【法规名称】
【法规编号】 82407 什么是编号？
【正 文】
第3页 CAP 571X SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS-SECURITIES BORROWING AND LENDING) RULES
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[接上页] (b) in the case of a failure to comply with section 9(3)(a), on the first day that the approved lending agent fails to retain the record; or (c) in the case of a failure to comply with section 9(3)(b), on the last day of the period within which the approved lending agent is required to provide the record,and subsections (1) and (2) shall not apply to any interest of the approved lending agent in qualified shares after that day. Cap 571X s 6 Exclusion of certain particulars to be specified in notification Where a duty of disclosure arises under section 310 of the Ordinance in the circumstances specified in section 5(4), an approved lending agent or a person referred to in section 5(2)(if any) shall, in performing the duty of disclosure, only specify in the notification given under section 324 of the Ordinance its or his name and address, and (so far as it or he is aware) the particulars specified- (a) (in the case of an approved lending agent) in section 326(1)(a), (b), (d), (e) and (k) of the Ordinance; and (b) (in the case of a person referred to in section 5(2)) in section 326(1)(a), (b), (d), (e), (g), (i) and (k) of the Ordinance. Cap 571X s 7 Prescribed interests and short positions in shares of a regulated person to be disregarded for the purpose of notification (1) Subject to subsections (2), (3) and (4), the following interests or classes of interests, and short positions or classes of short positions, are prescribed for the purposes of section 323 of the Ordinance- (a) an interest or short position in the shares of a regulated person where the shares- (i) have been borrowed by the regulated person under a relevant agreement; and (ii) are used, or are intended to be used, by the regulated person or by a related corporation of the regulated person within 5 business days after the date on which the shares were acquired by the regulated person for a prescribed purpose; and(b) an interest or short position in the shares of a regulated person where the shares- (i) in the case where shares have been lent by the regulated person under a relevant agreement to a borrower, are returned to the regulated person under the relevant agreement by the borrower; and (ii) are used, or are intended to be used, by the regulated person or by a related corporation of the regulated person within 5 business days after the date on which the shares were returned to the regulated person for a prescribed purpose.(2) Where the shares are not used for a prescribed purpose by the regulated person, or by a related corporation of the regulated person, within the period of 5 business days as specified in subsection (1)(a)(ii) or (b)(ii), the regulated person is taken to have acquired an interest or come to have a short position (as the case may be) in the shares for the purposes of Divisions 2 to 5 of Part XV of the Ordinance on the last day of that period. (3) Where the shares are used for a purpose, other than a prescribed purpose, by the regulated person, or by a related corporation of the regulated person, within the period of 5 business days as specified in subsection (1)(a)(ii) or (b)(ii), the regulated person is taken to have acquired an interest or come to have a short position (as the case may be) in the shares for the purposes of Divisions 2 to 5 of Part XV of the Ordinance on the day that the shares are used for that purpose. (4) If a regulated person fails to comply with any requirement imposed under section 10, all interests and short positions of the regulated person in shares that are interests and short positions prescribed under subsection (1) shall cease to be such prescribed interests and short positions and the regulated person is taken, for the purposes of Divisions 2 to 5 of Part XV of the Ordinance, to have acquired an interest and come to have a short position in the shares- (a) in the case of a failure to comply with section 10(1), on the last day of the period within which the regulated person is required to make the record; (b) in the case of a failure to comply with section 10(3)(a), on the first day that the regulated person fails to retain the record; or (c) in the case of a failure to comply with section 10(3)(b), on the last day of the period within which the regulated person is required to provide the record,and subsection (1) shall not apply to any interest or short position in shares of the regulated person after that day. Cap 571X s 8 Approved lending agents (1) The Commission may, upon application by a corporation, approve in writing, the corporation as an approved lending agent for the purposes of these Rules. (2) An application under subsection (1) shall be made in a form specified by the Commission and be accompanied by- (a) such information and particulars as the Commission may reasonably require; and (b) an application fee prescribed by rules made under section 395 of the Ordinance for the purposes of this section.(3) The Commission may refuse to approve an applicant corporation as an approved lending agent. |
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