Hong Kong Regulations

SECURITIES AND FUTURES (ASSOCIATED ENTITIES-NOTICE) RULES - SECT 3

Particulars to be notified on becoming an associated entity

(1) For the purposes of section 165 of the Ordinance, the particulars required
to be provided to the Commission in the event that a licensed corporation or a
registered institution becomes an associated entity of an intermediary are-

   (a)  its name and business name (if different);

   (b)  its CE number;

   (c)  the date it became an associated entity of the intermediary; and

   (d)  the name of the intermediary.

(2) For the purposes of section 165 of the Ordinance, the particulars required
to be provided to the Commission in the event that a corporation other than a
licensed corporation or a registered institution becomes an associated entity
of an intermediary are-

   (a)  its name and business name (if different);

   (b)  the date and place of its incorporation;

   (c)  the address of its registered office;

   (d)  the address of its principal place of business in Hong Kong (if any);

   (e)  its correspondence address;

   (f)  its telephone and facsimile numbers, electronic mail address

(if any) and web site address (if any);

   (g)  the date it became an associated entity of the intermediary;

   (h)  the name of the intermediary;

   (i)  whether it has any executive officers and, if so, the following
        particulars of each of the executive officers-

        (i)    the name of the executive officer;

        (ii)   the Hong Kong identity card number of the executive officer or,
               if he is not the holder of such an identity card, the number,
               the name of the issuing agency and the date of expiry of his
               passport, travel or other document issued by a competent
               government agency providing proof of identity;

        (iii)  his residential address in Hong Kong (if any); and

        (iv)   his correspondence address;

   (j)  the following particulars of each person who is its controlling
        entity-

        (i)    the name of the person;

        (ii)   where the person is an individual- (A) his Hong Kong identity
               card number or, if he is not the holder of such an identity
               card, the number, the name of the issuing agency and the date
               of expiry of his passport, travel or other document issued by a
               competent government agency providing proof of identity; (B)
               his residential address in Hong Kong (if any); and (C) his
               correspondence address; and

        (iii)  where the person is a corporation- (A) if it is registered
               under the Business Registration Ordinance ( Cap 310), its
               business registration number; (B) the address of its principal
               place of business in Hong Kong (if any); and (C) its
               correspondence address;

   (k)  the address of each of the premises where books and records relating
        to client assets of the intermediary, which are received or held by it
        in Hong Kong, are kept;

   (l)  the facts that gave rise to the corporation becoming an associated
        entity of the intermediary;

   (m)  subject to subsection (3), whether it is aware of the existence of any
        matter that might render it insolvent or lead to the appointment of a
        liquidator; and

   (n)  subject to subsection (3), the following particulars in respect of any
        bank account of it that holds, or that has been opened to hold, client
        assets of the intermediary that are received or held by it in Hong
        Kong-

        (i)    the name of the bank with which the account is opened; and

        (ii)   the number of the account.

(3) Where an associated entity that becomes such associated entity is an
authorized financial institution, subsection (2)(m) and (n) does not apply to
it.