Hong Kong Regulations

SECURITIES AND FUTURES (KEEPING OF RECORDS) RULES

- CHAPTER 571O

TABLE OF PROVISIONS

           Long Title

   1.      (Omitted as spent)
   2.      Interpretation
   3.      General record keeping requirements for intermediaries
   4.      Record keeping requirements for associated entities
   5.      Particular record keeping requirements for dealing in securities
   6.      Particular record keeping requirements for leveraged foreign exchange
           trading
   7.      Particular record keeping requirements for providing securities margin
           financing or other financial accommodation and entering into margined
           transactions
   8.      Particular record keeping requirements for asset management
   9.      Form in which records are to be kept
   10.     Record retention period
   11.     Reporting of non-compliance with certain provisions of these Rules
   12.     Penalties
           SCHEDULE


[ Note: This table has been automatically generated and may be incomplete. ]