Executive Director, Corporate Finance
Securities and Futures Commission
Main Operating Divisions
Executive
Director, Exchanges Supervision
Two A/Ds
A/D
Stock
Exchange Supervision
Chairman
A/D Futures Exchange Supervision
Executive Director,
Licensing +
Supervision of intermediaries
Executive Director, Compliance
A/D
Investment Products (Note 2)
Two A/D8
Two A/Ds
Now
25007
Listing requirementa
Takeovers i mergers
Observance of Corporate
disclosure require-
ments
Chairman, Takeover
CommiLLee
Monitoring of
SENK
Clearing louse
supervision SEUK rules Conduct of
business of
securities
dealers
(Including
non-SEJIK members)
Compensation
sechemes
Monitoring of
IIK FE
+ clearing house + guarantee corporation HKFE rules Conduct of
business of futures dealers + advisers Compensation
schemes
Unit Trusta +
Mutual Funda Provident Funds Insurance
1inked investments Other investment arrangements
Conduct of business
of investment advisers/managers
Compensation schemes Chairman,
Committee on Unit Trusts
Licensing +
renewal of
all intermediaries (dealers, brokers + investment
advisers and
managers)
Licensing
regulations/
procedures
Financial resources
rules for
registered persons Auditing of
registered
persons
Market.
surveillance Investigations
and
inspectiona Support on
prosecutions
Noles (1) A/D
(2)
=
Assistant Director
The Investment Products Unit may report to another one of the Executive Directors, depending on relevance of experience.
Annex G
Page 315Page 316