【法规名称】
【法规编号】 82455 什么是编号？
【正 文】
第5页 CAP 571 SECURITIES AND FUTURES ORDINANCE
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[接上页] (a) subject to paragraph (c), means any other person in respect of whom that first-mentioned person has an agreement or arrangement, whether oral or in writing, express or implied, with respect to the acquisition, holding or disposal of securities or other interests in that corporation or under which they act together in exercising their voting power in relation to it; (b) subject to paragraph (c), includes, in relation to such provisions of Division 4 as are specified in Part 2 of Schedule 3, a person, or a person belonging to a class of persons, specified in that Part to be an associated person; (c) excludes, in relation to such provisions of Division 4 as are specified in Part 3 of Schedule 3, a person, or a person belonging to a class of persons, specified in that Part not to be an associated person;"controller" (控制人), in relation to a corporation, means any person who is- (a) a shareholder controller of the corporation; or (b) an indirect controller of the corporation;"default proceedings" (违责处理程序) means any proceedings or other action taken by a recognized clearing house under its default rules; "default rules" (违责处理规则), in relation to a recognized clearing house, means the rules of the clearing house required by section 40(2); "defaulter" (违责者) means a clearing participant who is the subject of any default proceedings; "indirect controller" (间接控制人), in relation to a corporation- (a) subject to paragraph (b), means a person in accordance with whose directions or instructions the directors of the corporation or of another corporation of which it is a subsidiary are accustomed or obliged to act; (b) excludes, in relation to such provisions of Division 4 as are specified in Part 4 of Schedule 3, a person, or a person belonging to a class of persons, specified in that Part not to be an indirect controller;"market charge" (市场押记) means a charge, whether fixed or floating, granted in favour of a recognized clearing house- (a) over any property which is held by or deposited with the clearing house; and (b) for the purpose of securing liabilities arising directly in connection with the clearing house's ensuring the settlement of a market contract;"market collateral" (市场抵押品) means any property which is held by or deposited with a recognized clearing house for the purpose of securing liabilities arising directly in connection with the clearing house's ensuring the settlement of a market contract; "relevant corporation" (相关法团) means a corporation of which a relevant recognized exchange controller is a controller; "relevant office-holder" (有关人员) means- (a) the Official Receiver; (b) a person acting in relation to a company as its liquidator, receiver or manager; (c) a person acting in relation to an individual as his trustee in bankruptcy or interim receiver of his property; or (d) a person appointed pursuant to an order for the administration in bankruptcy of an insolvent estate of a deceased person;"relevant recognized exchange controller" (相关认可控制人) means a recognized exchange controller which is a controller of the Stock Exchange Company; "settlement" (交收), in relation to a market contract, includes partial settlement; "shareholder controller" (股东控制人), in relation to a corporation, means any person who, either alone or with any associated person or persons, is entitled to exercise, or control the exercise of, more than 35% of the voting power at any general meeting of the corporation or of another corporation of which it is a subsidiary. (2) Where a charge is granted partly for the purpose specified in the definition of "market charge" in subsection (1) and partly for other purposes, the charge is in Division 3 a market charge in so far as it has effect for that specified purpose. (3) Where any collateral is granted partly for the purpose specified in the definition of "market collateral" in subsection (1) and partly for other purposes, the collateral is in Division 3 market collateral in so far as it has been provided for that specified purpose. (4) In Division 3, a reference to the law of insolvency includes a reference to every provision made by or under- (a) the Bankruptcy Ordinance (Cap 6); (b) the Companies Ordinance (Cap 32); and (c) any other enactment which is concerned with or in any way related to the insolvency of a person.(5) In Division 3, a reference to settlement in relation to a market contract is a reference to the discharge of the rights and liabilities of the parties to the contract, whether by performance, compromise or otherwise. (6) Where there is a reference in this or any other Ordinance to a controller of a recognized exchange company or recognized clearing house (however expressed), the term controller shall be construed in accordance with the provisions of this section. Cap 571 s 19 Recognition of exchange company Division 2-Exchange companies (1) No person shall- |
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