Senior Securities Officer
(Techrical) (5-259361) & (5-265986)
Senior Securities Officer
(Unit Trusts) (5-259361) & (5-265986)
:
Securities Officers (Finance) 1 and 2 (5-259361) & (5-265986)
Securities Officer
(Investigation)
(5-259361) & (5-265986)
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Clerk to the Disciplinary Committees established under the Securities Ordinance and Commodities Trading Ordinance.
Legal aspect of prospectuses and documents
of takeovers, capital issues, etc.
To liaise with the Law Draftsman and prepare
drafting instructions for the proposed
new legislation relating to the establishment. of a unified exchange.
Implementation of recommendations in the
Second Report of the Companies Law Revision Committee.
To prepare a series of detailed working papers on various aspects of the establishment of a unified exchange for discussion with the existing 4 exchanges including:-
(a) articles and Memorandum of Association; (b) Trading Rules and Bye-laws;
(c) Listing requirements;
(d) the establishment of the trading hall; and (e) admission to membership of the new exchange.
Hong Kong Code on Unit Trusts and Mutual Funds,
unit trusts and mutual funds documents. Discussions with applicants and their solicitors
drawing up the Trust Deeds.
Preparing papers seeking formal authorisation
of the Unit Trust for consideration by the Securities Commission, and granting formal authorisation to the Trust.
Committees
Secretary to Committee on Unit Trusts.
Reports to Senior Securities Officer
(Finance) on:
Administration of the Stock Exchanges Compensation Fund, Commodity Exchange
Compensation Fund, Securities Dealers'
Desposits and Commodities Dealers' Deposits. Securities (Accounts and Audit) Regulations
Commodities Trading (Accounts and Audit)
Regulations
Audited accounts of registered persons
Other ad hoc investigatory duties arising from
Part IX of the Securities Ordinance and Part V of the Commodities Trading Ordinance.
Reports to Senior Securities Officer
(Investigation) on:
investigation of public companies and
registered persons.
monitoring of daily shares price movements.
proper keeping of statistics relating to
share prices.
supervision of the public companies registry.