【法规名称】
【法规编号】 82407 什么是编号？
【正 文】
第4页 CAP 571X SECURITIES AND FUTURES (DISCLOSURE OF INTERESTS-SECURITIES BORROWING AND LENDING) RULES
|
[接上页] (4) An approval under subsection (1) shall be subject to compliance by the applicant corporation with section 9 and such reasonable conditions as the Commission may impose from time to time. (5) Where the Commission refuses an application of an applicant corporation under subsection (3), the Commission shall notify the applicant corporation in writing of the decision and the reasons for refusal. (6) Where the Commission is satisfied that it is appropriate to do so the Commission may, by notice in writing serve on the corporation approved under subsection (1), withdraw its approval with effect from the date specified in the notice. Cap 571X s 9 Records to be kept by an approved lending agent (1) Where- (a) qualified shares are transferred or delivered by a person to an approved lending agent, as referred to in section 5(3)(a); (b) shares become qualified shares, as referred to in section 5(3)(b); (c) an approved lending agent lends qualified shares, as referred to in section 5(3)(c); (d) qualified shares are returned to the approved lending agent, as referred to in section 5(3)(d); (e) qualified shares held by, or on behalf of, an approved lending agent cease to be qualified shares, as referred to in section 5(3)(e); (f) qualified shares are returned to a person, as referred to in section 5(3)(f); or (g) an approved lending agent ceases to have a subsisting right to require the return of qualified shares, as referred to in section 5(4)(b),the approved lending agent shall, within 3 business days after the occurrence of the event, make a record of the event. (2) A record made under subsection (1) shall contain the following particulars- (a) the date of the occurrence of the event; (b) the description and quantity of the shares or qualified shares which are the subject of the event; and (c) (in the case of an event referred to in subsection (1)(c), (d), and (g)) the value of any collateral given, taken, returned or given up (as the case may be) in the event.(3) An approved lending agent shall- (a) retain the record made under subsection (1) for not less than 3 years after the last day of the period within which the record is required to be made; and (b) if requested by the Commission at any time within 3 years after the last day of the period within which the relevant record is required to be made, provide such record to the Commission within 5 business days after the date of the request. Cap 571X s 10 Records to be kept by a regulated person (1) Where- (a) shares are borrowed by a regulated person, as referred to in section 7(1)(a)(i); (b) shares are returned to a regulated person, as referred to in section 7(1)(b)(i); (c) shares are used for a prescribed purpose by a regulated person, or by a related corporation of the regulated person, within 5 business days after the date on which the shares are acquired or returned (as the case may be), as referred to in section 7(1)(a)(ii) or (b)(ii); or (d) shares- (i) borrowed by a regulated person, as referred to in section 7(1)(a)(i); or (ii) returned to a regulated person, as referred to in section 7(1)(b)(i), are not used for a prescribed purpose by the regulated person, or by a related corporation of the regulated person, within 5 business days after the date on which the shares are acquired or returned (as the case may be),the regulated person shall, within 3 business days after the occurrence of the event, make a record of the event. (2) A record made under subsection (1) shall contain the following particulars- (a) the date of the occurrence of the event; (b) the description and quantity of the shares which are the subject of the event; and (c) the value of any collateral given, taken, returned or given up (as the case may be) in the event.(3) A regulated person shall- (a) retain the record made under subsection (1) for not less than 3 years after the last day of the period within which the record is required to be made; and (b) if requested by the Commission at any time within 3 years after the last day of the period within which the relevant record is required to be made, provide such record to the Commission within 5 business days after the date of the request. |
- 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！