SECURITIES (DEALERS, INVESTMENT ADVISERS, PARTNERSHIPS AND REPRESENTATIVES) RULES
Title
SECURITIES (DEALERS, INVESTMENT ADVISERS, PARTNERSHIPS AND REPRESENTATIVES) RULES
Description
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.
Abstract
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.
Identifier
https://oelawhk.lib.hku.hk/items/show/3261
Edition
1964
Volume
v21
Subsequent Cap No.
333
Number of Pages
316
Files
Collection
Historical Laws of Hong Kong Online
Citation
“SECURITIES (DEALERS, INVESTMENT ADVISERS, PARTNERSHIPS AND REPRESENTATIVES) RULES,” Historical Laws of Hong Kong Online, accessed April 13, 2025, https://oelawhk.lib.hku.hk/items/show/3261.
