SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - CHAPTER 333F SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - LONG TITLE Empowering section (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - LONG TITLE Empowering section VerDate:30/06/1997 (Cap 333 section 14) [27 August 1976] (L.N. 227 of 1976) SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 1 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 1 Citation VerDate:30/06/1997 These rules may be cited as the Securities (Stock Exchange Listing) (Approved Share Registrar) Rules. (L.N. 9 of 1986) SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 2 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 2 Interpretation VerDate:30/06/1997 In these rules, unless the context otherwise requires- "approved share registrar" (認可股份登記員) means a share registrar who is a member of an association of persons approved, for the purposes of these rules, by the Commissioner under rule 3; "company" (公司) means a company limited by shares whether incorporated in Hong Kong or elsewhere; (L.N. 9 of 1986) "share registrar" (股份登記員) means any person who maintains in Hong Kong the register of members of a company the securities of which are listed on a stock exchange. "approved share registrar" (認可股份登記員) "company" (公司) "share registrar" (股份登記員) SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 3 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 3 Approved share registrars VerDate:30/06/1997 (1) The Commissioner may approve an association of persons as an association each of whose members shall be an approved share registrar for the purposes of these rules. (2) The Commissioner may cancel the approval of any association of persons approved under paragraph (1). (3) The Commissioner shall maintain a list of associations of persons approved under paragraph (1). SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 4 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 4 Securities not to be listed where approved share registrar not employed VerDate:30/06/1997 No application by a company (whenever made) for the listing of its securities on a stock exchange shall, on or after the 1st September 1976, be approved by the stock exchange to which the application was made unless the company is an approved share registrar or employs an approved share registrar as its share registrar. SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 5 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 5 Suspension of dealings in securities listed before 1 September 1976 VerDate:30/06/1997 (1) Where before the 1st September 1976 the securities of a company are listed on a stock exchange and the company on such date is not an approved share registrar or does not employ an approved share registrar, the stock exchange concerned shall suspend dealings in those securities on the 1st December 1976 or on the expiry of the 21 days' notice given under paragraph (2), whichever is the later, unless before then the company becomes an approved share registrar or employs an approved share registrar as its share registrar. (2) Before suspending dealings in the securities of a company under paragraph (1) the stock exchange shall give notice in writing to the company warning the company of its intention to suspend dealings in the securities of the company unless, before the 1st December 1976 or before the expiry of a period of 21 days from the date of the notice, whichever is the later, the company becomes an approved share registrar or employs an approved share registrar as its share registrar. (3) If a stock exchange fails or neglects to give notice to a company under paragraph (2) before the 1st December 1976, the Commissioner may require the stock exchange to give such notice and the stock exchange shall forthwith comply with such requirement, or the Commissioner may himself give 21 days' notice in writing to the company containing a warning similar to that required under paragraph (2) and such notice shall, for the purposes of paragraph (1), be deemed to be a notice under paragraph (2). SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 6 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 6 Suspension of dealing in securities in certain circumstances VerDate:30/06/1997 (1) Where the securities of a company are listed on a stock exchange on or after the 1st September 1976, and thereafter the company ceases either to be an approved share registrar or to employ an approved share registrar, the stock exchange concerned shall suspend dealings in those securities unless within 3 months after the date on which the stock exchange first learned of such cessation or before the expiry of the 21 days notice given under paragraph (2), whichever is the later, the company becomes an approved share registrar or employs an approved share registrar as its share registrar. (2) Before suspending dealings in the securities of a company under paragraph (1) the stock exchange shall give notice in writing to the company warning the company of its intention to suspend dealings in the securities of the company unless, before the date specified in the notice, being the date on which the period of 3 months specified in paragraph (1) expires, or within 21 days from the date of the notice, whichever is the later, the company becomes an approved share registrar or employs an approved share registrar as its share registrar. (3) The Commissioner may require a stock exchange to give notice under paragraph (2) to a company specified in paragraph (1) which has ceased either to be an approved share registrar or to employ an approved share registrar if, in the opinion of the Commissioner, the stock exchange has failed or neglected to do so within a reasonable time, and the stock exchange shall forthwith comply with such requirement. SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 6A (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 6A Power to exempt VerDate:30/06/1997 (1) The Commission may exempt all or any particular class of securities issued by a specified company from all or any of the provisions of these rules. (2) An exemption made under paragraph (1) shall be notified in writing by the Commission to the specified company and to the stock exchange on which the exempted class of securities are, or are intended to be, listed. (3) The Commission may withdraw any exemption made under paragraph (1), and such withdrawal shall be notified in the same manner as an exemption is required to be notified under paragraph (2). (4) Where any securities of a company are listed on a stock exchange and have been exempted under paragraph (1), in the event of a withdrawal under paragraph (3) of the exemption the stock exchange concerned shall suspend dealings in those securities unless at the date of the notification of the withdrawal the company is, or within 3 months after that date the company becomes, an approved share registrar or employs an approved share registrar as its share registrar. (L.N. 307 of 1976) SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 7 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 7 Re-commencement of dealings in securities VerDate:30/06/1997 A stock exchange which has suspended dealings in the securities of any company under rule 5, 6 or 6A shall re-commence dealings in those securities when it is satisfied that the company has become an approved share registrar or has employed an approved share registrar as its share registrar. (L.N. 307 of 1976) SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 8 (Repealed 5 of 2002 s. 406) VerDate:01/04/2003 SECURITIES (STOCK EXCHANGE LISTING) (APPROVED SHARE REGISTRAR) RULES - RULE 8 Appeal against suspension VerDate:30/06/1997 (1) Where a stock exchange suspends dealings in the securities of a company under rule 5, 6 or 6A the company may within 21 days of the suspension appeal in writing to the Commission against the suspension. (L.N. 307 of 1976) (2) An appeal under paragraph (1) shall be accompanied by such submissions in writing as the company wishes to make. (3) On any appeal under paragraph (1), the Commission may- (a) dismiss the appeal; (b) direct the stock exchange to re-commence dealings in the securities; or (c) direct the stock exchange to re-commence dealings in the securities subject to such conditions as the Commission thinks fit.