Hong Kong Regulations

SECURITIES AND FUTURES (LICENSING AND REGISTRATION) (INFORMATION) RULES - SCHEDULE 4

PARTICULARS TO BE CONTAINED IN REGISTER

[section 6]

PART 1

PARTICULARS OF LICENSED PERSONS TO BE CONTAINED IN REGISTER

The following particulars in respect of a licensed person shall be contained
in the register-

   (a)  his CE number;

   (b)  the date of grant of the licence under Part V of the Ordinance;

   (c)  in the case of a licensed corporation-

        (i)    its electronic mail address (if any) and web site address (if
               any);

        (ii)   its contact details (including correspondence address,
               telephone and facsimile numbers and electronic mail address) of
               its complaints officer;

        (iii)  whether it holds a licence granted under section 117 of the
               Ordinance; and

        (iv)   a list of its accredited representatives;

   (d)  in the case of a licensed representative-

        (i)    whether he holds a provisional licence granted under section
               120(2) of the Ordinance;

        (ii)   whether he holds a licence granted under section 121 of the
               Ordinance;

        (iii)  whether he is approved as a responsible officer and, if so, the
               regulated activity for which he is responsible; and

        (iv)   the date of accreditation to his principal;

   (e)  the effective date of such conditions (if any) of the licence as the
        Commission contains in the register under section 136(2)(b) of the
        Ordinance;

   (f)  the regulated activity or activities for which the licensed person is
        licensed and the effective date of the approval for the person to
        carry on the regulated activity or activities;

   (g)  whether or not the licence is suspended;

   (h)  the modification or waiver granted (if any), together with such
        particulars as the Commission considers appropriate in relation to any
        condition imposed, and the corresponding effective date; and

   (i)  a record of each public disciplinary action (if any) taken by the
        Commission against him in Hong Kong that is not the subject of a
        pending appeal, or a successful appeal, and the record of each
        disciplinary action is to be kept in the register for a period of 5
        years from the date when the relevant disciplinary action takes
        effect.

PART 2

PARTICULARS OF REGISTERED INSTITUTIONS TO BE CONTAINED IN REGISTER

The following particulars in respect of a registered institution shall be
contained in the register-

   (a)  its CE number;

   (b)  the date of grant of the registration under Part V of the Ordinance;

   (c)  its electronic mail address (if any) and web site address (if any);

   (d)  its contact details (including correspondence address, telephone and
        facsimile numbers and electronic mail address) of its
        complaints officer;

   (e)  the effective date of such conditions (if any) of the registration as
        the Commission contains in the register under section 136(2)(b) of the
        Ordinance;

   (f)  the regulated activity or activities for which the registered
        institution is registered and the effective date of the approval for
        the institution to carry on the regulated activity or activities;

   (g)  whether or not the registration is suspended;

   (h)  the modification or waiver granted (if any), together with such
        particulars as the Commission considers appropriate in relation to any
        condition imposed, and the corresponding effective date; and

   (i)  a record of each public disciplinary action (if any) taken by the
        Commission against it in Hong Kong that is not the subject of a
        pending appeal, or a successful appeal, and the record of each
        disciplinary action is to be kept in the register for a period of 5
        years from the date when the relevant disciplinary action takes
        effect.