Cap. 571G 《證券及期貨(獲豁免的票據——資料)規則》Securities and Futures (Exempted Instruments—Information) Rules
生效中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)
1. (Omitted as spent—E.R. 5 of 2018)
2. Interpretation
In these Rules, unless the context otherwise requires, advertisement (廣告), document (文件) and invitation (邀請) have the meanings respectively assigned to them by section 102 of the Ordinance.3. Information to be submitted in respect of advertisement, invitation or document
For the purposes of section 110(1) of the Ordinance, the information that shall be submitted to the Commission is—
(a)
information that is—
(i)
related to the issue of a certificate of deposit or other instrument referred to in the advertisement, invitation or document in question; and
(ii)
specified in the Schedule; or
(b)
where the information specified in the Schedule is not applicable in relation to the issue, a statement to that effect.
Schedule — Information to be Submitted in respect of Advertisement, Invitation or Document
[s. 3]| 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 |