Hong Kong Regulations

LEVERAGED FOREIGN EXCHANGE TRADING (BOOKS, CONTRACT NOTES AND CONDUCT OF BUSINESS) RULES - SECT 16

Register of representatives and employees

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

(1) A licensed trader shall maintain a register of all of its representatives
and employees.

(2) The register shall include the following particulars with respect to each
representative and employee-

   (a)  the name, residential address and telephone number of each individual;

   (b)  details of that individual's Hong Kong identity card or, if the
        individual is not the holder of an identity card, details of his
        passport, travel or other document issued by a competent government
        agency providing proof of identity;

   (c)  the job title and description of responsibility of each individual;

   (d)  the amount of any charges, commission, brokerage and remuneration to
        which that individual is entitled at each monthly interval or such
        shorter period and the means by which it is paid;

   (e)  the date of becoming or ceasing to be an employee or representative;

   (f)  the name, address and telephone number of every former employer of the
        individual within 5 years immediately preceding the commencement of
        his employment with the licensed trader;

   (g)  the education of the individual; and

   (h)  particulars of every licence in respect of the individual. (Enacted
        1994)