1964_SECURITIES_ORDINANCE — Page 19

18

CAP. 333]

Securities

[1989 Ed.

(b) for the purposes of sections 67, 79 and 141E(3), an interest in securities of a person who holds that interest only by virtue of his having control over the securities as a manager, agent, trustee, or nominee for, or as an employee of, another;

(c) where securities referred to in section 135(4) or 141E(3) are subject to a trust, the interest of a trustee in those securities if a person who is not a trustee has an interest in those securities by virtue of subsection (6)(b) of this section; and

(d) for the purposes of any prescribed provision of section 19, 67, 79, 135 or 141E(3), a prescribed interest in securities, being an interest of such person, or of the persons included in such class of persons, as is prescribed by regulations. (Amended 62 of 1976 s. 4; 8 of 1978 s. 2)

PART II

SECURITIES AND FUTURES COMMISSION

6-13. (Repealed 10 of 1989 s. 65)

14. Rules

(1) The Commission may, after consultation with the Exchange Company, make rules in respect of all or any of the following matters- (Amended 58 of 1985 s. 35)

(a) the listing of securities on the Unified Exchange, and in particular-

(i) prescribing the requirements to be met before securities may be listed on the Unified Exchange;

(ii) prescribing the procedure for dealing with applications for the listing of securities on the Unified Exchange; and

(iii) providing for the cancellation of the listing of any specified securities on the Unified Exchange if the Commission's requirements for listing, or the requirements of the undertaking referred to in paragraph (f), are not complied with or the Commission considers that such action is necessary to maintain an orderly market in Hong Kong; (Amended 58 of 1985 s. 35)

(b) the conditions subject to which, and the circumstances in which, the Exchange Company shall suspend dealings in securities; (Amended 62 of 1976 s. 5; 58 of 1985 s. 35)