CAP D SECURITIES AND FUTURES (PROFESSIONAL INVESTOR) RULES【DOC精选】.doc

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CAP D SECURITIES AND FUTURES (PROFESSIONAL INVESTOR) RULES【DOC精选】.doc

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CAP 571D SECURITIES AND FUTURES (PROFESSIONAL INVESTOR) RULES 摘要：本文主要介绍了CAP 571D SECURITIES AND FUTURES (PROFESSIONAL INVESTOR) RULES的主要内容。　　(Cap 571, section 397(1)) 　　[1 April 2003] L.N. 12 of 2003 　　(L.N. 188 of 2002) 　　Cap 571D s 1 (Omitted as spent) 　　(Omitted as spent) 　　Cap 571D s 2 Interpretation 　　In these Rules, unless the context otherwise requires- 　　associate (有联系者), in relation to an individual, means the spouse or any child of the individual; 　　custodian (保管人) means- 　　(a) a corporation the principal business of which is to act as a custodian of securities or other property for another person, whether on trust or by contract; or 　　(b) any of the following persons- 　　(i) an authorized financial institution; 　　(ii) a bank which is not an authorized financial institution but is regulated under the law of any place outside Hong Kong; 　　(iii) a licensed corporation; 　　(iv) a person carrying on the business of the provision of investment services and regulated under the law of any place outside Hong Kong, 　　whose business includes acting as a custodian of securities or other property for another person, whether on trust or by contract;custodian statement (保管人结单) means a statement of account issued by a custodian; 　　portfolio (投资组合) means a portfolio comprising any of the following- 　　(a) securities; 　　(b) a certificate of deposit issued by- 　　(i) an authorized financial institution; or 　　(ii) a bank which is not an authorized financial institution but is regulated under the law of any place outside Hong Kong;(c) in relation to an individual, corporation or partnership, money held by a custodian for the individual, corporation or partnership;relevant date (有关日期)- 　　(a) in the case of an advertisement, invitation or document described in section 103(3)(k) of the Ordinance, means the date on which the advertisement, invitation or document is issued, or possessed for the purposes of issue; 　　(b) in the case of a call described in section 174(2)(a) of the Ordin