Hong Kong Regulations

SECURITIES AND FUTURES (INVESTOR COMPENSATION-CLAIMS) RULES - SECT 6

Commission may require records

PART 3

PROCESSING OF CLAIMS

(1) The Commission may, by notice in writing served upon a person, require the
person to produce to the Commission originals or copies of such records as the
Commission may reasonably require-

   (a)  in connection with a claim for compensation made under section  4 (1);
        or

   (b)  for the purpose of assisting-

        (i)    the Commission in the exercise of its rights of subrogation
               under section 243 of the Ordinance; or

        (ii)   a recognized investor compensation company in the exercise of
               its rights of subrogation under section 87 of the Ordinance.

(2) A notice under subsection (1) shall specify the records required and the
date by which the person served with the notice is to furnish them to the
Commission.