Hong Kong Regulations

SECURITIES AND FUTURES (LICENSING AND REGISTRATION) (INFORMATION) RULES,SECURITIES AND FUTURES (LICENSING AND REGISTRATION) (INFORMATION) RULES - SCHEDULE 1

MEANING OF TERMS "BASIC INFORMATION" AND "RELEVANT INFORMATION"

(Past version on 01/04/2003).

[section 2]

PART 1

BASIC INFORMATION

1.	Basic information, in relation to an individual, means, in so 
far as applicable, the following particulars of the individual-
(a)	the title and the full personal name and surname in Chinese and 
English;
(b)	the date and place of birth;
(c)	gender;
(d)	the Chinese commercial code and the number on his identity card 
issued under the Registration of Persons Ordinance (Cap 177), and, if he 
is not the holder of a permanent identity card, the number, the name of 
the issuing agency and the date of expiry, of his passport, travel or 
other document issued by a competent government agency providing proof of 
identity;
(e)	nationality;
(f)	the business, residential and correspondence addresses; and
(g)	the contact telephone and facsimile numbers and electronic mail 
address.

2.	Basic information, in relation to a corporation, means, in so 
far as applicable, the following particulars of the corporation-
(a)	the corporate name and business name in Chinese and English;
(b)	former names and periods during which those names were used;
(c)	the date and place of incorporation;
(d)	the number of its valid business registration certificate;
(e)	in the case of a corporation incorporated outside Hong Kong, 
the date of compliance with the provisions of Part XI of the Companies 
Ordinance (Cap 32) relating to the registration of documents;
(f)	the address of its registered office;
(g)	the addresses of its places of business;
(h)	the correspondence address; and
(i)	the telephone and facsimile numbers, electronic mail address 
and web site address.

PART 2

RELEVANT INFORMATION

1.	Relevant information, in relation to an individual, means 
information on whether or not the individual is or has been, in Hong Kong 
or elsewhere-
(a)	convicted of or charged with any criminal offence (other than a 
minor offence) whether or not evidence of such conviction is admissible in 
proceedings in Hong Kong or elsewhere;
(b)	subject to any disciplinary action or investigation by a 
regulatory body or criminal investigatory body (as the case may be);
(c)	subject to any order of the court or other competent authority 
for fraud, dishonesty or misfeasance;
(d)	a substantial shareholder or director of a corporation or 
business that is or has been subject to any disciplinary action or 
investigation by a regulatory body or criminal investigatory body (as the 
case may be), or involved in the management of such corporation or 
business;
(e)	a substantial shareholder or director of a corporation or 
business that is or has been subject to any order of the court or other 
competent authority for fraud, dishonesty or misfeasance, or involved in 
the management of such corporation or business;
(f)	engaged in any judicial or other proceedings;
(g)	a party to a scheme of arrangement, or any form of compromise, 
with his creditors;
(h)	in default of compliance with any judgement or court order;
(i)	a substantial shareholder or director of a corporation or 
business that was wound up otherwise than by way of a members' voluntary 
winding up, or involved in the management of such corporation or business;
(j)	a partner of a firm which was dissolved other than with the 
consent of all the partners;
(k)	bankrupt or aware of the existence of any matters that might 
render him insolvent or lead to the appointment of a provisional trustee 
of his property under the Bankruptcy Ordinance (Cap 6);  (18 of 2005 s. 48)
(l)	refused or restricted from the right to carry on any trade, 
business or profession for which a specific licence, registration or other 
authorization is required by law;
(m)	a substantial shareholder or director of a corporation that has 
been refused or restricted from the right to carry on any trade, business 
or profession for which a specific licence, registration or other 
authorization is required by law, or involved in the management of such 
corporation; and
(n)	disqualified from holding the office of director.

2.	Relevant information, in relation to a corporation, means 
information on whether or not the person is or has been, in Hong Kong or 
elsewhere-
(a)	convicted of or charged with any criminal offence (other than a 
minor offence) whether or not evidence of such conviction is admissible in 
proceedings in Hong Kong or elsewhere;
(b)	subject to any disciplinary action or investigation by a 
regulatory body or criminal investigatory body (as the case may be);
(c)	subject to any order of the court or other competent authority 
for fraud, dishonesty or misfeasance;
(d)	a substantial shareholder or director of a corporation or 
business that is or has been subject to any disciplinary action or 
investigation by a regulatory body or criminal investigatory body (as the 
case may be), or involved in the management of such corporation or 
business;
(e)	a substantial shareholder or director of a corporation or 
business that is or has been subject to any order of the court or other 
competent authority for fraud, dishonesty or misfeasance, or involved in 
the management of such corporation or business;
(f)	engaged in any judicial or other proceedings;
(g)	a party to a scheme of arrangement, or any form of compromise, 
with its creditors;
(h)	in default of compliance with any judgement or court order;
(i)	a substantial shareholder or director of a corporation or 
business that was wound up otherwise than by way of a members' voluntary 
winding up, or involved in the management of such corporation or business;
(j)	a partner of a firm which was dissolved other than with the 
consent of all the partners;
(k)	(in the case of a corporation other than a registered 
institution) insolvent or aware of the existence of any matters that might 
render it insolvent or lead to the appointment of a liquidator;
(l)	refused or restricted from the right to carry on any trade, 
business or profession for which a specific licence, registration or other 
authorization is required by law; and
(m)	a substantial shareholder or director of a corporation that has 
been refused or restricted from the right to carry on any trade, business 
or profession for which a specific licence, registration or other 
authorization is required by law, or involved in the management of such 
corporation.