【法规名称】
【法规编号】 82399 什么是编号？
【正 文】
第2页 CAP 571AB SECURITIES AND FUTURES (INVESTOR COMPENSATION-LEVY) RULES
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[接上页] (b) by the purchaser in the amount of $0.50. Cap 571AB s 10 Mini-Hang Seng Index Futures Contracts and Mini-Hang Seng Index Options Contracts For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of a Mini-Hang Seng Index Futures Contract or a Mini-Hang Seng Index Options Contract is- (a) in the case of the seller, in the amount of $0.10; or (b) in the case of the purchaser, in the amount of $0.10. Cap 571AB s 11 Stock futures contracts For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of a stock futures contract or an option on such a contract is- (a) in the case of the seller, in the amount of $0.10; or (b) in the case of the purchaser, in the amount of $0.10. Cap 571AB s 12 Payment of levies PART 4 MANNER OF PAYMENT AND INCIDENTAL MATTERS (1) A person who is liable to pay a levy under these Rules shall pay the levy to the Exchange Company on behalf of the Commission in such manner as may be specified from time to time in the rules of the Exchange Company. (2) The amount of any levy payable under this section is recoverable as a civil debt due to the Commission. Cap 571AB s 13 Exchange Company to collect and remit levy The Exchange Company shall- (a) collect any levy paid to it under section 12; and (b) subject to section 21, pay the levy by way of remittance to the Commission by paying it into such bank account as may be specified by the Commission, on the 15th day of the month following the month of the collection of the levy, or where the 15th day is not a business day, on the next business day. Cap 571AB s 14 Exchange Company to deposit levies in bank pending remittance Pending remittance to the Commission of any levy in accordance with section 13, the Exchange Company shall- (a) hold the levy on behalf of the Commission; and (b) deposit the levy in a bank within the meaning of the Banking Ordinance (Cap 155) as soon as reasonably practicable after collection of the levy. Cap 571AB s 15 Returns relating to remittance (1) Within 7 days after the date of each remittance, the Exchange Company shall furnish to the Commission a return relating to the remittance. (2) A return furnished under subsection (1) shall- (a) be in such form as may be specified by the Commission; (b) be signed by a director of the Exchange Company authorized by the Exchange Company either generally or specifically for that purpose; and (c) contain such information as may be specified by the Commission. Cap 571AB s 16 Adjustment of remittance and returns A return or the amount of remittance to which it relates may be adjusted by the Exchange Company to reflect any error in a previous return or remittance (as the case may be). Cap 571AB s 17 Late remittance charge (1) If the Exchange Company fails to remit any levy when required under these Rules, it shall pay to the Commission a late remittance charge of 2% above the average of the best lending rate respectively quoted by each note-issuing bank within the meaning of section 2 of the Legal Tender Notes Issue Ordinance (Cap 65), on the amount of the levy, calculated on a daily basis commencing on the date of default until the remittance of the levy is made. (2) The late remittance charge payable under subsection (1) and the amount of the levy referred to in subsection (1) are recoverable as a civil debt due to the Commission. (3) The Commission shall pay the late remittance charge paid to it under subsection (1) into the compensation fund. Cap 571AB s 18 Accounts The Exchange Company shall keep proper accounts in respect of all transactions relating to the collection and remittance of levies. Cap 571AB s 19 Inspection of accounts For the purpose of ascertaining whether the Exchange Company is complying or has complied with any provision of these Rules, a person authorized in writing by the Commission may at any reasonable time, upon production of a copy of the authorization, inspect and make copies of the accounts kept under section 18. Cap 571AB s 20 Report (1) The Exchange Company shall, within one month after 31 March in each year or such longer period as may be specified by the Commission either generally or in a particular case, furnish to the Commission a report certifying that the returns furnished under section 15 and relating to all remittances made in the 12 months ending on 31 March in that year are correct and comply with these Rules, and that the levies to which the remittances relate have been paid in accordance with these Rules. (2) The report furnished under subsection (1) shall be- (a) in such form as may be specified by the Commission; and (b) prepared and certified, at the expense of the Exchange Company, by an auditor appointed by the Exchange Company under the Companies Ordinance (Cap 32). Cap 571AB s 21 Refund of levy (1) Where a person has paid a levy, he may apply to the Commission for the refund of such levy on the ground that- (a) he was in fact not liable to pay the levy; or (b) he subsequently became not liable to pay the levy.(2) An application under subsection (1) shall be- (a) in writing; and (b) accompanied by all relevant information.(3) If the Commission is satisfied that an applicant was or became not liable to pay a levy paid by him, it shall refund the levy to the applicant. Cap 571AB s 22 Notification of failure to pay levy Where the Exchange Company is aware that any person has failed to pay a levy payable by him, it shall as soon as reasonably practicable notify the Commission in writing of the failure. Cap 571AB s 23 Provision of information (1) The Commission may by notice in writing require the Exchange Company to provide information specified in the notice relating to the collection, deposit and remittance of levies. (2) Where a notice is given under subsection (1), the Exchange Company shall as soon as reasonably practicable provide the information specified in the notice. |
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