1973-HKRS28-16-21_Part02 — Page 42

!.

HONG KON

No. 20 or 1973

I assent.

M

Governor,

1st March, 1973,

1

New Labe

An Ordinance to regulate the establishment and operation of

stock exchanges in Hong Kong.

[2nd March, 1973)

Enacted by the Governor of Hong Kong, with the advice and

consent of the Legislative Council thereof.

1. This Ordinance may be cited as the Stock Exchanges Short fille. Control Ordinance 1973.

2. In this Ordinance, unless the context otherwise requires- Interpretation. "dealer” means a person who carries on a business of dealing in securities, whether he carries on any other business or not; "dealing in securities" means (whether as principal or agent) making or offering to make with any person, or inducing or attempting to induce any person to enter into or offer to enter into-

(a) any agreement for or with a view to acquiring, disposing

of, subscribing for, or underwriting securities; or (b) any agreement a purpose of which is to secure a profit to any of the parties from the yield of securities or by reference to fluctuations in the value of securities;