Hong Kong Regulations

SECURITIES AND FUTURES (OFFENCES AND PENALTIES) REGULATION - SCHEDULE SCHEDULE

[section 2]

Item Specified provision Specified penalty

1. Section 3(1) of the Securities and Futures (Miscellaneous) Rules ( Cap  571
sub. leg. U) A fine at level 5 2. Section 4(1) of the
Securities and Futures (Miscellaneous) Rules ( Cap  571 sub. leg. U) A fine at
level 6 3. Section 4(2) of the Securities and Futures (Miscellaneous) Rules (
Cap  571 sub. leg. U) A fine at level 6 4. Section 4(3) of the
Securities and Futures (Miscellaneous) Rules ( Cap  571 sub. leg. U) A fine at
level 6