1964_SECURITIES_AND_FUTURES_COMMISSION_ORDINANCE — Page 4

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CAP. 24]

Securities and Futures Commission

[1989 Ed.

Section

PART IV

ADDITIONAL REGISTRATION REQUIREMENTS

Page 23

23. Applications under section 51 of Securities Ordinance or section 30 of Commodities Trading Ordinance: supplementary provisions

24. Applicant under Securities Ordinance or Commodities Trading Ordinance to furnish information to Commission

25. Certificates of registration to continue in force

26. Section 23(2) and (3) to apply to inquiries under section 56 of Securities Ordinance or section 36 of Commodities Trading Ordinance

27.

28. Registered persons to notify Commission where records etc. kept .........

Financial resources rules

29. Modification of financial resources rules in particular cases

PART V

REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.

Information relating to transactions

30. Supervision

31.

32.

33.

34. Returns

35. Certification to High Court relating to non-compliance under section 30 or 31

Investigations

Production of computerized information

36. Magistrate's warrant

37. Destruction etc. of documents

38. Powers of intervention

39. Restriction of business

40. Restriction on dealing with assets

41. Maintenance of assets

42. Provisions relating to notices under section 39, 40, 41 or 43..........

43. Withdrawal, substitution or variation of notices under section 39, 40 or 41

44. Appeals against notices under this Part

45.

46. Winding-up orders

Receiving orders

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CAP. 24] Securities and Futures Commission [1989 Ed. Section PART IV ADDITIONAL REGISTRATION REQUIREMENTS Page 23 23. Applications under section 51 of Securities Ordinance or section 30 of Commodities Trading Ordinance: supplementary provisions 36 24. Applicant under Securities Ordinance or Commodities Trading Ordinance to furnish information to Commission 40 25. Certificates of registration to continue in force 40 26. Section 23(2) and (3) to apply to inquiries under section 56 of Securities Ordinance or section 36 of Commodities Trading Ordinance 42 27. 28. Registered persons to notify Commission where records etc. kept ......... Financial resources rules 42 46 29. Modification of financial resources rules in particular cases 48 PART V REGULATION OF REGISTERED PERSONS' BUSINESS, ETC. Information relating to transactions 30. Supervision 31. 32. 33. 34. Returns 35. Certification to High Court relating to non-compliance under section 30 or 31 Investigations Production of computerized information 36. Magistrate's warrant 56 62 54 52 50 64 64 37. Destruction etc. of documents 66 68 38. Powers of intervention 68 39. Restriction of business 70 40. Restriction on dealing with assets 70 41. Maintenance of assets 42. Provisions relating to notices under section 39, 40, 41 or 43.......... 72 43. Withdrawal, substitution or variation of notices under section 39, 40 or 41 74 44. Appeals against notices under this Part 74 45. 46. Winding-up orders Receiving orders 74 76

Baseline (Original)

4 CAP. 24] Securities and Futures Commission [1989 Ed. Section PART IV ADDITIONAL REGISTRATION REQUIREMENTS Page 23. Applications under section 51 of Securities Ordinance or section 30 of Commodities Trading Ordinance: supplementary provisions 36 24. Applicant under Securities Ordinance or Commodities Trading Ordinance to furnish information to Commission 40 25. Certificates of registration to continue in force 40 26. Section 23(2) and (3) to apply to inquiries under section 56 of Securities Ordinance or section 36 of Commodities Trading Ordinance 42 27. 28. Registered persons to notify Commission where records etc. kept ......... Financial resources rules 42 46 29. Modification of financial resources rules in particular cases 48 PART V REGULATION OF REGISTERED PERSONS' BUSINESS, ETC. Information relating to transactions 30. Supervision 31. 32. 33. 34. Returns 35. Certification to High Court relating to non-compliance under section 30 or 31 Investigations Production of computerized information 36. Magistrate's warrant 56 62 2 8 2 2 2 8 54 52 50 64 64 37. Destruction etc. of documents 66 68 38. Powers of intervention 68 39. Restriction of business 70 40. Restriction on dealing with assets .. 70 41. Maintenance of assets 42. Provisions relating to notices under section 39, 40, 41 or 43.......... 72 43. Withdrawal, substitution or variation of notices under section 39, 40 or 41 74 44. Appeals against notices under this Part 74 45. 46. Winding-up orders Receiving orders 74 76

2026-05-05 12:00:40 · Baseline

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CAP. 24]

Securities and Futures Commission

[1989 Ed.

Section

PART IV

ADDITIONAL REGISTRATION REQUIREMENTS

Page

23.

Applications under section 51 of Securities Ordinance or section 30 of

Commodities Trading Ordinance: supplementary provisions

24.

Applicant under Securities Ordinance or Commodities Trading Ordinance to

furnish information to Commission

25.

Certificates of registration to continue in force

26.

Section 23(2) and (3) to apply to inquiries under section 56 of Securities

Ordinance or section 36 of Commodities Trading Ordinance

27.

28.

Registered persons to notify Commission where records etc. kept .........

Financial resources rules

29.

Modification of financial resources rules in particular cases

PART V

REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.

Information relating to transactions

30.

Supervision

31.

32.

33.

34.

Returns

35.

Certification to High Court relating to non-compliance under section 30 or 31

Investigations

Production of computerized information

36. Magistrate's warrant

2 8 2 2 2 8

37.

Destruction etc. of documents

38.

Powers of intervention

39.

Restriction of business

40.

Restriction on dealing with assets ..

41.

Maintenance of assets

42.

Provisions relating to notices under section 39, 40, 41 or 43..........

43.

Withdrawal, substitution or variation of notices under section 39, 40 or 41

44.

Appeals against notices under this Part

45.

46.

Winding-up orders

Receiving orders

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