CAP. 333]
Securities
[1989 Ed.
(a) effected any dealing through, or made an offer to acquire or dispose of securities to, a registered dealer or a registered dealer's representative, or an exempt dealer or an exempt dealer's representative;
(b) issued a prospectus which complies with, or is exempt from compliance with, Part II of the Companies Ordinance (Cap.32), or in the case of a company incorporated outside Hong Kong, complies with or is exempted from compliance with Part XII of that Ordinance;
(c) issued any document relating to securities of a corporation incorporated in Hong Kong that is not a registered company, being a document which-
(i) would if the corporation were a registered company be a prospectus to which section 38 of the Companies Ordinance (Cap.32) applies, or would apply if not excluded by subsection (5)(b) of that section or by section 38A of that Ordinance; and
(ii) contains all the matters which, by virtue of Part XII of that Ordinance, it would be required to contain if the corporation were a company incorporated outside Hong Kong and the document were a prospectus issued by that company;
(d) issued a form of application for shares or debentures of a company, together with-
(i) a prospectus which complies with, or is exempt from compliance with, Part II of the Companies Ordinance (Cap.32) or, in the case of a company incorporated outside Hong Kong, complies with or is exempt from compliance with Part XII of that Ordinance; or
(ii) in the case of a corporation incorporated in Hong Kong which is not a registered company, a document which contains the matters specified in paragraph (c)(ii);
(e) issued a prospectus which has been approved by the Commission in relation to a mutual fund corporation or unit trust authorized by the Commission under section 15;
(f) issued a form of application for the shares of a mutual fund corporation or the units of a unit trust, being a mutual fund corporation or unit trust which has been authorized by the Commission under section 15, together with a prospectus approved by the Commission;
or of his having as principal, acquired, subscribed for, or underwritten securities, or effected transactions with a person whose business involves the acquisition and disposal, or the holding, of securities (whether as principal or as agent).
(2) The Commission may, on application being made to it in that behalf, approve a prospectus for the purposes of subsection (1)(e).
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