Hong Kong Regulations

SECURITIES AND FUTURES (ACCOUNTS AND AUDIT) RULES - SECT 2

Interpretation

In these Rules, unless the context otherwise requires-

"dealing in securities" (證券交易) has the meaning assigned to it by Part
2 of Schedule 5 to the Ordinance;

"margin client" (保證金客戶) means-

   (a)  in relation to a corporation licensed for dealing in  securities, a
        client to whom the corporation provides securities margin financing;
        or

   (b)  a client of a corporation licensed for securities margin financing;

"systems of control" (監控系統), in relation to a licensed corporation or
an associated entity of an intermediary, means in so far as applicable the
internal controls and trading, accounting, settlement and stock holding
systems it has implemented to ensure its compliance with the provisions
specified in section 4(1)(e).

"dealing in securities" (證券交易)

"margin client" (保證金客戶)

"systems of control" (監控系統)