Hong Kong Regulations

SECURITIES AND FUTURES (INVESTOR COMPENSATION-LEVY) RULES - SECT 2

Interpretation

(Past version on 28/10/2005).
(Past version on 01/04/2003).

In these Rules, unless the context otherwise requires-

"Exchange Company" (交易所)-

   (a)  in relation to a levy payable under Part 2, means the Stock
        Exchange Company;

   (b)  in relation to a levy payable under Part 3, means the Futures
        Exchange Company;

"exemption notice" (豁免付款公告) means a notice published under
section 25(1); (L.N. 108 of 2005)

"levy" (徵費) means a levy payable under Part 2 or Part 3;

"Mini-Hang Seng China Enterprises Index Futures Contract"
(小型恒生中國企業指數期貨合約)
means a futures contract entitled "Mini-Hang Seng China Enterprises Index
Futures Contract" for which the contract specifications are set out in the
rules of the Futures Exchange Company; (L.N. 122 of 2008)

"Mini-Hang Seng Index Futures Contract" (小型恒生指數期貨合約) means
a futures
contract entitled "Mini-Hang Seng Index Futures Contract" for which the
contract specifications are set out in the rules of the Futures Exchange 
Company;

"Mini-Hang Seng Index Options Contract" (小型恒生指數期權合約) means
a futures
contract entitled "Mini-Hang Seng Index Options Contract" for which the
contract specifications are set out in the rules of the Futures Exchange 
Company;

"net asset value" (淨資產值), in relation to the compensation fund, means
the balance after deducting the total liabilities of the compensation fund
from its total assets and, for the purposes of this definition, net asset 
value may be a negative figure; (L.N. 108 of 2005)

"remittance" (轉付) means a payment, by way of remittance, by the Exchange 
Company to the Commission under section 13;

"securities market maker permit" (證券莊家執照) means a permit which is
issued to an exchange participant by the Stock Exchange Company in accordance
with the rules of the Stock Exchange Company to carry out market making
activities in respect of certain securities; (L.N. 122 of 2008)

"stock futures contract" (股票期貨合約) means a futures contract
entitled "Stock Futures Contract" for which the contract specifications are
set out in the rules of the Futures Exchange Company; (L.N. 108 of 2005)

"termination of exemption notice" (終止豁免公告) means a notice
published under section 26(1). (L.N. 108 of 2005) (L.N. 122 of 2008)

"Exchange Company" (交易所)

"exemption notice" (豁免付款公告)

"levy" (徵費)

"Mini-Hang Seng China Enterprises Index Futures Contract"
(小型恒生中國企業指數期貨合約)

"Mini-Hang Seng Index Futures Contract" (小型恒生指數期貨合約)

"Mini-Hang Seng Index Options Contract" (小型恒生指數期權合約)

"net asset value" (淨資產值)

"remittance" (轉付)

"securities market maker permit" (證券莊家執照)

"stock futures contract" (股票期貨合約)

"termination of exemption notice" (終止豁免公告)