1964_SECURITIES_ORDINANCE — Page 3

HK Historical Laws 香港歷史法例 All AI Reviewed
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CAP. 333]

Securities

[1989 Ed.

Section

PART VI

REGISTRATION of Dealers, Investment Advisers, AND REPRESENTATIVES, ETC.

Page 47

47. Application of Part VI

48. Registration as a dealer

49. Registration as an investment adviser

49A. Registration as a dealing partnership

49B. Registration as an investment advisers' partnership

49C.

49D.

50. Dealing directors only to deal on behalf of registered dealing corporations. Supervisory directors of corporations which are registered investment advisers only to carry on the business of an investment adviser for such corporations

51. Grant of certificates of registration

52. Deposit required before registration as a dealer

52A. Accounts of sums deposited under section 52

53. Refusal of registration

53A. Amendment of conditions of certificate of registration

54. (Repealed)

54A. Deemed registration of certain partnerships.

55. Revocation and suspension of certificates of registration in certain cases

56. Powers of Commission in relation to misconduct

57. Effect of revoking or suspending registration

58-59. (Repealed)

60. Exempt dealers

61. Exempt investment advisers

62. Offence to make a false representation for the purpose of obtaining a certificate of registration under this Part

63. Information to be provided by registered person other than a representative, etc.

64. Commission to keep a register of dealers, etc.

65. Publication of names of registered dealers, etc.

PART VIA

SPECIAL PROVISIONS RELATING TO DEALERS

65A. Qualifications for registration as a dealer

65B. Capital requirements for dealers

65C. Failure to comply with section 65B

65D. Books, accounts and records to be produced on demand


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SOA. Partnerships which may be registered as dealing partnerships or investment advisers' partnerships

SIA. (Repealed)

* 3 2 8 8 8 was removed as it appears to be a page numbering artifact or unrelated to the main text content. If it is relevant, it should be clarified in the original scan context. The rest of the corrections were made according to the rules provided, mainly fixing spacing and formatting issues.

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CAP. 333] Securities [1989 Ed. Section PART VI REGISTRATION of Dealers, Investment Advisers, AND REPRESENTATIVES, ETC. Page 47 47. Application of Part VI 48. Registration as a dealer 49. Registration as an investment adviser 49A. Registration as a dealing partnership 49B. Registration as an investment advisers' partnership 49C. 49D. 50. Dealing directors only to deal on behalf of registered dealing corporations. Supervisory directors of corporations which are registered investment advisers only to carry on the business of an investment adviser for such corporations 51. Grant of certificates of registration 52. Deposit required before registration as a dealer 52A. Accounts of sums deposited under section 52 53. Refusal of registration 53A. Amendment of conditions of certificate of registration 54. (Repealed) 54A. Deemed registration of certain partnerships. 55. Revocation and suspension of certificates of registration in certain cases 56. Powers of Commission in relation to misconduct 57. Effect of revoking or suspending registration 58-59. (Repealed) 60. Exempt dealers 61. Exempt investment advisers 62. Offence to make a false representation for the purpose of obtaining a certificate of registration under this Part 63. Information to be provided by registered person other than a representative, etc. 64. Commission to keep a register of dealers, etc. 65. Publication of names of registered dealers, etc. PART VIA SPECIAL PROVISIONS RELATING TO DEALERS 65A. Qualifications for registration as a dealer 65B. Capital requirements for dealers 65C. Failure to comply with section 65B 65D. Books, accounts and records to be produced on demand 24 25 25 26 26 26 27 27 28 28 29 29 32 32 34 34 34 35 37 38 39 39 40 40 41 42 43 43 44 45 46 SOA. Partnerships which may be registered as dealing partnerships or investment advisers' partnerships SIA. (Repealed) * 3 2 8 8 8 was removed as it appears to be a page numbering artifact or unrelated to the main text content. If it is relevant, it should be clarified in the original scan context. The rest of the corrections were made according to the rules provided, mainly fixing spacing and formatting issues.
Baseline (Original)
2 CAP. 333] Securities [1989 Ed. Section PART VI REGISTRATION of Dealers, InvesTMENT ADVISERS, AND REPRESENTATIVES, ETC. Page 47. Application of Part VI 48. Registration as a dealer 49. Registration as an investment adviser 49A. 49B. Registration as a dealing partnership Registration as an investment advisers' partnership 49C. 49D. 50. Dealing directors only to deal on behalf of registered dealing corporations. Supervisory directors of corporations which are registered investment advisers only to carry on the business of an investment adviser for such corporations Registration as a representative * 3 2 8 8 8 24 25 25 26 26 26 27 27 SOA. Partnerships which may be registered as dealing partnerships or investment advisers' partnerships 28 28 51. Grant of certificates of registration 29 SIA. (Repealed) 52. Deposit required before registration as a dealer 29 52A. Accounts of sums deposited under section 52 ...... 32 32 53. Refusal of registration 53A. Amendment of conditions of certificate of registration 34 34 54. (Repealed) 54A. Deemed registration of certain partnerships. 34 55. Revocation and suspension of certificates of registration in certain cases 35 56. Powers of Commission in relation to misconduct 37 57. Effect of revoking or suspending registration 38 39 58-59. (Repealed) 60. Exempt dealers 39 61. Exempt investment advisers 40 62. Offence to make a false representation for the purpose of obtaining a certificate of registration under this Part 40 63. Information to be provided by registered person other than a representative, 64. etc. Commission to keep a register of dealers, etc. 41 42 43 65. Publication of names of registered dealers, etc. PART VIA SPECIAL PROVISIONS RELATING TO DEALERS 65A. Qualifications for registration as a dealer 43 65B. Capital requirements for dealers 44 65C. Failure to comply with section 65B 45 65D. Books, accounts and records to be produced on demand 46 "
2026-05-05 12:13:01 · Baseline
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2

CAP. 333]

Securities

[1989 Ed.

Section

PART VI

REGISTRATION of Dealers, InvesTMENT ADVISERS, AND REPRESENTATIVES, ETC.

Page

47.

Application of Part VI

48.

Registration as a dealer

49.

Registration as an investment adviser

49A.

49B.

Registration as a dealing partnership

Registration as an investment advisers' partnership

49C.

49D.

50.

Dealing directors only to deal on behalf of registered dealing corporations. Supervisory directors of corporations which are registered investment advisers only to carry on the business of an investment adviser for such corporations Registration as a representative

* 3 2 8 8 8

24

25

25

26

26

26

27

27

SOA.

Partnerships which may be registered as dealing partnerships or investment

advisers' partnerships

28

28

51.

Grant of certificates of registration

29

SIA.

(Repealed)

52.

Deposit required before registration as a dealer

29

52A.

Accounts of sums deposited under section 52 ......

32

32

53.

Refusal of registration

53A.

Amendment of conditions of certificate of registration

34

34

54.

(Repealed)

54A.

Deemed registration of certain partnerships.

34

55.

Revocation and suspension of certificates of registration in certain cases

35

56.

Powers of Commission in relation to misconduct

37

57.

Effect of revoking or suspending registration

38

39

58-59. (Repealed)

60.

Exempt dealers

39

61.

Exempt investment advisers

40

62.

Offence to make a false representation for the purpose of obtaining a

certificate of registration under this Part

40

63.

Information to be provided by registered person other than a representative,

64.

etc.

Commission to keep a register of dealers, etc.

41

42

43

65.

Publication of names of registered dealers, etc.

PART VIA

SPECIAL PROVISIONS RELATING TO DEALERS

65A.

Qualifications for registration as a dealer

43

65B.

Capital requirements for dealers

44

65C.

Failure to comply with section 65B

45

65D.

Books, accounts and records to be produced on demand

46

"

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