【法规名称】
【法规编号】 82439 什么是编号？
【正 文】
第4页 CAP 571H SECURITIES AND FUTURES (CLIENT SECURITIES) RULES
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[接上页] (2) An intermediary, or an associated entity of an intermediary, which, with intent to defraud, contravenes section 4(4) or 12 commits an offence and is liable on conviction to a fine at level 6. (3) An intermediary, or an associated entity of an intermediary, which, without reasonable excuse, contravenes section 5 or 10(1) commits an offence and is liable- (a) on conviction on indictment to a fine of $200000 and to imprisonment for 2 years; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months.(4) An intermediary, or an associated entity of an intermediary, which, with intent to defraud, contravenes section 5 or 10(1) 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.(5) In deciding whether or not any dealing with client securities or securities collateral under section 6(1)(c) is unconscionable, the court shall have regard to the factors specified in section 6 of the Unconscionable Contracts Ordinance (Cap 458) as if the standing authority in question were a contract under that Ordinance. |
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