Securities and Futures (Exempted Instruments—Information) Rules
(Enacting provision omitted—E.R. 5 of 2018)
[1 April 2003] L.N. 12 of 2003
(Format changes—E.R. 5 of 2018)
(Omitted as spent—E.R. 5 of 2018)
For the purposes of section 110(1) of the Ordinance, the information that shall be submitted to the Commission is—
information that is—
related to the issue of a certificate of deposit or other instrument referred to in the advertisement, invitation or document in question; and
specified in the Schedule; or
where the information specified in the Schedule is not applicable in relation to the issue, a statement to that effect.
| Item | Information to be submitted | |
| 1. | Description of the instrument as issued (stating whether it is negotiable/fixed rate/floating rate certificate of deposit/bill of exchange/promissory note or another form of instrument) | |
| 2. | Name of the issuer | |
| 3. | Name of the guarantor | |
| 4. | Total amount of the issue or maximum amount of the facility/programme | |
| 5. | Currency (stating whether it is denominated in HK$/US$/Euro/￡/A$/NZ$ or another currency) | |
| 6. | Minimum denomination | |
| 7. | Solicitors to the issuer | |
| 8. | Deposit date | |
| 9. | Maturity date | |
| 10. | Interest payments (specifying the intervals at which they are payable, e.g. quarterly/semi-annually/annually or by reference to another period) | |
| 11. | Tenors available under the facility/programme | |
| 12. | Terms of the facility/programme | |
| 13. | Purchase/issue price | |
| 14. | Names of the parties involved (lead manager/underwriter/arranger/dealer/others) | |
| 15. | Names of the facility agents, issue agents and paying agents | |
| 16. | Place and manner of payment at maturity | |
| 17. | Status of the obligations of the issuer and guarantor | |
| 18. | Governing law |