(a) an agent of a person (other than a nominee or trustee)
referred to in paragraph (b) or (c),
in relation to any acquisition, disposal, purchase, sale or holding
of securities or futures contracts, to disclose to it the name
(including any aliases), address and occupation of the person (or
other particulars that are capable of establishing the identity of
the person) from, to or through whom, or on whose behalf, the
securities or futures contracts were acquired, disposed of,
purchased, sold or were or are held, together with the quantity of
securities or futures contracts so acquired, disposed of, purchased,
sold or held, and the instructions given to or by such last-mentioned
person in respect thereof.
(2)
Every registered person who is a dealer within the meaning
of section 2(1) of the Securities Ordinance (Cap. 333) or section
2(1) of the Commodities Trading Ordinance (Cap. 250) shall keep every
record or other document in such form as the Commission may specify
in guidelines under section 4 (2).
who
(3) Where a requirement is made under subsection (1), a person
(a)
without lawful excuse fails to disclose to the Commission
information required to be disclosed under subsection (1)
and which is in his possession or under his control; or