【法规名称】
【法规编号】 82455 什么是编号？
【正 文】
第4页 CAP 571 SECURITIES AND FUTURES ORDINANCE
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[接上页] (c) consult any person,shall not apply for all purposes connected with the performance of functions pursuant to, or consequent upon, the written direction. (4) Written directions given under subsection (1) are not subsidiary legislation. Cap 571 s 12 Commission to furnish information The Commission shall, when required by the Financial Secretary, furnish to the Financial Secretary such information as he specifies on the principles, practices and policy it is pursuing or adopting, or proposes to pursue or adopt, in furthering any of its regulatory objectives or performing any of its functions, and the reasons therefor. Cap 571 s 13 Financial year and estimates Division 2-Accounting and financial arrangements (1) The financial year of the Commission commences on 1 April in each year. (2) The Commission shall, not later than 31 December in each financial year of the Commission, submit to the Chief Executive for his approval estimates of its income and expenditure for the next financial year. (3) The Financial Secretary shall cause the estimates as approved pursuant to subsection (2) to be laid on the table of the Legislative Council. Cap 571 s 14 Appropriation For each financial year of the Commission, the Government shall pay to the Commission out of the general revenue the moneys appropriated by the Legislative Council for that purpose. Cap 571 s 15 Accounts and annual report (1) The Commission shall keep proper accounts and records of its transactions. (2) The Commission shall, as soon as reasonably practicable after the end of each financial year of the Commission, prepare financial statements which shall- (a) give a true and fair view of the state of affairs of the Commission as at the end of the financial year and of the results of its operations and cash flows in the financial year; and (b) be signed by the chairman, and one non-executive director, of the Commission.(3) The Commission shall, as soon as reasonably practicable after the end of each financial year of the Commission, prepare a report on its activities during the financial year and send a copy of the report to the Financial Secretary who shall cause a copy thereof to be laid on the table of the Legislative Council. Cap 571 s 16 Auditors and audit (1) The Commission shall, with the approval of the Financial Secretary, appoint auditors. (2) The Commission shall, as soon as reasonably practicable after the end of each financial year of the Commission, submit to the auditors appointed under subsection (1) for audit the financial statements prepared for the financial year under section 15(2). (3) The auditors appointed under subsection (1) shall prepare a report on the financial statements submitted to them under subsection (2) and send the report to the Commission which shall, as soon as reasonably practicable after its receipt, send to the Financial Secretary a copy of the report and a copy of the financial statements to which the report relates. (4) The auditors appointed under subsection (1) shall include in their report a statement as to whether, in their opinion, the financial statements to which the report relates give a true and fair view of the state of affairs of the Commission as at the end of the financial year for which the financial statements are prepared and of the results of its operations and cash flows in the financial year. (5) An auditor appointed under subsection (1) has a right of access at all reasonable times to the books, accounts, vouchers, records and documents kept by the Commission and is entitled to require from the officers of the Commission such information and explanations as he considers necessary for the performance of his duties as auditor. (6) The Financial Secretary shall cause a copy of the report referred to in subsection (3), and a copy of the financial statements to which the report relates, to be laid on the table of the Legislative Council. (7) The Director of Audit or another public officer authorized by the Director under subsection (8) may at any reasonable time- (a) examine any books, accounts, vouchers, records or documents kept by the Commission; and (b) if the Director or the public officer (as the case may be) considers appropriate, make a copy of the whole of, or any entry in, such books, accounts, vouchers, records or documents.(8) The Director of Audit may authorize any public officer to perform any function for the purposes of subsection (7). Cap 571 s 17 Investment of funds The Commission may invest its funds which are not immediately required in the manner that the Financial Secretary approves. Cap 571 s 18 Interpretation of Part III PART III EXCHANGE COMPANIES, CLEARING HOUSES, EXCHANGE CONTROLLERS, INVESTOR COMPENSATION COMPANIES AND AUTOMATED TRADING SERVICES Division 1-Interpretation (1) In this Part, unless the context otherwise requires- "associated person" (相联者), in relation to a person entitled to exercise, or control the exercise of, voting power in relation to, or holding securities in, a corporation- |
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