Cap. 571 sub. leg. J

Securities and Futures (Associated Entities—Notice) Rules(Cap. 571, section 397(1))(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 (1) In these Rules, CE number (中央編號) means the central entity identification number assigned by the Commission to a licensed person or a registered institution which is shown, in relation to each licence or registration, on the register maintained under section 136 of the Ordinance.(2) Where an associated entity that becomes or ceases to be such associated entity is an authorized financial institution, a requirement in these Rules for it to provide particulars to the Commission shall not be construed as a requirement to provide particulars relating to its business other than that of receiving or holding client assets of any intermediary of which it is an associated entity. 3. Particulars to be notified on becoming an associated entity (1) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a licensed corporation or a registered institution becomes an associated entity of an intermediary are—(a) its name and business name (if different);(b) its CE number;(c) the date it became an associated entity of the intermediary; and(d) the name of the intermediary.(2) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a corporation other than a licensed corporation or a registered institution becomes an associated entity of an intermediary are—(a) its name and business name (if different);(b) the date and place of its incorporation;(ba) its place of domicile, and the date beginning on which that place has been its place of domicile; (14 of 2025 s. 253)(bb) each of its former places of domicile (if any), and the period during which that place was its place of domicile; (14 of 2025 s. 253)(c) the address of its registered office;(d) the address of its principal place of business in Hong Kong (if any);(e) its correspondence address;(f) its telephone and facsimile numbers, electronic mail address (if any) and web site address (if any);(g) the date it became an associated entity of the intermediary;(h) the name of the intermediary;(i) whether it has any executive officers and, if so, the following particulars of each of the executive officers—(i) the name of the executive officer;(ii) the Hong Kong identity card number of the executive officer or, if he is not the holder of such an identity card, the number, the name of the issuing agency and the date of expiry of his passport, travel or other document issued by a competent government agency providing proof of identity;(iii) his residential address in Hong Kong (if any); and(iv) his correspondence address;(j) the following particulars of each person who is its controlling entity—(i) the name of the person;(ii) where the person is an individual—(A) his Hong Kong identity card number or, if he is not the holder of such an identity card, the number, the name of the issuing agency and the date of expiry of his passport, travel or other document issued by a competent government agency providing proof of identity;(B) his residential address in Hong Kong (if any); and(C) his correspondence address; and(iii) where the person is a corporation—(A) if it is registered under the Business Registration Ordinance (Cap. 310), its business registration number;(B) the address of its principal place of business in Hong Kong (if any); and(C) its correspondence address;(k) the address of each of the premises where books and records relating to client assets of the intermediary, which are received or held by it in Hong Kong, are kept;(l) the facts that gave rise to the corporation becoming an associated entity of the intermediary;(m) subject to subsection (3), whether it is aware of the existence of any matter that might render it insolvent or lead to the appointment of a liquidator; and(n) subject to subsection (3), the following particulars in respect of any bank account of it that holds, or that has been opened to hold, client assets of the intermediary that are received or held by it in Hong Kong—(i) the name of the bank with which the account is opened; and(ii) the number of the account.(3) Where an associated entity that becomes such associated entity is an authorized financial institution, subsection (2)(m) and (n) does not apply to it. 4. Particulars to be notified on ceasing to be an associated entity (1) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a licensed corporation or a registered institution ceases to be an associated entity of an intermediary are—(a) its name and business name (if different);(b) its CE number;(c) the date it ceased to be an associated entity of the intermediary; and(d) the name of the intermediary.(2) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a corporation other than a licensed corporation or a registered institution ceases to be an associated entity of an intermediary are—(a) the date it ceased to be an associated entity of the intermediary;(b) the name of the intermediary;(c) whether all client assets of the intermediary that are received or held by it prior to its ceasing to be such associated entity have been fully accounted for and properly disposed of and, if not, the particulars of any such client assets of the intermediary that have not been fully accounted for and properly disposed of; and(d) the facts that gave rise to the corporation ceasing to be an associated entity of the intermediary.(3) Where an associated entity that ceases to be such associated entity is an authorized financial institution, subsection (2)(c) does not apply to it.