Hong Kong Regulations

SECURITIES AND FUTURES (LICENSING AND REGISTRATION) (INFORMATION) RULES - SECT 2

Interpretation

(1) In these Rules, unless the context otherwise requires-

"applicant" (申請人) means the person making an application under the
Ordinance to the Commission;

"basic information" (基本資料) means the information referred to in Part 1
of Schedule 1;

"CE number" (中央編號) means the central entity identification number
assigned by the Commission to an intermediary, a licensed representative or an
associated entity of an intermediary;

"complaints officer" (投訴主任), in relation to an intermediary, means a
person appointed by the intermediary to handle complaints made to the
intermediary;

"controlling person" (控權人), in relation to a corporation, means each of
the directors and substantial shareholders of the corporation;

"criminal investigatory body" (刑事調查機構) means the Hong Kong Police
Force and the Independent Commission Against Corruption established under
section 3 of the Independent Commission Against Corruption Ordinance ( Cap 
204), and public bodies in Hong Kong or elsewhere carrying out criminal
investigations;

"minor offence" (輕微罪行) means an offence punishable by a fixed penalty
under the Fixed Penalty (Traffic Contraventions) Ordinance ( Cap 237), the
Fixed Penalty (Criminal Proceedings) Ordinance ( Cap 240) or the Fixed 
Penalty (Public Cleanliness Offences) Ordinance ( Cap 570), or offence of
similar nature committed in a place outside Hong Kong;

"permanent identity card" (永久性居民身分證) has the meaning assigned
to it by section 1A of the Registration of Persons Ordinance ( Cap 177);

"principal" (主事人) has the meaning assigned to it by section 113 of the
Ordinance;

"regulatory body" (規管機構) includes the Commission, the Monetary
Authority, a recognized exchange company, any professional body or
association, an examination authority, an inspector appointed under any
enactment, and other equivalent bodies or persons in Hong Kong or elsewhere;

"relevant information" (有關資料) means the information referred to in
Part 2 of Schedule 1;

"reporting period" (申報期) means-

   (a)  the period of one year to each anniversary of the date on which a
        person is licensed by the Commission as a licensed corporation or
        licensed representative; or

   (b)  such other period as may be approved by the Commission by notice in
        writing;

"valid business registration certificate" (有效商業登記證) has the
meaning assigned to it by section 2(1) of the Business Registration Ordinance
( Cap  310).

(2) Where a person is a registered institution, a requirement in these Rules
for a person to provide information or particulars (however described) to the
Commission shall be construed as a requirement to provide information or
particulars (however described) only in relation to the businesses which
constitute any regulated activities for which it is registered.

(3) Where an associated entity is an authorized financial institution, a
requirement in these Rules for a person to provide information or particulars
(however described) to the Commission shall be construed as a requirement to
provide information or particulars (however described) only in relation to its
business of receiving or holding client assets in Hong Kong of any
intermediary of which it is an associated entity.

"applicant" (申請人)

"basic information" (基本資料)

"CE number" (中央編號)

"complaints officer" (投訴主任)

"controlling person" (控權人)

"criminal investigatory body" (刑事調查機構)

"minor offence" (輕微罪行)

"permanent identity card" (永久性居民身分證)

"principal" (主事人)

"regulatory body" (規管機構)

"relevant information" (有關資料)

"reporting period" (申報期)

"valid business registration certificate" (有效商業登記證)