Hong Kong Regulations

LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES - SCHEDULE SCHEDULE

Caution: This is a past version. See the current version here.

[section 2]

LEVERAGED FOREIGN EXCHANGE TRADING ORDINANCE (Cap 451)

LEVERAGED FOREIGN EXCHANGE TRADING (ANNUAL RETURNS) RULES (Cap 451 sub. leg.)

Annual Return for the period from   /   /   to   /   /


WARNING: (1) The accuracy of any statement made in this annual return may be
investigated.

(2) Failure to make a return in accordance with the Rules may constitute
grounds for revocation or suspension of licence under section  11 (2)(b) of
the Leveraged Foreign Exchange Trading Ordinance (the "Ordinance"). Failure to
make a return within the time required by the Rules or furnishing inaccurate
information in a return may constitute grounds for the Commission making an
inquiry under section 12(1) of the Ordinance.

NOTES: (1) Every licence holder under the Ordinance is required to make an
annual return to the Commission on or before each successive anniversary of
the date on which his licence was granted.

(2) In Part B, "director" includes a "shadow director" as defined in section
2(1) of the Ordinance.

(3) This form must be completed in block letters.

(4) Where an item is not applicable, please write "N/A".

PART A: DETAILS OF LICENCE HOLDER

(Please tick the appropriate box.)

□ Licensed Leveraged Foreign Exchange Trader (Do not complete Part C.)

□ Representative (Do not complete Part B.)

1. Name in English: 2. Name in Chinese:
(If applicable) 3. Hong Kong Identity Card number/Passport number: (If
applicable) 4. Business address: 5. Business telephone number: 6. Business fax
number:

PART B: TO BE COMPLETED BY LICENSED LEVERAGED FOREIGN EXCHANGE TRADER

Please indicate by ticking the appropriate column, whether there have been any
changes in the following particulars during the reporting period.

Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not
been notified to the Commission.

Any change? Changes notified to the Commission?
Yes No Yes No Basic Information

1. Name

2. Address(es)-

   (a)  Business address(es)

   (b)  Address(es) where the records and documents relating to the business
        are kept under section 21of the Ordinance

3. Telephone number / fax number

4. Auditor

5. Business bank accounts

Business Activities

6. State whether there has been any change in the nature of business and types
of services provided by the licence holder.

Internal Control Systems

7. State whether there has been any material change in operating and internal
control systems or procedures in the business which may affect compliance with
the relevant legislation, subsidiary legislations or guidelines.

Capital Structure

8. State whether there has been any change in the licence holder's capital
structure (including nominal or issued share capital, debentures etc.).

Directors and Shareholders

9. State whether there has been any change in the licence holder's directors
or substantial shareholders (including but not limited to the licence holder's
responsible director nominated under section 8(b)(ii) of the Ordinance). 10.
State whether there has been any change in directors and/or substantial
shareholders of the ultimate and/or immediate holding company of the licence
holder. 11. State whether there has been any change in the control of the
business of the licence holder other than caused by a change in directors or
shareholders.

Licence and Registration

12. State whether the licence holder, or any of its directors/substantial
shareholders, has been licensed, registered, authorized or permitted to engage
in leveraged foreign exchange trading or deal in currency futures contracts in
any place outside Hong Kong.

13. State whether the licence holder, or any of its directors/substantial
shareholders, has been admitted or has ceased as a member of or refused,
removed or suspended from membership of any association, institute, exchange,
professional or regulatory body in relation to its business(es) in Hong Kong
or elsewhere.

Disciplinary and Investigation History

14. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been disqualified, censured, or disciplined in any way by any
association, institute, exchange, professional body, regulatory body or
disciplinary tribunal established under any enactment in relation to its
business(es) in Hong Kong or elsewhere.

15. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been refused the right or restricted in the right to carry on any
trade, business or profession in Hong Kong or elsewhere.

16. State whether any judgment with a finding of fraud or dishonesty has been
given against the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, in Hong Kong or elsewhere.

17. State whether there are any disciplinary actions or proceedings pending
against the licence holder, or any of its directors/substantial shareholders
or other persons concerned in the management of the licence holder, in
relation to any trade, business or profession carried on by it or him in any
place.

18. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been involved in the management or control of any business(es) in
Hong Kong or elsewhere, which is being or has been investigated in relation to
any offence involving fraud or dishonesty.

19. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been investigated by the police, or by any association, institute,
professional or regulatory body, or by any disciplinary tribunal set up or
inspector or officer appointed under any enactment, in relation to its
business(es) in Hong Kong or elsewhere, except those conducted in the course
of normal monitoring and surveillance with no adverse findings.

20. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been adjudicated by a court in Hong Kong or elsewhere, in
connection with the formation or management of any corporation, civilly liable
for any fraud misfeasance or other misconduct towards that corporation or any
member thereof, or disqualified by order of such court from being a director,
or the equivalent in other jurisdiction.

Financial Status

21. State whether there have been any unsatisfied judgment debts, or any
judgments or court orders for the payment of damages or other sums of money,
made against the licence holder, or any of its directors/ substantial
shareholders, in Hong Kong or elsewhere.

22. State whether the licence holder, or any of its directors/substantial
shareholders, has been a party to a scheme of arrangement or entered into any
form of composition with creditors or had a receiver or administrator
appointed over its or his assets/business(es) in Hong Kong or elsewhere.

23. State whether a petition has been presented to the licence holder, or any
of its directors/substantial shareholders, for winding up its or his
business(es) in Hong Kong or elsewhere.

24. (a) State whether the licence holder, or any of its directors/substantial
shareholders, has been a party to any civil litigation, other than as already
disclosed above, whether as a plaintiff, defendant or otherwise in Hong Kong
or elsewhere.

   (b)  If there are such litigations, please provide the following details in
        respect of each litigation in Part D- N/A N/A N/A N/A

        (i)    Name of plaintiff;

        (ii)   Name of defendant;

        (iii)  Name of third part (if any);

        (iv)   Nature of litigation;

        (v)    Name and place of court where the proceedings commenced; and

        (vi)   Court reference, if any.

Conviction

25. State whether the licence holder, or any of its directors/substantial
shareholders or other persons concerned in the management of the licence
holder, has been charged with or convicted of any offence, other than a
traffic offence, in Hong Kong or elsewhere.

List of Representatives

26. Please provide an updated list of representatives of the licence holder
showing their names, licence numbers and dates of commencement of employment.

N/A

N/A

N/A

N/A

Continuous Professional Training ("CPT")

27. State whether the licence holder has implemented a training programme to
meet the training needs of its licensed representatives (including responsible
directors).
N/A N/A 28. State whether the licence holder has evaluated its training
programme at least once during the last calendar year.
N/A N/A 29. State whether all of the licensed representatives of the licence
holder have attained the required number of CPT hours during the last calendar
year.
N/A N/A 30. State whether the licence holder has maintained sufficient records
as evidence of its training programme and the CPT activities undertaken by its
licensed representatives.
N/A N/A Note: The licence holder may be requested to produce the records for
inspection.

PART C : TO BE COMPLETED BY LICENSED REPRESENTATIVE

Please indicate by ticking the appropriate column, whether there have been any
changes in the following particulars during the reporting period.

Please explain under Part D "SUPPLEMENTARY INFORMATION" if changes have not
been notified to the Commission.

Any change? Changes notified to the Commission?
Yes No Yes No

Personal Information

1. Name

2. Residential address

3. Home telephone number

4. Licensed leveraged foreign exchange trader to whom you are accredited

5. Business address / telephone number / fax number

Directorship

6. State whether there has been any change in your directorship in other
business(es).

Licence and Registration

7. State whether you have been licensed, registered, authorized or permitted
to engage in leveraged foreign exchange trading or deal in currency futures
contracts in any place outside Hong Kong.

8. State whether you have been admitted or have ceased as a member of or
refused, removed or suspended from membership of any association, institute,
exchange, professional or regulatory body in relation to your business(es) in
Hong Kong or elsewhere.

Disciplinary and Investigation History

9. State whether you have been disqualified, censured, or disciplined in any
way by any association, institute, exchange, professional body, regulatory
body or disciplinary tribunal established under any enactment in relation to
your business(es) in Hong Kong or elsewhere.

10. State whether you have been refused the right or restricted in the right
to carry on any trade, business or profession in Hong Kong or elsewhere.

11. State whether any judgment with a finding of fraud or dishonesty has been
given against you in Hong Kong or elsewhere.

12. State whether you are the subject of any pending disciplinary actions or
proceeding in relation to any trade, business or profession in Hong Kong or
elsewhere.

13. State whether you have been involved in the management or control of any
business in Hong Kong or elsewhere, which is being or has been investigated in
relation to any offence involving fraud or dishonesty.

14. State whether you have been investigated by the police, or by any
association, institute, exchange, professional body or regulatory body, or by
any disciplinary tribunal set up or inspector or officer appointed under any
enactment, in relation to your business(es) in Hong Kong or elsewhere, except
those conducted in the course of normal monitoring and surveillance with no
adverse findings.

15. State whether you have been adjudicated by a court in Hong Kong or
elsewhere, in connection with the formation or management of any corporation,
civilly liable for any fraud misfeasance or other misconduct towards that
corporation or any member thereof, or disqualified by order of such court from
being a director, or the equivalent in other jurisdiction.

Financial Status

16. State whether there have been any unsatisfied judgment debts or any
judgments or court orders in Hong Kong or elsewhere, against you requiring the
payment of damages or other sums of money in relation to any trade or business
carried on by you.

17. State whether you have been a party to a scheme of arrangement or entered
into any form of composition with creditors or had a receiver or administrator
appointed over any of your assets / business(es) in Hong Kong or elsewhere.

18. State whether you have been subject to a bankruptcy petition in Hong Kong
or elsewhere whether or not resulting in being adjudicated bankrupt.

19. State whether there has been any corporation (of which you were a
director) which has been wound up other than by means of members' voluntary
winding up.

20. State whether there has been any firm (of which you were a partner) which
has been dissolved other than voluntarily with the consent of all the
partners.

21. (a) State whether you have been a party to any civil litigation, other
than as already disclosed above, whether as a plaintiff, defendant or
otherwise in Hong Kong or elsewhere.

   (b)  If there are such litigations, please provide the following details in
        respect of each litigation in Part D- N/A N/A N/A N/A

        (i)    Name of plaintiff;

        (ii)   Name of defendant;

        (iii)  Name of third party (if any);

        (iv)   Nature of litigation;

        (v)    Name and place of court where the proceedings commenced; and

        (vi)   Court reference, if any.

Conviction

22. State whether you have been charged with or convicted of any offence,
other than a traffic offence, in Hong Kong or elsewhere.

Continuous Professional Training ("CPT")

23. State whether you have attained the required number of CPT hours during
the last calendar year.
N/A N/A 24. State whether you have retained sufficient records of all your CPT
activities undertaken during the last calendar year.
N/A N/A Note: You may be requested to produce the records for inspection.

PART D : SUPPLEMENTARY INFORMATION

(If the space provided is insufficient for your answer, please continue on a
separate sheet of paper, specifying the number of the item to which your
answer relates, and sign and date each such sheet.)

PART ITEM NO. DETAILS (State details of the change and reasons for failure to
notify the Commission.)

PART E: OTHER CHANGES

In the space below, please furnish details of any change in information, other
than as already furnished above, previously given to the Commission in or in
connection with your application for licence.

(If the space provided is insufficient for your answer, please continue on a
separate sheet of paper and sign and date each such sheet.)

PART F: CONFIRMATION STATEMENT

I / We* confirm that the foregoing answers are complete, true and correct to
the best of my / our* knowledge and belief. I / We* understand that any
misstatement or omission of a material fact may constitute misconduct under
section 12(7) of the Ordinance and grounds for revocation or suspension of my
/ the corporation's* licence under section 12(4) of the Ordinance after the
Commission has made an inquiry under section 12(1) of the Ordinance.

_____________________ Signature**
____________________
Signature** _____________________ Name in Block Letters
____________________
Name in Block Letters _____________________ Date ____________________
Date

* Delete whichever is inappropriate.

** In the case of licensed leveraged foreign exchange trader, this form should
be signed by 2 directors, including the responsible director nominated under
section 8(b)(ii) of the Ordinance. (Enacted 1994. L.N. 16 of 2002)