【法规名称】
【法规编号】 82399 什么是编号？
【正 文】
CAP 571AB SECURITIES AND FUTURES (INVESTOR COMPENSATION-LEVY) RULES
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(Cap 571, section 244(1)) [1 April 2003] L.N. 12 of 2003 (L.N. 223 of 2002) Cap 571AB s 1 (Omitted as spent) PART 1 PRELIMINARY (Omitted as spent) Cap 571AB s 2 Interpretation In these Rules, unless the context otherwise requires- "Exchange Company" (交易所)- (a) in relation to a levy payable under Part 2, means the Stock Exchange Company; (b) in relation to a levy payable under Part 3, means the Futures Exchange Company;"exchange traded fund" (交易所买卖基金) means a collective investment scheme that- (a) holds portfolios of securities; (b) is designed generally to correspond to the price and yield performance of the underlying portfolios of securities with in kind creation and redemption facilities; and (c) is listed or traded on a recognized stock market operated by the Stock Exchange Company as a single security;"exchange traded funds market maker" (交易所买卖基金庄家) means any person who is registered as an exchange traded funds market maker by the Stock Exchange Company in accordance with the rules of the Stock Exchange Company; "levy" (征费) means a levy payable under Part 2 or Part 3; "Mini-Hang Seng Index Futures Contract" (小型恒生指数期货合约) means a futures contract entitled "Mini-Hang Seng Index Futures Contract" for which the contract specifications are set out in the rules of the Futures Exchange Company; "Mini-Hang Seng Index Options Contract" (小型恒生指数期权合约) means a futures contract entitled "Mini-Hang Seng Index Options Contract" for which the contract specifications are set out in the rules of the Futures Exchange Company; "pilot programme" (试验计划) has the meaning assigned to it by the rules of the Stock Exchange Company; "pilot programme market maker" (试验计划庄家) has the meaning assigned to it by the rules of the Stock Exchange Company; "pilot programme securities" (试验计划证券) means securities that are traded on a recognized stock market operated by the Stock Exchange Company under the pilot programme; "remittance" (转付) means a payment, by way of remittance, by the Exchange Company to the Commission under section 13; "stock futures contract" (股票期货合约) means a futures contract entitled "Stock Futures Contract" for which the contract specifications are set out in the rules of the Futures Exchange Company. Cap 571AB s 3 Application of Part 2 PART 2 LEVY PAYABLE IN RESPECT OF SALE AND PURCHASE OF SECURITIES This Part does not apply in relation to a sale and purchase of securities unless it is recorded on a recognized stock market or notified to a recognized exchange company under its rules. Cap 571AB s 4 Securities Subject to sections 5, 6 and 7, for the purposes of the compensation fund, a levy for a sale and purchase of securities shall be payable to the Commission- (a) by the seller at the rate of 0.002% of the consideration for the sale; and (b) by the purchaser at the rate of 0.002% of the consideration for the purchase. Cap 571AB s 5 No levy on stock options For the purposes of the compensation fund, no levy for a sale and purchase of a stock option shall be payable to the Commission. Cap 571AB s 6 Pilot programme securities For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of pilot programme securities is- (a) in the case of the seller- (i) subject to subparagraph (ii), at the rate of 0.002% of the consideration for the sale; (ii) where the seller is a pilot programme market maker, at the rate of 0% of the consideration for the sale; or(b) in the case of the purchaser- (i) subject to subparagraph (ii), at the rate of 0.002% of the consideration for the purchase; (ii) where the purchaser is a pilot programme market maker, at the rate of 0% of the consideration for the purchase. Cap 571AB s 7 Exchange traded funds For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of an exchange traded fund is- (a) in the case of the seller- (i) subject to subparagraph (ii), at the rate of 0.002% of the consideration for the sale; (ii) where the seller is an exchange traded funds market maker, at the rate of 0% of the consideration for the sale; or(b) in the case of the purchaser- (i) subject to subparagraph (ii), at the rate of 0.002% of the consideration for the purchase; (ii) where the purchaser is an exchange traded funds market maker, at the rate of 0% of the consideration for the purchase. Cap 571AB s 8 Application of Part 3 PART 3 LEVY PAYABLE IN RESPECT OF SALE AND PURCHASE OF FUTURES CONTRACTS This Part does not apply in relation to a sale and purchase of a futures contract unless it is traded on a recognized futures market. Cap 571AB s 9 Futures contracts Subject to sections 10 and 11, for the purposes of the compensation fund, a levy for a sale and purchase of a futures contract shall be payable to the Commission- (a) by the seller in the amount of $0.50; and |
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