【法规名称】
【法规编号】 82391 什么是编号？
【正 文】
第3页 CAP 571AF SECURITIES AND FUTURES (FEES) RULES
|
[接上页] (a) a fee of $50000 shall be payable by the person to the Commission; and (b) an additional fee of $20000 shall be payable by the person to the Commission within 30 days after the delivery by the Takeovers Panel or the Takeovers Appeal Committee (as the case may be) of its ruling, in respect of each day or part of a day in excess of the first 2 days on which the Takeovers Panel or the Takeovers Appeal Committee (as the case may be) meets for the purposes of the review. Cap 571AF s 7 Fees for hearings concerning compliance with Codes or any rulings under them (1) Where a hearing takes place before the Takeovers Panel in any disciplinary proceedings instituted under section 12 of the Introduction to the Codes, a fee, the amount of which shall be determined in accordance with subsection (3), shall, within 30 days after the delivery by the Takeovers Panel of its ruling, be payable to the Commission by any person who in the opinion of the Takeovers Panel- (a) has caused unnecessary expense to be incurred in connection with the investigation by the Commission of any allegation against the person or with the conduct of the hearing; or (b) has committed a breach of the Takeovers Code, the Share Repurchase Code or a ruling of the Executive or the Takeovers Panel.(2) Where a hearing takes place before the Takeovers Panel for the purpose of deliberating the appropriate sanction to be imposed upon a person who has agreed that he is in breach of the Takeovers Code, the Share Repurchase Code or a ruling of the Executive or the Takeovers Panel, a fee, the amount of which shall be determined in accordance with subsection (3), shall be payable to the Commission by the person within 30 days after the delivery by the Takeovers Panel of its ruling. (3) The fee payable under subsection (1) or (2) shall be $50000 and, in addition, $20000 in respect of each day or part of a day in excess of the first 2 days on which the Takeovers Panel meets for the purposes of the hearing in question. Cap 571AF s 8 Fees for miscellaneous applications (1) Subject to subsection (2), where any person applies to the Executive for any ruling under the Takeovers Code or the Share Repurchase Code and no fee is otherwise provided for by these Rules for the application, a fee of $24000 shall be payable by the person to the Commission. (2) Where a fee has been paid under section 5 on the submission of a first draft of a whitewash document, or of a draft in which a first draft of a whitewash document is combined with any first draft of any other document, no fee shall be payable under subsection (1) for an application to the Executive for a waiver in relation to the whitewash document under Note 1 on dispensations from Rule 26 of the Takeovers Code. Cap 571AF s 9 Time for payment of fees (1) The fee prescribed in section 5 shall be payable- (a) in the case of a fee payable under section 5(1), at the time when- (i) subject to subparagraph (ii), the first draft concerned; or (ii) where section 5(6)(a) applies, the draft concerned, is submitted to the Executive; or(b) in the case of a fee payable under section 5(3), at the time when- (i) subject to subparagraph (ii), the revised offer document concerned; or (ii) where section 5(6)(b)(ii) applies, the draft concerned (being the draft as revised to include the revised offer as described in that section 5(6)(b)(ii)), is submitted to the Executive.(2) The fee prescribed in section 6(a) shall be payable at the time when the application concerned is made to the Takeovers Panel or the Takeovers Appeal Committee (as the case may be). (3) The fee prescribed in section 8(1) shall be payable at the time when the application concerned is made to the Executive. Cap 571AF s 10 Fees which under Ordinance are prescribed by rules PART 4 FEES PRESCRIBED FOR PURPOSES OF SECTION 395(1)(b) OF ORDINANCE A fee described in column 2 of Schedule 3 is prescribed, opposite the description, in column 3 of that Schedule. Cap 571AF s 11 Waiver of fees PART 5 MISCELLANEOUS (1) Subject to subsection (2), the Commission may, in relation to any person or class of persons- (a) waive, in whole or in part, the payment of any fee provided for under these Rules; or (b) refund, in whole or in part, any fee paid as provided for under these Rules,if it is of the opinion that otherwise the payment of the fee would be unduly burdensome or inappropriate. (2) The Commission may only- (a) waive the payment of the fee prescribed in item 6 of Schedule 1 to the extent that the fee exceeds $1200; (b) waive the payment of the fee prescribed in item 7 of Schedule 1 to the extent that the fee exceeds $600.(3) Where a corporation, an authorized financial institution or an individual- (a) is, or applies to be, licensed, registered or approved for Type 1 or Type 2 regulated activity under section 116, 119, 120(1), 126 or 127(1) of the Ordinance; and (b) is, or applies to be, licensed, registered or approved for Type 7 regulated activity under section 116, 119, 120(1), 126 or 127(1) of the Ordinance,if the carrying on, or proposed carrying on, of Type 7 regulated activity by the corporation, authorized financial institution or individual (as the case may be) is incidental to the carrying on, or proposed carrying on, of Type 1 or Type 2 (as the case may be) regulated activity by the corporation, authorized financial institution or individual (as the case may be)- |
- 此法规有错误，我来纠正。请点击在此 提交错误内容或者您纠正的内容！