1989 Ed.]
Securities
[CAP. 333
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(b) if the Commission on the application of the person so directs, make available for inspection by that person, at all reasonable times during the dealer's ordinary hours of business, the dealer's copy of the contract note and the person's account with the dealer. (Amended 10 of 1989 s. 65)
(2) Subsection (1) does not require a dealer (including an exempt dealer)
(a) provide, or keep available for inspection, a copy of any contract note which relates to a dealing transacted more than 2 years before the date of the request; or
(b) provide a copy of, or keep available for inspection, any account which relates to a dealing transacted more than 6 years before the date of the request.
(3) Any such dealer may impose a charge not exceeding an amount prescribed by regulations for a copy of a document provided pursuant to subsection (1).
(4) Any dealer who, without reasonable excuse, fails to comply with subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine of $2,000.
78. Certain representations prohibited
(1) A registered person shall not in any communication, whether written or oral, represent or imply or knowingly permit to be represented or implied in any manner to a person that the abilities or qualifications of the registered person have in any respect been approved by the Hong Kong Government, the Commission. (Amended 10 of 1989 s. 65)
(2) A statement made to the effect that a person is registered under this Ordinance or is the holder of a certificate of registration is not a contravention of subsection (1).
(3) Any registered person who, without reasonable excuse, contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine of $2,000.
79. Disclosure of certain interests
(1) Where, in a circular or other written communication issued in Hong Kong by him to more than one person, a dealer or an investment adviser (including an exempt dealer or exempt investment adviser) makes a recommendation, whether expressly or by implication, with respect to any securities or any class of securities of a corporation, he shall include in the circular or other communication, in type not less bold and not less legible than that used in its text, a statement as to whether or not he has, at the date specified in the circular or communication pursuant to subsection (5), an interest in any of the securities of that corporation.
1989 Ed.]
Securities
[CAP. 333
55
to-
(b) if the Commission on the application of the person so directs, make available for inspection by that person, at all reasonable times during the dealer's ordinary hours of business, the dealer's copy of the contract note and the person's account with the dealer. (Amended 10 of 1989 s. 65)
(2) Subsection (1) does not require a dealer (including an exempt dealer)
(a) provide, or keep available for inspection, a copy of any contract note which relates to a dealing transacted more than 2 years before the date of the request; or
(b) provide a copy of, or keep available for inspection, any account which relates to a dealing transacted more than 6 years before the date of the request.
(3) Any such dealer may impose a charge not exceeding an amount prescribed by regulations for a copy of a document provided pursuant to subsection (1).
(4) Any dealer who, without reasonable excuse, fails to comply with subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine of $2,000.
78. Certain representations prohibited
(1) A registered person shall not in any communication, whether written or oral, represent or imply or knowingly permit to be represented or implied in any manner to a person that the abilities or qualifications of the registered person have in any respect been approved by the Hong Kong Government, the Commission. (Amended 10 of 1989 s. 65)
(2) A statement made to the effect that a person is registered under this Ordinance or is the holder of a certificate of registration is not a contravention of subsection (1).
(3) Any registered person who, without reasonable excuse, contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine of $2,000.
79. Disclosure of certain interests
(1) Where, in a circular or other written communication issued in Hong Kong by him to more than one person, a dealer or an investment adviser (including an exempt dealer or exempt investment adviser) makes a recommendation, whether expressly or by implication, with respect to any securities or any class of securities of a corporation, he shall include in the circular or other communication, in type not less bold and not less legible than that used in its text, a statement as to whether or not he has, at the date specified in the circular or communication pursuant to subsection (5), an interest in any of the securities of that corporation.
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