【法规名称】
【法规编号】 82455 什么是编号？
【正 文】
第11页 CAP 571 SECURITIES AND FUTURES ORDINANCE
|
[接上页] (a) "stock exchange"; (b) "stock market"; (c) "commodity exchange"; (d) "futures exchange"; (e) "futures market"; (f) "unified exchange"; (g) "united exchange"; (h) "证券交易所"; (i) "股票交易所"; (j) "证券市场"; (k) "股票市场"; (l) "商品交易所"; (m) "期货交易所"; (n) "期货市场"; (o) "联合交易所",or anything which closely resembles any such title. (2) A person who commits an offence under this section 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 5 and to imprisonment for 6 months. Cap 571 s 35 Contract limits and reportable open position (1) Without prejudice to section 398(7) and (8), the Commission may make rules to- (a) prescribe limits on, or conditions relating to, the number of futures contracts which may be held or controlled, directly or indirectly, by any person, whether or not such contracts are traded on a recognized futures market or through the facilities of a recognized exchange company; (b) prescribe limits on, or conditions relating to, the number of options contracts which may be held or controlled, directly or indirectly, by any person, whether or not such contracts are traded on a recognized stock market or recognized futures market or through the facilities of a recognized exchange company; (c) require a person holding or controlling a reportable position to lodge a notice of that reportable position with a recognized exchange company or the Commission; (d) prescribe the manner in which and the period within which a notice of a reportable position is to be lodged; (e) prescribe the information by which a notice of a reportable position is to be accompanied.(2) The Commission shall consult the Financial Secretary before making rules under subsection (1)(e). (3) Subsection (1) does not prohibit the Commission from prescribing different limits or conditions, or different reportable positions, for different types or classes of futures or options contracts, or from exempting specified futures or options contracts. (4) Without limiting the generality of subsection (1) and without prejudice to section 398(7) and (8), the Commission may make rules for the purposes of this section to prohibit a person from- (a) directly or indirectly entering, during a specified period, into transactions of a specified class in excess of a specified amount; or (b) directly or indirectly holding or controlling positions of a specified class in excess of a specified position limit.(5) Rules made under this section may provide that a person who, without reasonable excuse, contravenes any specified provision of the rules that applies to the person commits an offence and is liable to a specified penalty not exceeding- (a) on conviction on indictment a fine at level 6 and a term of imprisonment of 2 years; (b) on summary conviction a fine at level 3 and a term of imprisonment of 6 months.(6) In this section "reportable position" (须申报的持仓量) means an open position in futures or options contracts the number or total value of which is in excess of a number or total value specified by rules made under this section. Cap 571 s 36 Rules by Commission (1) Without prejudice to section 398(7) and (8), the Commission may make rules in respect of the following matters- (a) the listing of securities, and in particular- (i) prescribing the requirements to be met before securities may be listed; (ii) prescribing the procedure for dealing with applications for the listing of securities; (iii) providing for the cancellation of the listing of any specified securities if the Commission's requirements for listing, or the requirements of the undertaking referred to in paragraph (e), are not complied with or the Commission considers that such action is necessary to maintain an orderly market in Hong Kong;(b) the conditions subject to which, and the circumstances in which, a recognized exchange company shall suspend dealings in securities or shall direct that dealings in securities recommence; (c) the procedure for and the method of allotment of any securities arising out of an offer made to members of the public in respect of those securities; (d) persons who may be admitted as an exchange participant of a recognized exchange company; (e) requiring companies the securities of which are listed or accepted for listing to enter into an undertaking in the form prescribed in the rules with a recognized exchange company which may operate a stock market under section 19 to provide such information at such times as may be specified, and to carry out such duties in relation to its securities as may be imposed, in the undertaking; (f) requiring a recognized exchange company which has become aware of any matter which adversely affects, or is likely to adversely affect, the ability of any exchange participant of the company to meet its obligations as an exchange participant, to make a report concerning the matter to the Commission as soon as reasonably practicable after becoming aware of the matter; |
- 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！