applicant ceases to be an employee/ceases to perform the functions*
of a dealer's representativelcommodity trading adviser's representative*.
I/we* undertake to notify the Commissioner for Commodities Trading
in accordance with section 41(4) of the Commodities Trading Ordinance.
Dated this ...............day of 19
(Note:This statement must be signed by the dealer or commodity trading adviser
for whom the applicant will be a representative.)
Signed .........................................
Name of signatory
(in block letters) ...........................
Capacity .......................................
Name of employer/
corporation/firm*
(in block letters) ...........................
Registration number ........................
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes
it an offence punishable with a maximum fine of $20,000
and 2 years' imprisonment for a person to make a false
or misleading representation for the purposes of obtaining,
either for himself or any other person, registration or
renewal of registration under Part IV of the Ordinance.
FORM 8 [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND
REPRESENTATIVES) REGULATIONS
APPLICATION FOR REGISTRATION AS A COMMODITY
TRADING ADVISER'S REPRESENTATIVE
(under regulation 4(3)(h)
Application is hereby made to the Commissioner for Commodities Trading for
registration as a Commodity Trading Adviser's Representative under Part IV of
the Commodities Trading 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 ofpaper, specify the question to
which the sheet relates and add your signatures. In this Form, ---thebusiness',
unless the context otherwise requires, means the business as a commodity trading
adviser.)
1 . State-
(a) your present surname and other names in English (including any
aliases) ...........................................................................
................................................................................
(b) if you are of Chinese race, your name in Chinese characters and
code number ..............................................................
.................................
(c) your residential address
.............
(d) whether or not you are over 21 years of age*
Yes No
(e) Your Hong Kong identity card number .................................
(f) your nationality ...............................................................
(g) the period during which you have been ordinarily resident in
Hong Kong ....... - .... -
..................................
(h) the address and telephone number of each place, at or from which,
your business will be carried on (Post Office Box numbers are not
acceptable)
1. ..................................................................................
.............. Telephone No .
2. ..................................................................................
.............. Telephone No .
3. ..................................................................................
...................... Telephone No .
2. Give the following particulars of the commodity trading adviser by whom
you are or are to be employed as a commodity trading adviser's representa-
tive-
(a) the name or business name of the commodity trading adviser-
(i) in English ..................................................................
(ii) in Chinese (if applicable) ................................................
(b) the business address of the commodity trading adviser ...............
................................................................ 1
(c) the capacity in which you are or will be employed
.................................
3. State any professional, technical or academic qualifications that you hold
which have a bearing on the business or trading in commodity futures
contract-
...................
............................................................................................
4. Give details of any experience you have had in the business-
... .................................................................................
....................................
..............
5. (a)Are you a member of any commodity exchange in Hong Kong or
elsewhere?*
Yes No
(b)If the answer to (a) is 'Yes', please state-
(i) the name of the commodity exchange
................................................. 1
(ii) its address ..................................................................
..............................
(iii) the date of commencement of membership ........................
(iv) the date of termination of membership (if applicable) .........
(v) the reasons for termination of membership (if known to you)
................................................................................
..............................
6. (a)Are you, or have you applied to be registered as, a dealer in
Hong Kong?*
Yes No
(b) If the answer to (a) is 'Yes', please state-
(i) the date of registration .and
(ii) the registration number .or
(iii) the date of application ...........................................
whichever is applicable.
7. (a)Are you, or have you applied to be registered as, a dealer's
representative in Hong Kong?*
Yes No
(b) If the answer to (a) is 'Yes', please state-
(i) the date of registration .and
(ii) the registration number .or
(iii) the date of application ...........................................
whichever is applicable.
8. (a) Are you now carrying on, or have you carried on during the 5
years preceding this application, any business as a sole proprietor?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
Name of business
Address of business
Nature of business
1976ed cap.250 A113 1976 ed cap.250 A114
1 declare that all the information given by me in this application is true
and correct to the best of my knowledge and belief.
Dated this ...............day of 19
The applicant must
affix a recent passport
size photograph of
himself here
Signed.........................................
Applicant
Tick inappropriate box.
WARNING-Section 40 of the Commodities Trading Ordinance makes
it an offence punishable with a maximum fine of 520,000
and 2 years' imprisonment for a person to make a false
or misleading representation for the purposes of obtaining,
either for himself or any other person, registration under
Part IV of the Ordinance.
FoRm 8A [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 30(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND
REPRESENTATIVES) REouLATIONS
SUPPLEMENTARY STATEMENT OF CONFIDENTIAL INFORMATION
IN SUPPORT OF AN APPLICATION FOR REGISTRATION AS A
COMMODITY TRADING ADVISER'S REPRESENTATIVE
(under regulation 4(3)(h)(i))
The following confidential information is given in support of the application to
the Commissioner for Commodities Trading for registration as a Commodity
Trading Adviser's Representative under Part IV of the Commodities Trading
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 ofpaper, specify the question to which the
sheet relates and add your signature.)
1. If you are still carrying on a business as a principal as mentioned in the
answer to question 8 in Form 8, do you intend to continue this business
if your application to become a commodity trading adviser's representative
is successful?*
Yes No
2. If you are still a director as mentioned in the answer to question 9 in Form
8, do you intend to remain a director if your application to become a
commodity trading adviser's representative is successful?*
Yes No
3. If you are still a partner as mentioned in the answer to question 10 in
Form 8, do you intend to remain a partner if your application to become
a commodity trading adviser's representative is successful?*
Yes No
4. (a)Have you ever been refused membership of a commodity
exchange or stock exchange in Hong Kong or elsewhere?*
Yes No
(b)If the answer to (a) is 'Yes', state
(i) the name of the commodity exchange or stock exchange ......
...............................
(ii) the reasons for the refusal of the application (if known to you)
..............................
5. (a)Have you ever been adjudicated bankrupt in Hong Kong or else-
where?*
Yes No
(b) If the answer to (a) is 'Yes', give details of-
(i) the date of the adjudication ..........................................
(ii) the place of bankruptcy ................................................
(iii) the name of the court which made the adjudication ............
..............................
(c) If you have been discharged as a bankrupt, state-
(i) the date of discharge ...................................................
(ii) the conditions of discharge ..........................................
..............................
6. (a)Has a bankruptcy petition ever been served on you in Hong Kong
or elsewhere which did not result in your being adjudicated
bankrupt?*
Yes No
(b) If the answer to (a) is 'Yes', specify details of the petition, includ-
ing the date, place and the court in which the petition was presented
.................................
7. (a)Have you, in Hong Kong or elsewhere ever been a party to a
scheme of arrangement or entered into any form of composition
with your creditors?*
Yes No
(b) If the answer to (a) is 'Yes', give details of the arrangement or
composition .....................................................................
.................................
8. Give particulars of-
(a) any judgment made against you in any court proceedings, in Hong
Kong or elsewhere, in which fraud or dishonesty was alleged-
(i) the date of the trial
(ii) the place of trial
(iii) the name of the court giving judgment
..............................
(b)any unsatisfiedjudgment debts outstanding against you in connexion
with any business conducted by you, in Hong Kong or elsewhere-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment ...........................
..............................
(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-
(i) the date of the trial ......................................................
(ii) the place of trial .........................................................
(iii) the name of the court giving judgment or making order ......
..............................
9. (a)To the best of your knowledge, has any company or other body
corporate of which you have been a director, in Hong Kong or
elsewhere, been wound up otherwise than by means of a members'
voluntary winding up, during the 5 years preceding this applica-
tion?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the company or body corporate .....................
(ii) the mode of winding up ................................................
(iii) the reasons for winding up ..........................................
..............................
10. (a)To the best of your knowledge, has any firm of which you have been
a partner, in Hong Kong or elsewhere, been dissolved, otherwise
than voluntarily with the consent of all the partners, during the 5
years preceding this application?*
Yes No
(b) If the answer to (a) is 'Yes', state-
(i) the name of the firm ...................................................
(ii) the mode of dissolution ................................................
(iii) the reasons for dissolution ........................
..............................
11. (a) Have you ever been convicted. of any ofrence, other than a traffic
offence, in Hong Kong or elsewhere?*
Yes No
(b) If the answer to (a) is 'Yes', give the following details-
The Offence
Penalty (if any) which was
imposed
Date of conviction
Place of conviction
Name of the court which
tried the offence
I declare that all the information given by me in this application is true
and correct to the best of my knowledge and belief.
1976 ed cap 250 A120
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 ofpaper, specify the question to which the
sheet relates and add your signature. In this Form, 'the business-, unless the
context otherwise requires, means the business as a dealer.)
1. State-
(a) your full name in English (including any aliases) .....................
.................................
(b) if you are of Chinese race, your name in Chinese characters and
code number .....................................................................
(c) your residential address ......................................................
.................................
(d)the business name (if any) of the business or the name of the
corporation or firm to which you are accredited as a dealer-
(i) Name in English ........................................................
(ii) Name in Chinese (if applicable) ....................................
(e) the address and telephone number of each place, at or from which,
the business is carried on (Post Office Box numbers are not
acceptable)
1. ..................................................................................
.............. Telephone No .
2. .................................................................................
.............. Telephone No .
3. ..................................................................................
.............. .. Telephone No .
(f) your registration number as dealer
(g) the date of registrationllast renewal of registrationt as dealer
2. Since the date of your application for registration as a dealer or your last
application for renewal of registration as a dealer (whichever is the later),
have you, or the corporation/firm to whom you are accredited as a
dealer-
(a) become licensed or registered in any place outside Hong Kong
under any law which requires licensing or registration as a
prerequisite to carrying on a business of dealing or trading in
commodities, whether as a principal or otherwise?*
If the answer is 'Yes', state-
(i) the place and date of registration
(ii) the trading name
(b) become or ceased to be a member of a commodity exchange
outside Hong Kong?*
Yes No
If the answer is 'Yes', state-
(i) the name of the commodity exchange ......
... .............................................................................
(ii) its address .......................................
(iii) the date of commencement of membership ........................
(iv) the date of termination of membership (if applicable) .........
(v) the reasons for termination of membership (if known to you)
................ ................................
(c) been refused membership, or been suspended or expelled from
membership, of any commodity exchange or stock exchange,
whether in Hong Kong or elsewhere?*
Yes No
If the answer is 'Yes', state-
(i) the name of the commodity exchange/stock exchange .........
... .............................................................................
(ii) its address ..................................................................
(iii) the reasons for the refusal, suspension or expulsion ............
.................................. ....................................
shareholder, of the Hong Kong Exchange Company?*
Yes No
If the answer is 'Yes', state-
(i) the date of application ; or
(ii) the date of becoming a shareholder .................................
(iii) the date of ceasing to be a shareholder (if applicable) .........
...............................
(e) carried on a business, whether relating to commodities or otherwise,
under, or been known by, any name other than any name mentioned
in answer to question 1 in this application?*
Yes No
If the answer is 'Yes', state-
(i) the name(s) of the business ..........................................
...............................
(ii) its address(es) ............................................................
................................................................................
(f)become a director of any corporation, or partner of any firm, or
ceased to be a director or partner, in Hong Kong or elsewhere?*
Yes No
If the answer is 'Yes', state-
(i) the name of the corporation/firmt .................................
.. ...........
(ii) the address of its principal place of business .....................
.. ...........
(iii) the place of incorporation/registrationt of the corporation/
firm ........................................................................
(iv) the nature of its business .............................................
(y) the date of becoming a director/partner ...........................
.. ...........
(vi) the date of ceasing to be a director/partnert .....................
...............................
(g) been registered as a commodity trading adviser in Hong Kong?*
Yes No
If the answer is 'Yes', state the registration number ..................
(h)been registered under Part VI of the Securities Ordinance (Cap.
333)?*
Yes No
If the answer is 'Yes^', state the capacity, date of registration and
registration number ............................................................
(i) been refused or have you ceased to be registered under Part VI of
the Securities Ordinance (Cap. 333)?*
Yes No
If the answer is '*Yes', state-
(i) the date of refusal or cessation .......................................
(ii) the reasons therefor ......................................................
3. Since the date of your application for registration as a dealer or your last
application for renewal of registration as a dealer (whichever is the later)
has the Hong Kong Exchange Company deposited towards the Compen-
sation Fund under Part VIII of the Commodities Trading Ordinance in
respect of you or the corporation/ firm to which you are accredited as a
dealer?*
Yes No
If the answer is 'Yes', state the date of deposit ........................
....................................................................................
4. Give the particulars of all your existing partners and of all persons who
have ceased to be your partners with whom you are carrying on or have
carried on the business since the date of your application for registration
as a dealer or your last application for renewal of registration as a dealer
(whichever is the later)-
1976 ed cap 250 A125 1976 ed cap 250 A126 1976 ed cap.250 A127 1976 ed cap 250 A128 1976 ed. cap 250 A129
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 signatures. In this Form, 'the business',
unless the context otherwise requires, means the business as a dealer.)
1. State-
(a) the name of the corporation .............................................
(b)the following particulars of the corporation's registered office and
of all offices in Hong Kong at which the business is carried on
(state the registered office first)-
Address (Post Office Box numbers are not acceptable) Telephone number
2.
3.
4.
(c) the corporation's registration number as dealer ........................
(d) the date of registration/renewal of registrationt as dealer .........
..................................
2. Give the following particulars of all the corporation's
(i) existing directors;
(ii) persons who have ceased to be directors;
(iii)every employee accredited to the corporation as a commodity dealer;
and
(iv)employee who has ceased to be accredited to the corporation as a
commodity dealer,
since the date of the corporation's application for registration as a
commodity dealer or its last application for renewal of registration as
a commodity dealer (whichever is the later)-
1976 ed cap .250 A131 1976 ed. cap 250 A132 1976 ed cap 250. A133 1976 ed cap 250 A134 1976 ed. cap 250 A135 1976ed cap 250 A136 1976ed cap 250 A137 1976 ed cap.250 A138 1976 ed cap 250 A139 1976 ed cap 250 A140 1976 ed cap.250 A141 1976 ed cap 250 A142 1976 ed cap.250 A143 1976 ed cap.250 A144
1976 ed cap.250 A145 1976 ed cap.250 A146 1976 ed cap 250 A147 1976 ed cap.250 A148 1976 ed cap.250 A149 1976 ed cap.250 A150 1976 ed cap.250 A151 1976 ed cap .250 A152 1976 ed cap.250 A153 1976 ed cap .250 A154 1976 ed. cap.250 A155 1976 ed cap.250 A156 1976 ed cap.250 A157 1976 ed cap.250 A158
1976 ed cap.250 A159 1976 ed cap.250 A160 1976 ed cap.250 A161 1976 ed cap.250 A162 1976 ed cap.250 A163 1976 ed cap.250 A164
1976 ed cap 250 A165 1976 ed cap 250 A166 1976 ed cap/250 A167 1976 ed cap.250 A168 1976 ed cap.250 A169 1976 ed cap.250 A170 1976 ed cap.250 A171 1976 ed cap.250 A172 1976 ed cap.250 A173 1976 ed cap.250 A174
(c) been refused membership, or been suspended or expelled from
membership, of any commodity exchange or stock exchange in
Hong Kong or elsewhere?*
Yes No
If the answer is 'Yes', state-
(i) the name of the commodity exchangelstock exchanget ......
... ...........
(ii) its address ..................................................................
... ...........
(iii) the reasons for the refusal, suspension or expulsion ............
wise, under, or been known by, any name other than any name
mentioned in answer to question 1 in this application?*
.Yes No
If the answer is 'Yes', state-
(i) the name(s) of the business ..........................................
... ...........
(ii) its address(es) ............................................................
... ...........
(e) become a director of any corporation, or partner of any firm, or
ceased to be a director or partner, in Hong Kong or elsewhere?*
?
Yes No
If the answer is 'Yes', state-
(i) the name of the corporation/firmt .................................
................................................................................
(ii) the address of its principal place of business .....................
...............................
(iii) the place of incorporation/registrationt of the corporation/
firm . ................................................................
(iv) the nature of its business ................................................
(v) the date of becoming a director/partnert ............
(vi) the date of ceasing to be a director/partnert .....................
Hong Kong?*
Yes No
If the answer is 'Yes', state the registration number ..................
(g) been registered under Part VI of the Securities Ordinance (Cap.
Yes No
If the answer is 'Yes', state the capacity, date of registration and
registration number ............................................................
.................................
(h) been refused or ceased to be registered under Part VI of the
Securities Ordinance (Cap. 333)?*
Yes No
If the answer is 'Yes', state-
(i) the date of refusal or cessation .......................................
(ii) the reasons therefor ......................................................
I declare that all the information given by me in this application is true
and correct to the best of my knowledge and belief.
Dated this ...............day of 19
(Signed) .......................................
(Applicant)
Tick in appropriate box.
Delete whichever is inapplicable.
WARNING-Section 40 of the Commodities Trading Ordinance makes it
an offence punishable with a maximum fine of $20,000
and 2 years' imprisonment for a person to make a false or
misleading representation for the purposes of obtaining, 1
either for himself or any other person, renewal of registra-
tion under Part IV of the Ordinance.
FORM 15A [reg. 4.]
COMMODITIES TRADING ORDINANCE
(Chapter 250, section 34(1)
COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS
AND REPRESENTATIVES) REGULATIONS
SUPPLEMENTARY STATEMENT OF CONFIDENTIAL
INFORMATION IN SUPPORT OF AN APPLICATION
FOR RENEWAL OF REGISTRATION AS A
DEALER'S REPRESENTATIVE
(under regulation 4(3)(i)(vii))
The following confidential information is given in support of the application to
the Commissioner for Commodities Trading for the renewal of registration as a
Dealer's Representative under Part IV of the Commodities Trading Ordinance.
Please answer the following questions-
(Ifthere is insufficient space to complete your answer to any question, please
continue the answer on a separate sheet ofpaper, specify the question to which the
sheet relates and add your signature.)
1976 ed cap.250 A178 1976 ed cap.250 A179
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 ofpaper, specify the question to
which the sheet relates and add your signature.)
1. State-
(a) your full name in English (including any aliases) .....................
..................................
(b) if you are of Chinese race, your name in Chinese characters and
code number .....................................................................
(c) your residential address
..................................
(d)the address and telephone number of each place, at or from which,
your business is carried on (Post Office Box numbers are not
acceptable)
..................................................................................
.............. Telephone No .
..................................................................................
.............. Telephone No .
3 ..................................................................................
.............. Telephone No .
(e) your registration numbers as commodity trading adviser's rep-
resentative ........................................................................
(f) the date of registrationfrenewal of registrationt as commodity
trading adviser's representative .............................................
2. Give the following particulars of the commodity trading adviser by whom
you are employed as a commodity trading adviser's representative-
(a) the name or business name of the commodity trading adviser-
(i) in English ..................................................................
(ii) in Chinese (if applicable) .............................................
(b) the business address of the commodity trading adviser ...............
.................................
1976 ed cap.250 A181 1976 ed cap.250 A182 1976 ed cap.250 A183 1976 ed cap.250 A184 1976 ed cap.250 A185 1976 ed cap.250 A186 1976 ed cap.250 A187 1976 ed cap.250 A188 1976 ed cap.250 A189 1976 ed cap.250 A190 1976 ed cap.250 A191 1976 ed cap.250 A192 1976 ed cap.250 A193 1976 ed cap.250 A914 1976 ed cap.250 A195 L.N. 210/76. Citation. General requirements for documents lodged with the Commissioner. First Schedule. Directions in forms. First Schedules. Applications for registration and renewal of registration, etc. Registration fee and renewal of registration fee. Particulars to be entered in registers. Inspection of register, etc. Information provided by dealers, etc. Certificate of registration to be exhibited. Correction of errors. Duplicate certificate of registration. Interpretation. Application of deposit by trustees in bankruptcy. Application of deposits by liquidators. Application of deposits forfeited under section 33 of the Ordinance. Second Schedule.
Abstract
L.N. 210/76. Citation. General requirements for documents lodged with the Commissioner. First Schedule. Directions in forms. First Schedules. Applications for registration and renewal of registration, etc. Registration fee and renewal of registration fee. Particulars to be entered in registers. Inspection of register, etc. Information provided by dealers, etc. Certificate of registration to be exhibited. Correction of errors. Duplicate certificate of registration. Interpretation. Application of deposit by trustees in bankruptcy. Application of deposits by liquidators. Application of deposits forfeited under section 33 of the Ordinance. Second Schedule.
Identifier
https://oelawhk.lib.hku.hk/items/show/2985
Edition
1964
Volume
v16
Subsequent Cap No.
250
Number of Pages
195
Files
Collection
Historical Laws of Hong Kong Online
Citation
“COMMODITIES TRADING (DEALERS, COMMODITY TRADING ADVISERS AND REPRESENTATIVES) REGULATIONS,” Historical Laws of Hong Kong Online, accessed November 6, 2024, https://oelawhk.lib.hku.hk/items/show/2985.
