54
CAP. 24]
Securities and Futures Commission
[1989 Ed.
(c) a person reasonably believed by the Commission or the person so authorized to hold any securities or futures contracts or to have an interest in property investment arrangements, as beneficial owner; or
(d) a person reasonably believed by the Commission or the person so authorized to hold, to have acquired or disposed of, purchased or sold, any securities, futures contracts or interest in property investment arrangements, or any interest therein, whether directly or through a nominee, trustee, or agent, and whether as beneficial owner, nominee, trustee, agent or otherwise; or
(e) a registered person or an exempt dealer,
in relation to any acquisition, disposal, purchase, sale or holding of securities, futures contracts or interest in property investment arrangements to disclose to it or him the name (including any aliases), address and occupation of the person (or other particulars that are capable of establishing the identity of the person) from, to or through whom, or on whose behalf, the securities or futures contracts or interest in property investment arrangements were acquired, disposed of, purchased, sold or were or are held, together with the quantity of securities or futures contracts or interests in property investment arrangements so acquired, disposed of, purchased, sold or held, and the instructions given to or by such last-mentioned person in respect thereof.
(2) For the purpose of enabling this section to have effect, every investment adviser or commodity trading adviser and registered person who is a dealer within the meaning of section 27(10) shall keep, in such manner and form as may be specified in rules made for the purposes of this section by the Commission (which rules the Commission is hereby authorized to make), any record or other document as may be so specified.
(3) Where a requirement is made under subsection (1), a person who-
(a) without reasonable excuse fails to disclose to the Commission information required to be disclosed under subsection (1) and which is in his possession or under his control;
(b) furnishes to the Commission in purported compliance with the requirement information which he knows to be false or misleading in a material particular; or
(c) fails to comply with any provision of rules made under this section which applies to him,
commits an offence.
32. Certification to High Court relating to non-compliance under section 30 or 31
(1) If a person mentioned in section 30 or 31, without reasonable excuse, fails to produce any record or other document or disclose information upon
54
CAP. 24]
Securities and Futures Commission
[1989 Ed.
(c) a person reasonably believed by the Commission or the person so authorized to hold any securities or futures contracts or to have an interest in property investment arrangements, as beneficial owner; or (d) a person reasonably believed by the Commission or the person so authorized to hold, to have acquired or disposed of, purchased or sold, any securities, futures contracts or interest in property investment arrangements, or any interest therein, whether directly or through a nominee, trustee, or agent, and whether as beneficial owner nominee, trustee, agent or otherwise; or
(e) a registered person or an exempt dealer,
in relation to any acquisition, disposal, purchase, sale or holding of securities, futures contracts or interest in property investment arrangements to disclose to it or him the name (including any aliases), address and occupation of the person (or other particulars that are capable of establishing the identity of the person) from, to or through whom, or on whose behalf, the securities or futures contracts or interest in property investment arrangements were acquired, disposed of, purchased, sold or were or are held, together with the quantity of securities or futures contracts or interests in property investment arrangements so acquired, disposed of, purchased, sold or held, and the instructions given to or by such last-mentioned person in respect thereof.
(2) For the purpose of enabling this section to have effect, every investment adviser or commodity trading adviser and registered person who is a dealer within the meaning of section 27(10) shall keep, in such manner and form as may be specified in rules made for the purposes of this section by the Commission (which rules the Commission is hereby authorized to make), any record or other document as may be so specified.
(3) Where a requirement is made under subsection (1), a person who-
(a) without reasonable excuse fails to disclose to the Commission information required to be disclosed under subsection (1) and which is in his possession or under his control;
(b) furnishes to the Commission in purported compliance with the requirement information which he knows to be false or mis- leading in a material particular; or
(c) fails to comply with any provision of rules made under this
section which applies to him,
commits an offence.
32. Certification to High Court relating to
non-compliance under section 30 or 31
(1) If a person mentioned in section 30 or 31, without reasonable excuse, fails to produce any record or other document or disclose information upon
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