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

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.

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)