1964_SECURITIES_(MISCELLANEOUS)_REGULATIONS — Page 5

1988 Ed.] Securities (Miscellaneous) Regulations

[CAP. 333

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[Subsidiary]

Fees

7. (1) The fees set out in the Second Schedule are prescribed for the matters specified therein.

(2) If an applicant withdraws his application for registration or renewal of registration, or, if registration or renewal of registration is refused by the Commissioner, half of the fees paid by the applicant shall be returned to him by the Commissioner.

Change of information

8. The following changes of information are prescribed for the purposes of section 63(1)(b) of the Ordinance-

(a) in every case-

(i) any change of name or business name;

(ii) where there is a change in membership of any stock or commodity futures exchange in Hong Kong or elsewhere, the details of such changes;

(iii) where the registered person becomes a plaintiff or a defendant in a civil litigation, the particulars of the litigation; and

(b) in the case of a registered person who is an individual-

(i) where he is convicted of an offence other than a traffic offence, particulars of the offence including the penalty imposed;

(ii) where he is adjudicated civilly liable for any fraud, misfeasance or other misconduct in connection with the formation or management of any corporation, details of the circumstances including the findings;

(iii) where he is involved in the affairs of any corporation which is being investigated by an inspector or officer appointed under any enactment, details of the circumstances;

(iv) where a bankruptcy petition is served on him, details of the petition;

(c) in the case of a registered person which is a corporation-

(i) where there is a change of the ultimate holding company, details of the change;

(ii) where there is a change in the nominal or issued share capital, details of the change;

(iii) where a winding-up petition is served on the corporation, details of the petition;

(d) in the case of a registered dealing partnership or investment advisers' partnership, where there is a change in the capital distribution of the partners, details of the change.

Representatives to notify changes of address

9. (1) Any dealer's representative or investment representative who changes his business address shall notify the Commissioner of the change.

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