【法规名称】
【法规编号】 82425 什么是编号？
【正 文】
第3页 CAP 571O SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES
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[接上页] (c) with whom and on whose behalf the securities or client collateral referred to in paragraph (b) are deposited, showing separately the quantity and market value of- (i) securities deposited for safe custody; and (ii) securities and client collateral deposited as security for, or to facilitate, the provision by it of securities margin financing or other financial accommodation (as the case may be), or the entering into by it of margined transactions; and(d) particulars of clients to whom it provides securities margin financing or other financial accommodation (as the case may be) or with whom or on whose behalf it enters into margined transactions, including particulars in respect of each client showing- (i) the market value and margin value of each description of securities collateral deposited with it; (ii) the aggregate of the market values of such securities collateral; (iii) the aggregate of the margin values of such securities collateral; and (iv) details of margin calls made. Cap 571O s 8 Particular record keeping requirements for asset management For the purposes of section 3(2)(b), an intermediary licensed or registered for asset management which holds client assets shall, in relation to the businesses which constitute that regulated activity, keep such records as are sufficient to show, in respect of each client for whom it holds client assets, particulars of the client's assets and liabilities, including any financial commitments and contingent liabilities. Cap 571O s 9 Form in which records are to be kept PART 3 MISCELLANEOUS (1) An intermediary, or an associated entity of an intermediary, shall keep all records that it is required to keep under these Rules- (a) in writing in the Chinese or English language; or (b) in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language.(2) An intermediary, or an associated entity of an intermediary, shall adopt all reasonably necessary procedures to- (a) guard against falsification of any of the records that it is required to keep under these Rules; and (b) facilitate discovery of any such falsification. Cap 571O s 10 Record retention period Except as otherwise provided in the Ordinance (including any subsidiary legislation made under it), an intermediary, or an associated entity of an intermediary, shall retain- (a) subject to paragraph (b), the records that it is required to keep under these Rules, for a period of not less than 7 years; and (b) in the case of records showing particulars of any of the orders and instructions referred to in section 1(d) of the Schedule, for a period of not less than 2 years. Cap 571O s 11 Reporting of non-compliance with certain provisions of these Rules If an intermediary, or an associated entity of an intermediary, becomes aware that it does not comply with any provision of Part 2 that applies to it, it shall, within one business day thereafter, give written notice of that fact to the Commission. Cap 571O s 12 Penalties (1) An intermediary, or an associated entity of an intermediary, which, without reasonable excuse, contravenes section 3, 4, 9, 10 or 11, commits an offence and is liable on conviction to a fine at level 4. (2) An intermediary, or an associated entity of an intermediary, which, with intent to defraud, contravenes section 3, 4, 9, 10 or 11, commits an offence and is liable- (a) on conviction on indictment to a fine of $1000000 and to imprisonment for 7 years; or (b) on summary conviction to a fine of $500000 and to imprisonment for 1 year. Cap 571O SCHEDULE [sections 3 & 10] RECORDS TO BE KEPT BY INTERMEDIARIES UNDER SECTION 3(2)(a) 1. Records showing particulars of- (a) all money- (i) received by it, whether or not such money- (A) belongs to it; or (B) is paid into accounts maintained by it or on its behalf; and(ii) disbursed by it;(b) all income received by it, whether such income relates to charges made by it for the provision of services, commissions, brokerage, remuneration, interest or otherwise; (c) all expenses, commissions and interest incurred or paid by it; (d) all orders or instructions concerning securities, futures contracts or leveraged foreign exchange contracts that it receives or initiates, including particulars- (i) of each transaction entered into by it or on its behalf to implement any such order or instruction; (ii) identifying with whom or for whose account it has entered into such transaction; and (iii) that enable such transaction to be traced through its accounting, trading, settlement and stock holding systems;(e) all disposals of client securities or client collateral initiated by it, showing in the case of each disposal- (i) the name of the client; (ii) the date on which the disposal was effected; (iii) the name of the intermediary which effected the disposal; (iv) the charges incurred for effecting the disposal; and (v) the proceeds of the disposal and how such proceeds were dealt with;(f) its assets and liabilities, including financial commitments and contingent liabilities; |
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