Hong Kong Regulations

SECURITIES AND FUTURES (FINANCIAL RESOURCES) RULES

- CHAPTER 571N

TABLE OF PROVISIONS

           Long Title

   1.      (Omitted as spent)
   2.      Interpretation
   3.      Accounting treatment
   4.      Licensed corporations to maintain financial resources
   5.      Paid-up share capital requirement for licensed corporations
   6.      Liquid capital requirement for licensed corporations
   7.      Calculation of liquid capital and required liquid capital
   8.      Accounting for transactions on trade date basis
   9.      Valuation of proprietary positions, etc.
   11.     No set-off
   12.     Transactions in margined accounts
   13.     Treatment of exercised options contracts
   14.     Assignments
   15.     Treatment of securities borrowing and lending agreements
   16.     Treatment of repurchase transactions
   17.     Computation basis
   18.     Exclusions from liquid assets
   19.     Assets provided to others as security
   20.     Cash in hand and at bank
   21.     Amounts receivable from clients in respect of purchase of and
           subscription for securities
   22.     Amounts receivable in respect of providing securities margin financing
   23.     Amounts receivable from counterparties in respect of dealings in
           securities
   24.     Amounts receivable in respect of dealings in securities by common
           clients
   25.     Amounts receivable from licensed corporations licensed for Type 8
           regulated activity
   26.     Cash provided as security for short selling
   27.     Proprietary positions of licensed corporations
   28.     Amounts receivable from clearing houses, etc.
   29.     Amounts receivable from other dealers in respect of dealings in
           futures contracts and options contracts
   30.     Amounts receivable from clients in respect of purchase of
           exchange-traded options contracts
   31.     Exchange-traded options contracts trading for own account
   32.     Amounts receivable under securities borrowing and lending agreements
   33.     Amounts receivable under repurchase transactions
   34.     Amounts receivable in respect of leveraged foreign exchange trading
   35.     Miscellaneous assets
   36.     Computation basis
   37.     Amounts payable to clients, etc.
   38.     Amounts payable in respect of dealing in securities
   39.     Amounts payable in respect of dealing in securities by common
           clients
   40.     Futures contracts and options contracts dealing, etc.
   41.     Leveraged foreign exchange trading
   42.     Provision of securities margin financing
   43.     Short positions in securities (other than options contracts) and
           specified investments
   44.     Concentrated proprietary positions
   45.     Securities borrowing and lending agreements
   46.     Repurchase transactions
   47.     Net underwriting commitments
   48.     Off-exchange traded derivative contracts
   49.     Interest rate swap agreements
   50.     Foreign exchange agreements
   51.     Introduction of transactions
   52.     Miscellaneous
   53.     Other liabilities
   54.     Licensed corporations to notify Commission of failure to comply with
           these Rules
   55.     Licensed corporations to notify Commission of circumstances relating
           to financial resources and trading activities and to submit returns
           in certain cases
   56.     Licensed corporations to submit returns to Commission
   57.     Licensed corporations to provide information
   58.     Approvals
   59.     Withdrawal of elections made under these Rules
   60.     Transitional
           SCHEDULE 1
           SCHEDULE 2
           SCHEDULE 3
           SCHEDULE 4


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