SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES
- CHAPTER 571G

SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES - LONG TITLE  
Empowering section VerDate:01/04/2003



(Cap 571, section 397(1))

[1 April 2003]  L.N. 12 of 2003

(L.N. 191 of 2002)



SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES - SECT 1
(Omitted as spent) VerDate:01/04/2003



(Omitted as spent)



SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES - SECT 2
Interpretation VerDate:01/04/2003



In these Rules, unless the context otherwise requires, "advertisement" (廣
告), "document" (文件) and "invitation" (邀請) have the meanings respectively 
assigned to them by section 102 of the Ordinance.
"advertisement" (廣告)
"document" (文件)
"invitation" (邀請)


SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES - SECT 3
Information to be submitted in respect of advertisement, invitation or document VerDate:01/04/2003



For the purposes of section 110(1) of the Ordinance, the information that 
shall be submitted to the Commission is-

        (a)	information that is-

        (i)	related to the issue of a certificate of deposit or other 
instrument referred to in the advertisement, invitation or document in 
question; and

        (ii)	specified in the Schedule; or

        (b)	where the information specified in the Schedule is not 
applicable in relation to the issue, a statement to that effect.



SECURITIES AND FUTURES (EXEMPTED INSTRUMENTS-INFORMATION) RULES - SCHEDULE  
SCHEDULE VerDate:01/04/2003



[section 3]

INFORMATION TO BE SUBMITTED IN RESPECT OF ADVERTISEMENT,
INVITATION OR DOCUMENT

Item	Information to be submitted
1.	Description of the instrument as issued (stating whether it is 
negotiable/fixed rate/floating rate certificate of deposit/bill of 
exchange/promissory note or another form of instrument)
2.	Name of the issuer
3.	Name of the guarantor
4.	Total amount of the issue or maximum amount of the facility/programme
5.	Currency (stating whether it is denominated in HK$/US$/Euro/￡/A$/NZ$ or 
another currency)
6.	Minimum denomination
7.	Solicitors to the issuer
8.	Deposit date
9.	Maturity date
10.	Interest payments (specifying the intervals at which they are payable, 
e.g. quarterly/semiannually/annually or by reference to another period)
11.	Tenors available under the facility/programme
12.	Terms of the facility/programme
13.	Purchase/issue price
14.	Names of the parties involved (lead 
manager/underwriter/arranger/dealer/others)
15.	Names of the facility agents, issue agents and paying agents
16.	Place and manner of payment at maturity
17.	Status of the obligations of the issuer and guarantor
18.	Governing law