【法规名称】
【法规编号】 82409 什么是编号？
【正 文】
第5页 CAP 571W SECURITIES AND FUTURES (PRICE STABILIZING) RULES
|
[接上页] (i) the type of the relevant securities; (ii) the unit price of the relevant securities; (iii) the quantity or total value of the relevant securities in the transaction; (iv) the date and time of the transaction; and (v) details of the counterparty to the transaction;(d) details of the allocation of relevant securities (name of offeree and amount allotted); and (e) details (so far as known to the stabilizing manager) of transactions other than those which are effected by or in accordance with the instructions of the stabilizing manager at a price above the current stabilizing price for the purposes of determining the maximum price in respect of item 2 of Schedule 2.(3) The register shall- (a) be kept in Hong Kong; or (b) be capable of being brought to, or reconstituted in, Hong Kong within 48 hours of receipt by the stabilizing manager of notification in writing for access from anyone entitled to inspect it under section 14.(4) If the register is not kept in either English or Chinese, it shall be capable of being converted into either language within the 48-hour period referred to in subsection (3). (5) The register shall be maintained for a period of at least 7 years after the end of the stabilizing period. Cap 571W s 14 Inspection of register (1) Subject to subsection (2), where any stabilizing action has been taken in respect of any relevant securities, any offeror of the relevant securities may, within 3 months after the end of the stabilizing period, by giving notification in writing to the stabilizing manager concerned, inspect the register kept and maintained under section 13. (2) Subsection (1) does not entitle an offeror to inspect any part of the register other than the details described in section 13(2)(c)(i), (ii), (iii) or (iv). (3) Without prejudice to section 13(3), the stabilizing manager shall make the part of the register to which an offeror is entitled to inspect under subsection (2) available for inspection within a reasonable time of being notified by the offeror under subsection (1) that he wishes to make the inspection. (4) The Commission may inspect the register and take copies of it at any time and, without prejudice to section 13(3), the stabilizing manager shall make the register available to the Commission or a person authorized in writing by the Commission for the purpose. Cap 571W s 15 Overseas stabilization PART 5 MISCELLANEOUS (1) A person who, in a place outside Hong Kong, commits any conduct in respect of any relevant securities- (a) for the purpose of preventing or minimizing any reduction in the market price of the relevant securities on an overseas stock market; (b) in compliance with provisions specified in Schedule 4 and made by a body or authority also specified in that Schedule; and (c) in relation to an offer of the relevant securities which is governed by and made in accordance with the laws of the country (or the state or territory in a country) of the body or authority specified in Schedule 4,shall be regarded for the purposes of sections 282(1) and 306(1) of the Ordinance as committing the conduct for the purpose referred to in paragraph (a) and in compliance with the other applicable provisions of these Rules. (2) The provisions specified in Schedule 4 are specified as they have effect from time to time. Cap 571W Sched 1 RELEVANT COMMUNICATIONS [sections 2, 3 & 8] Item Communication Relevant notes (see below) 1. Any electronic screen based statement (a), (b), (d) and (e) 2. Press announcement (or other public announcement) (c), (d) and (e) 3. Invitation telex (or similar communication) (b) and (e) 4. Offer document (f) Notes: (a) Item 1 extends to any statement in respect of the offer made by or on behalf of the offeror or the stabilizing manager on screen facilities (whether provided by the stabilizing manager or not) conveying information on prices for a sale or purchase of securities. (b) For items 1 and 3, adequate disclosure is given if the communication contains some indication of the fact that the price of the securities the subject of the offer may be stabilized in accordance with these Rules. For this purpose, a reference to "details of intended stabilization/SFO in [name the relevant offer document]" will be sufficient. (c) For item 2, adequate disclosure is given if the announcement includes a statement of the fact that the price of the securities the subject of the offer may be stabilized in accordance with these Rules. For this purpose, a reference to "the details of the intended stabilization and how it will be regulated under the Securities and Futures Ordinance will be contained in [name the relevant offer document]" or words to similar effect, will be sufficient. (d) Items 1 and 2 only apply to communications made after the later of the following 2 dates- (i) the first public announcement date; or (ii) the 45th day before the first day of the stabilizing period. (e) Items 1, 2 and 3 only apply to communications made prior to the issue of the offer document. |
- 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！