Hong Kong Regulations

SECURITIES AND FUTURES (CONTRACT NOTES, STATEMENTS OF ACCOUNT AND RECEIPTS) RULES

- CHAPTER 571Q

TABLE OF PROVISIONS

           Long Title

   1.      (Omitted as spent)
   2.      Interpretation
   3.      Application
   4.      Avoidance of duplication
   5.      Preparation and provision of contract notes
   6.      Consolidation of contract notes with daily statements of account
   7.      Information required in all statements of account
   8.      Preparation and provision of daily statements of account relating to
           financial accommodation
   9.      Preparation and provision of daily statements of account relating to
           margined transactions
   10.     Consolidation of daily statements of account
   11.     Preparation and provision of monthly statements of account
   12.     Duty to provide statements of account upon request
   13.     Preparation and provision of receipts
   14.     Duty to provide copies of certain documents
   15.     Language of documents
   16.     Retention of copies
   17.     Provision of documents to clients
   18.     Reporting of non-compliance with certain provisions of these Rules
   19.     Penalties
           SCHEDULE 1


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