TNAG-1943-FCO40-2769-Stock-market-and-exchange-rate-in-Hong-Kong-1989 — Page 121

(5) For the purposes of

this section "misconduct"

means

-

(a)

any failure to comply

with the requirements

of this Ordinance or

the Securities and

Futures Commission

Ordinance 1989 ( of

1989) or any

regulations made

thereunder with

respect to dealers,

commodity trading

advisers, dealers'

representatives or

commodity trading

advisers'

representatives, as

the case may be;

(b)

any failure to

observe the terms and

conditions of a

certificate of

registration;