【法规名称】
【法规编号】 82425 什么是编号？
【正 文】
第4页 CAP 571O SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES
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[接上页] (g) all securities belonging to it, identifying- (i) with whom such securities are deposited; (ii) the date on which they became so deposited; and (iii) whether they are held as security for loans or advances or for any other purpose;(h) all securities held by it but not belonging to it, identifying- (i) for whom such securities are held and with whom they are deposited; (ii) the date on which they became so deposited; (iii) securities which are deposited with another person for safe custody; and (iv) securities which are deposited with another person as security for loans or advances made to it or for any other purpose;(i) all bank accounts held by it, including segregated accounts maintained in accordance with section 4(1) of the Securities and Futures (Client Money) Rules (Cap 571 sub. leg. I); (j) all other accounts held by it; and (k) all off-balance sheet transactions or positions. 2. Records of all contracts (including written agreements with clients) entered into by it. 3. Records evidencing- (a) any authority given to it by a client, 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 (b) any direction given to it by a client 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). 4. In respect of a client who is a professional investor- (a) records showing particulars sufficient to establish that the client is a professional investor; and (b) 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). |
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