Cap. 571AH 《證券及期貨(罪行及罰則)規例》Securities and Futures (Offences and Penalties) Regulation
生效中Securities and Futures (Offences and Penalties) Regulation
(Enacting provision omitted—E.R. 2 of 2012)
[1 April 2003] L.N. 12 of 2003
(Format changes—E.R. 2 of 2012)
1. (Omitted as spent—E.R. 2 of 2012)
2. Offences
Any person who, without reasonable excuse, contravenes a provision specified in column 2 of the Schedule commits an offence and is liable on conviction to the penalty specified in column 3 of that Schedule opposite the reference to that provision.
Schedule
[s. 2]
| Item | Specified provision | Specified penalty |
| 1. | Section 3(1) of the Securities and Futures (Miscellaneous) Rules (Cap. 571 sub. leg. U) | A fine at level 5 |
| 2. | Section 4(1) of the Securities and Futures (Miscellaneous) Rules (Cap. 571 sub. leg. U) | A fine at level 6 |
| 3. | Section 4(2) of the Securities and Futures (Miscellaneous) Rules (Cap. 571 sub. leg. U) | A fine at level 6 |
| 4. | Section 4(3) of the Securities and Futures (Miscellaneous) Rules (Cap. 571 sub. leg. U) | A fine at level 6 |
| 5. | Rule 4(2) of the Securities and Futures (Short Position Reporting) Rules (Cap. 571 sub. leg. AJ) (L.N. 45 of 2012; E.R. 2 of 2012) | On conviction on indictment, a fine at level 6 and imprisonment for 2 yearsOn summary conviction, a fine at level 3 and imprisonment for 6 months |
| 6. | Rule 4(4) of the Securities and Futures (Short Position Reporting) Rules (Cap. 571 sub. leg. AJ) (L.N. 45 of 2012; E.R. 2 of 2012) | On conviction on indictment, a fine at level 6 and imprisonment for 2 yearsOn summary conviction, a fine at level 3 and imprisonment for 6 months |