【法规名称】
【法规编号】 82425 什么是编号？
【正 文】
第2页 CAP 571O SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES
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[接上页] (iv) reconcile, on a monthly basis, any differences in its balances or positions with other persons, including- (A) the intermediary of which it is an associated entity; (B) recognized exchange companies; (C) clearing houses; (D) other intermediaries; (E) custodians; and (F) banks, and show how such differences were resolved; and(v) demonstrate- (A) compliance by it with sections 4, 5, 6, 8(4), 10 and 11 of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I); (B) compliance by it with sections 4(4), 5, 10(1) and 12 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H); and (C) that it has systems of control in place to ensure compliance with all of the provisions referred to in sub-subparagraphs (A) and (B);(b) keep those records in such manner as will enable an audit to be conveniently and properly carried out; and (c) make entries in those records in accordance with generally accepted accounting principles.(2) Without limiting the generality of subsection (1)(a), the records referred to in that subsection shall, where applicable, include- (a) contracts entered into by it; (b) where the client in question is a professional investor- (i) records showing particulars sufficient to establish that the client is a professional investor; and (ii) any notice given by it to the client or agreement by the client with it referred to in section 3(2) of the Securities and Futures (Contract Notes, Statements of Account and Receipts) Rules (Cap 571 sub. leg. Q);(c) records evidencing any authority given to it by the client in question, including any standing authority referred to in section 4 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) or section 8 of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I) and any renewal of such authority; and (d) records evidencing any direction given to it by the client in question as referred to in section 6 of the Securities and Futures (Client Securities) Rules (Cap 571 sub. leg. H) or section 7 of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I). Cap 571O s 5 Particular record keeping requirements for dealing in securities Division 2-Particular rules for intermediaries (1) For the purposes of section 3(2)(b), an intermediary licensed or registered for dealing in securities shall, in relation to the businesses which constitute that regulated activity, keep, where applicable, such records as are sufficient to show separately particulars of all underwriting and sub-underwriting transactions entered into by it, including particulars showing the dates on which it entered into such transactions. (2) In this section, "dealing in securities" (证券交易) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance. Cap 571O s 6 Particular record keeping requirements for leveraged foreign exchange trading For the purposes of section 3(2)(b), a licensed corporation licensed for leveraged foreign exchange trading shall, in relation to the businesses which constitute that regulated activity, keep, where applicable, such records as are sufficient to show- (a) in relation to each recognized counterparty with which it conducts any transaction in leveraged foreign exchange contracts, particulars sufficient to establish that the recognized counterparty is a recognized counterparty; and (b) for each business day- (i) the market value of each open position held at the end of that day for its own account and the accounts of each of its clients and recognized counterparties; (ii) for each leveraged foreign exchange contract executed by it- (A) the bid and offer prices quoted by it to the client; (B) the price at which the contract is executed; and (C) the bid and offer prices at the time of execution of the contract as quoted and disseminated to the public, or to subscribers, by a reputable financial information services organization; and(iii) the interest rate differentials which are charged or paid by it for being long or short, one currency against another. Cap 571O s 7 Particular record keeping requirements for providing securities margin financing or other financial accommodation and entering into margined transactions (1) This section applies to the following intermediaries- (a) a licensed corporation licensed for securities margin financing; (b) an intermediary which provides to its clients financial accommodation other than securities margin financing; and (c) an intermediary which enters into margined transactions.(2) For the purposes of section 3(2)(b), an intermediary to which this section applies shall, in relation to its activities as referred to in subsection (1), keep, where applicable, such records as are sufficient to show- (a) its margin policy and lending policy; (b) all securities and client collateral deposited with another person under an arrangement that confers on it a collateral interest in the securities or client collateral; |
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