【法规名称】
【法规编号】 82415 什么是编号？
【正 文】
CAP 571T SECURITIES AND FUTURES (INVESTOR COMPENSATION-CLAIMS) RULES
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(Cap 571, section 244(2)) [1 April 2003] L.N. 12 of 2003 (L.N. 215 of 2002) Cap 571T s 1 (Omitted as spent) PART 1 PRELIMINARY (Omitted as spent) Cap 571T s 2 Interpretation In these Rules, unless the context otherwise requires- "appointed day" (指定日期) means the date appointed under section 13; "associated person" (相联者), in relation to a specified person, means- (a) a person employed or otherwise engaged by the specified person; (b) a person who may receive or hold client assets of the specified person under section 164 of the Ordinance; or (c) an employee of the person referred to in paragraph (b);"claimant" (申索人) means a qualifying client who makes a claim under section 4; "default" (违责), in relation to a specified person or an associated person of the specified person, means- (a) the insolvency, bankruptcy or winding up of the specified person or associated person of the specified person; or (b) any breach of trust, defalcation, fraud or misfeasance committed by the specified person or associated person of the specified person,which occurs on or after the appointed day; "qualifying client" (合资格客户), in relation to a specified person, means a person for whom the specified person provides a service but does not include- (a) a licensed corporation; (b) an authorized financial institution; (c) a recognized exchange company, a recognized exchange controller, or a recognized clearing house; (d) a person authorized to provide automated trading services under section 95(2) of the Ordinance; (e) an insurer authorized under section 8 of the Insurance Companies Ordinance (Cap 41); (f) a manager or operator of a collective investment scheme authorized under section 104(1) of the Ordinance; (g) a manager or operator of an arrangement referred to in paragraph (iii) of the definition of "collective investment scheme" in section 1 of Part 1 of Schedule 1 to the Ordinance; (h) a person who is authorized, licensed or exempt by a competent authority in a jurisdiction outside Hong Kong for any activity that in the opinion of the Commission is the same as or similar to any of the activities carried on by a person referred to in paragraphs (a) to (g); (i) an associated person of the specified person- (i) which is a corporation; or (ii) who has committed any breach of trust, defalcation, fraud or misfeasance or assisted in the commission of a default by the specified person or any other associated person of the specified person;(j) the Government or a government of any place outside Hong Kong; and (k) a person in his capacity as a trustee or custodian of a person, scheme or arrangement referred to in paragraphs (a) to (j);"related assets" (有连系资产) means money and other property- (a) which are entrusted to or received by a specified person or an associated person of the specified person; (b) to which a claimant is entitled or in which he has a beneficial interest; and (c) which relates to the- (i) purchase; (ii) sale; (iii) holding; (iv) pledge; (v) adjustment; (vi) exercise; or (vii) expiry, of specified securities or futures contracts;"securities margin financing" (证券保证金融资) has the same meaning as in Part 2 of Schedule 5 to the Ordinance except that paragraph (v) of the definition of that expression does not apply; "specified person" (指明人士) means- (a) an intermediary licensed or registered for dealing in securities or dealing in futures contracts; (b) an intermediary licensed for securities margin financing; or (c) an authorized financial institution which provides securities margin financing;"specified securities or futures contracts" (指明证券或期货合约) means any securities or futures contracts listed or traded or to be listed or traded on a recognized stock market or recognized futures market- (a) which are entrusted to or received by a specified person or an associated person of the specified person; and (b) to which a claimant is entitled or in which he has a beneficial interest;"Tribunal" (审裁处) means the Securities and Futures Appeals Tribunal established by section 216 of the Ordinance. Cap 571T s 3 Notice inviting claims PART 2 CLAIMS FOR COMPENSATION (1) Where the Commission has reason to believe that a specified person or any associated person of the specified person has committed a default, it may publish a notice inviting a qualifying client of the specified person named in the notice who believes he has sustained loss as a result of such default to claim for compensation. Such a notice shall be published in one or more English language newspapers and one or more Chinese language newspapers which are published daily and circulating generally in Hong Kong. (2) A notice published under subsection (1) shall specify a date, not being earlier than 3 months after publication of the notice, on or before which a claim for compensation may be made under section 4. Cap 571T s 4 Making a claim for compensation |
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