Hong Kong Regulations

SECURITIES AND FUTURES (CONTRACT NOTES, STATEMENTS OF ACCOUNT AND RECEIPTS) RULES - SECT 14

Duty to provide copies of certain documents

PART 3

MISCELLANEOUS

(1) Where an intermediary, or an associated entity of an intermediary,
receives a request from a client of an intermediary for a copy of any of the
following documents, it shall, as soon as practicable after receiving the
request, provide the copy to the client-

   (a)  any particular contract note that the intermediary was required to
        provide to the client in accordance with section 5;

   (b)  any particular statement of account that the intermediary was required
        to provide to the client in accordance with section 8, 9, 11 or 12;

   (c)  any particular receipt that the intermediary or associated entity (as
        the case may be) was required to provide to the client in accordance
        with section 13.

(2) If, on an application made by a client of an intermediary, the Commission
so directs, the intermediary or an associated entity of the intermediary (as
the case may be) shall make available for inspection by the client during the
ordinary hours of business of the intermediary or associated entity (as the
case may be) any copy of any contract note, statement of account or receipt
referred to in subsection (1).

(3) This section does not require an intermediary or an associated entity of
an intermediary to provide, or make available for inspection, any copy of any
contract note, statement of account or receipt after the expiration of the
period for which the intermediary or associated entity is required to retain
the copy of that document under section 16.

(4) An intermediary or an associated entity of an intermediary may impose a
reasonable charge for a copy of a document provided by it under subsection
(1).