43.
Senior Securities Officer
(Administration)
(5-259361) & (5-265986)
Senior Securities Officer
(Finance) (5-259361) & (5-265986)
Senior Securities Officer
(Investigation)
(5-259361) & (5-265986)
Senior Securities Officer
(Legal) (5-259361) & (5-265986)
Departmental Secretary of the Office. General administration work arising from the
Securities Ordinance, the Commodities Trading Ordinance and Rules and Regulations made under the two Ordinances.
Liaison with stock exchanges, the commodity
exchange and the Hong Kong Federation of Stock Exchanges.
Supervision of the Registration Section. Protection of Investors Ordinance.
To act as Chinese spokesman.
Committees
Assistant Secretary, Securities Commission
and Commodities Trading Commission
Accounts and Audit provisione in the Securities Ordinance and Commodities Trading Ordinance. Securities (Accounts and Audit) Regulations, Commodities Trading (Accounts and Audit) Regulations.
Investment and administration of the Stock exchanges Compensation Fund, Commodity Exchange Compensation Fund, Securities Dealers' Deposits and Commodities Dealers' Deposits.
Other ad hoc investigatory duties arising from
Part IX of the Securities Ordinance and
Part V of the Commodities Trading Ordinance. Hong Kong Code on Takeovers and Mergers.
Examination of takeover documents, prospectus etc.
udited accounts of public companies and
registered persons.
Liaison with the Hong Kong Society of
Accountants.
Committees
Assistant Secretary, Takeovers Committee
Investigation of public companies and registered
persons.
Monitoring daily shares price movements. Research and statistics relating to stock
markets.
Companies annual reports.
Liaison with the Legal Department on all legal
problems relating to the Securities Ordinance, Commodities Trading Ordinance end Protection of Investors Ordinance as well as the rules and regulations made under the Ordinances. To prepare drafting instructions and to maintain
liaison with the Legal Department on proposed legislation. and amendments to existing legislation.
To deal with work arising from the Securities
(Amendment) Ordinance on Insider Dealing,
in particular, to service the Insider Dealing Tribunal.