Hong Kong Regulations

SECURITIES AND FUTURES (CLIENT SECURITIES) RULES

- CHAPTER 571H

TABLE OF PROVISIONS

           Long Title

   1.      (Omitted as spent)
   2.      Interpretation
   3.      Application
   4.      Requirements in respect of a client's standing authority
   5.      Requirement for deposit or registration of client securities and
           securities collateral
   6.      Dealings with client securities and securities collateral
   7.      Treatment of client securities and securities collateral by
           intermediaries licensed or registered for dealing in securities and
           their associated entities
   8.      Treatment of securities collateral by intermediaries licensed for
           securities margin financing and their associated entities
   8A.     Repledging Limit
   9.      Treatment of securities collateral by intermediaries licensed or
           registered for dealing in futures contracts and their associated
           entities
   10.     Limitations on the treatment of client securities and securities
           collateral
   11.     Approval of custodians for safe custody of client securities and
           securities collateral
   12.     Reporting of non-compliance with certain provisions of the Rules
   13.     Penalties
   14.     Transitional


[ Note: This table has been automatically generated and may be incomplete. ]