TNAG-1943-FCO40-2769-Stock-market-and-exchange-rate-in-Hong-Kong-1989 — Page 295

CAP.333

Securities

Annex 3

1986 Ed.

Regulations

146. (1) The Governor in Council may, after consultation with the Commission, make regulations for all or any of the following matters

(a) (b) (Deleted, 58 of 1985, s. 28)

(c)

(a)

(e)

the class of persons in relation to whom, and the manner and circumstances in which, registered dealers, registered dealing partnerships and registered representatives may deal in securities; (Amended, 58 of 1985, s.28)

dealers'

investment

advisers'

the class of persons in relation to whom, and the manner and circumstances in which, registered investment advisers, registered partnerships and registered investment representatives may carry on business as investment advisers or as investment representatives, as the case may be; (Amended, 58 of 1985, s.28)

prescribing

the

amount of deposit required to be made for the purposes of section 52, and providing for the application of deposits under subsections (3) and (4) of that section;

(E)

requiring

dealing

investment

investment

exhibit

registered dealers, registered

partnerships,

advisers

registered

and registered

certificates

Of

advisers' partnerships to

their

registration at their places of business;

(Amended, 58 of 1985, s.28)

(9)

prescribing

the

notified

information to for the purposes of

be section

63 (1) (b);

(h) (i) (Deleted, 58 of 1985, s.28)

(k)

prescribing

circumstances

the

manner, time, ΟΙ

for

retaining copies of

circulars for the purposes Of section 79(6); (Amended, 58 of 1985, s.28)