【法规名称】
【法规编号】 82415 什么是编号？
【正 文】
第2页 CAP 571T SECURITIES AND FUTURES (INVESTOR COMPENSATION-CLAIMS) RULES
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[接上页] (1) Where a qualifying client of a specified person sustains a loss- (a) as a result of a default committed on or after the appointed day by- (i) the specified person; or (ii) an associated person of the specified person;(b) in relation to- (i) specified securities or futures contracts; or (ii) related assets,the qualifying client may claim compensation from the compensation fund in respect of such loss. (2) A claim under subsection (1) may include a claim for the costs reasonably incurred in and incidental to the making and proving of the claim. (3) A claim under subsection (1) shall be lodged with the Commission- (a) if a notice under section 3(1) has been published, on or before the date specified in the notice; or (b) if no such notice has been published, within 6 months after the day the claimant first became aware of the default giving rise to the claim.(4) A claim which is not lodged within the time limit provided in subsection (3) is barred, unless the Commission determines otherwise. Cap 571T s 5 Submission of claims (1) Subject to subsection (2), a claim under section 4(1) shall be- (a) lodged in the form specified by the Commission under section 402(1) of the Ordinance for the purposes of this section; (b) completed and signed in accordance with such directions and instructions as are included in the form; and (c) accompanied by such documents as are specified in the form.(2) The Commission may accept a claim lodged otherwise than in accordance with subsection (1). Cap 571T s 6 Commission may require records PART 3 PROCESSING OF CLAIMS (1) The Commission may, by notice in writing served upon a person, require the person to produce to the Commission originals or copies of such records as the Commission may reasonably require- (a) in connection with a claim for compensation made under section 4(1); or (b) for the purpose of assisting- (i) the Commission in the exercise of its rights of subrogation under section 243 of the Ordinance; or (ii) a recognized investor compensation company in the exercise of its rights of subrogation under section 87 of the Ordinance.(2) A notice under subsection (1) shall specify the records required and the date by which the person served with the notice is to furnish them to the Commission. Cap 571T s 7 Determination by Commission (1) The Commission shall, in relation to a claim for compensation, determine- (a) whether there has been a default by the specified person concerned or any associated person of the specified person; (b) the date of the default (if any); and (c) whether the claimant is entitled to compensation from the compensation fund.(2) If the Commission determines that- (a) there has been a default by a specified person or any associated person of the specified person; and (b) the claimant is entitled to compensation from the compensation fund,the Commission shall determine a provisional amount of compensation in accordance with subsection (3). (3) The provisional amount of compensation referred to in subsection (2) shall be determined by the Commission having regard to- (a) the market value, as at the date of the default, of the specified securities or futures contracts and of any related assets that the Commission is satisfied the claimant has lost as a result of the default less- (i) any amount that the Commission is satisfied was due from the claimant to the specified person; and (ii) any specified securities, futures contracts or related assets that have been returned to the claimant after the date of the default; and(b) any costs that the Commission is satisfied were reasonably incurred by the claimant incidental to the making and proving of his claim for compensation under section 4. Cap 571T s 8 Notice of determination (1) Subject to subsection (2), where the Commission makes a determination under section 7, it shall issue a notice of determination to the claimant as soon as practicable thereafter. (2) The Commission shall not issue a notice of determination specifying a provisional amount of compensation that is less than the compensation claimed unless it has given the claimant a reasonable opportunity of being heard and, where the Commission decides to issue such a notice, it shall give its reasons in the notice of determination. (3) Where the Commission determines that compensation should be paid to a claimant, it shall specify the following in the notice of determination- (a) the name of the person found to be in default; (b) the date of the default; (c) the provisional amount of compensation as determined under section 7; (d) any relevant specified securities or futures contracts or related assets; and (e) the amount of compensation payable under these Rules. Cap 571T s 9 Payment of compensation (1) Subject to subsection (2) and section 11, the following amounts shall be paid out of the compensation fund- (a) any compensation payable to a claimant as specified in the notice of determination under section 8(3)(e); |
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