【法规名称】
【法规编号】 82423 什么是编号？
【正 文】
第2页 CAP 571P SECURITIES AND FUTURES (ACCOUNTS AND AUDIT) RULES
|
[接上页] (ii) sections 4(4), 5, 10(1) and 12 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H);(f) in so far as applicable, during the financial year in question, the licensed corporation or the associated entity (as the case may be) has complied with- (i) sections 3 and 4 of the Securities and Futures (Keeping of Records) Rules (Cap 571 sub. leg. O); (ii) sections 4, 5, 6, 8(4), 10 and 11 of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I); and (iii) sections 4(4), 5, 10(1) and 12 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H); and(g) in the case of a licensed corporation, there appears to have been any contravention of the Securities and Futures (Financial Resources) Rules (Cap 571 sub. leg. N) by the licensed corporation during the financial year in question.(2) A licensed corporation or an associated entity of an intermediary (as the case may be) may submit 2 separate auditor's reports in respect of a financial year, one containing a statement by the auditor concerning the matters referred to in subsection (1)(a), (b) and (c) and the other containing a statement by the auditor concerning the matters referred to in subsection (1)(d), (e), (f) and (g). Cap 571P s 5 Matters reportable by auditors under section 157 of the Ordinance The following provisions are prescribed requirements for the purposes of the definition of "prescribed requirement" in section 157(3) of the Ordinance- (a) sections 3 and 4 of the Securities and Futures (Keeping of Records) Rules (Cap 571 sub. leg. O); (b) sections 4, 5, 6, 8(4), 10 and 11 of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I); (c) sections 4(4), 5, 10(1) and 12 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H). |
- 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！