SECURITIES (INSIDER DEALING) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (INSIDER DEALING) ORDINANCE
(CHAPTER 395)
ARRANGEMENT OF SECTIONS
ion
I PRELIMINARY
hort title
nterpretation
pplication
Connected with a corporation"
ossession of relevant information obtained in privileged
capacity
Dealing in securities"
Take-over offer"
Relevant information"
II INSIDER DEALING
hen insider dealing takes place
Certain persons not to be held insider dealers
Trustees and personal representatives
Exercise of right to subscribe for or acquire securities
Duty of officers of corporation
Insider dealing not void or voidable
III INSIDER DEALING TRIBUNAL
Constitution of Tribunal Inquiries by Tribunal
Inquiries into insider dealing
Powers of Tribunal
Further powers of Tribunal to obtain information
Incriminating answers
Offences
Privileged information Report and orders of Tribunal
Report of Tribunal following inquiry
Orders etc. of Tribunal
Order against officer of corporation
Limitation on aggregate amount of penalties
Witnesses' expenses
Expenses of investigation and inquiry
Form and proof of order of Tribunal
Order of Tribunal may be registered in Court
Offence
IV APPEALS
Appeal to Court of Appeal
Powers of the Court of Appeal on appeal
Stay of execution on appeal
V MISCELLANEOUS
Offences by corporation, etc.
Limitation on commencement of proceedings
Chief Justice may make rules
44. (Omitted)
Whole document:
dule.
rdinance to amend the law relating to insider dealing in
securities;
for connected purposes.
eptember 1991] L. N. 269 of 1991
PART I PRELIMINARY
hort title
Ordinance may be cited as the Securities (Insider Dealing)
Ordinance.
nterpretation
In this Ordinance, unless the context otherwise requires--
ociate", in relation to a person entitled to exercise or control
the
cise of voting power in relation to a corporation, means--
that person's spouse, reputed spouse, person co-habiting
with that
on as a spouse, that person's brother, sister, parent,
step-parent,
d (natural or adopted) or step-child;
any corporation of which that person is a director;
any person who is an employee or partner of that person;
if that person is a corporation--
any director of that corporation;
any related corporation of that corporation; and
) any director or employee of any such related corporation; and
if that person has with any other person an agreement or
arrangement
respect to the acquisition, holding or disposal of shares or
other
rests in that corporation or under which they undertake
to act
ther in exercising their voting power in relation to it, that
other
on;
k or other document" includes--
books of a banker;
cheques, orders for the payment of money, bills of
exchange, and
issory notes in the possession or under the control of a banker;
securities in the possession or under the control of a banker,
whether
ay of pledge or otherwise;
any document or record used in the ordinary course of business
of a
;
any record so used which is kept otherwise than in a legible form
and
apable of being reproduced in a legible form; and
any accounts or deeds;
mission" means the Securities and Futures Commission
established by
Securities and Futures Commission Ordinance (Cap. 24);
pany" means a company as defined in section 2 (1) of the
Companies
nance (Cap. 32);
troller", in relation to a corporation, means any person--
in accordance with whose directions or instructions the
directors of
corporation or of another corporation of which it is a subsidiary
are
stomed to act; or
who, either alone or with any associate, is entitled to exercise,
or
rol the exercise of, more than 33% of the voting power at
general
ings of the corporation or of another corporation of which it
is a
idiary, and references in this Ordinance to "control"
shall be
trued accordingly; "corporation" means any company or
other body
orate or an unincorporated body, incorporated or formed either
in Hong
or elsewhere;
ector" includes--
any person occupying the position of director, by
whatever name
ed; and
any person in accordance with whose directions or
instructions the
ctors of the corporation are accustomed to act;
ument" includes any register, book, record, tape recording, any
form
omputer input or output, and any other document or similar
material
ther produced mechanically, electrically, or manually, or by any
other
s whatsoever);
h Court" means the High Court of Justice;
ding company" means a corporation which is a holding company
within
meaning of section 2 of the Companies Ordinance (Cap. 32);
uiry" means an inquiry instituted under section 16;
ider dealer" means a person who perpetrates any act which
is an
der dealing within the meaning of section 9 and also means a
person
is to be regarded as an insider dealer under section 16 (6);
ider dealing" means an insider dealing within the meaning of
section
ted securities" means securities that are listed on the
Unified
ange at the time of any insider dealing in relation
to those
rities;
icer" in relation to a corporation includes a director,
manager or
etary, and in relation to an unincorporated body includes every
member
he governing body thereof; "related corporation", in relation
to a
oration, means--
any corporation that is that corporation's subsidiary or
holding
any or a subsidiary of that corporation's holding company;
any corporation a controller of which is also a controller of
that
oration; "relevant share capital" means a corporation's issued
share
tal of a class carrying rights to vote at general meetings
of the
oration;
urities" means any shares, stocks, debentures, loan stocks,
funds,
s, or notes of, or issued by, any body, whether
incorporated or
corporated, or of any government or local government authority,
and
udes--
rights, options, or interests (whether described as
units or
rwise) in or in respect of any of the foregoing;
certificates of interest or participation in, or temporary or
interim
ificates for, receipts for, or warrants to subscribe to or
purchase,
of the foregoing; or
any instruments commonly known as securities;
sidiary" means any corporation which is a subsidiary
within the
ing of section 2 of the Companies Ordinance (Cap. 32);
bunal" has the meaning given to it in section 15;
fied Exchange" means the stock market established under section
27 of
Stock Exchanges Unification Ordinance (Cap. 361).
For the purpose of the definition of "controller", where a
person is
tled to exercise or control the exercise of 33% or more of the
voting
r at general meetings of a corporation and that
corporation is
tled to exercise or control the exercise of any of the voting power
at
ral meetings of another corporation ("the effective voting
power")
the effective voting power at general meetings of
that other
oration is taken as exercisable by that person.
A person shall not be deemed to be a person in accordance with
whose
ctions or instructions the directors of a corporation are
accustomed
ct by reason only that the directors of the corporation act on
advice
n by him in a professional capacity.
In this Ordinance securities are deemed to be listed on the
Unified
ange notwithstanding that dealings in such securities
have been
ended.
In this Ordinance a reference to an interest in securities is
to be
as including an interest of any kind whatsoever in the
securities;
accordingly there are to be disregarded any restraints or
restrictions
hich the exercise of any right attached to the interest
may be
ect.
pplication
Ordinance shall not have effect with respect to an insider dealing
in
tion to the listed securities of a corporation which has taken
place
re the commencement of this Ordinance.
Connected with a corporation"
A person is connected with a corporation for the purposes of
section 9
being an individual--
he is a director or employee of that corporation or a
related
oration; or
he is a substantial shareholder in the corporation or a
related
oration; or
he occupies a position which may reasonably be expected to give
him
ss to relevant information concerning the corporation by virtue
of--
any professional or business relationship existing between
himself (or
employer or a corporation of which he is a director or a firm of
which
s a partner) and that corporation, a related corporation or an
officer
ubstantial shareholder in either of such corporations; or
his being a director, employee or partner of a
substantial
eholder in the corporation or a related corporation; or
he has access to relevant information in relation to the
corporation
irtue of his being connected (within the meaning of paragraph (a),
(b)
c)) with another corporation, being information which relates
to any
saction (actual or contemplated) involving both those
corporations or
lving one of them and the listed securities of the other or to
the
that such transaction is no longer contemplated; or
he was at any time within the 6 months preceding any
dealing in
tion to listed securities within the meaning of section 9 a
person
ected with the corporation within the meaning of paragraph (a),
(b),
or (d).
A corporation is a person connected with a corporation
for the
oses of section 9 so long as any of its directors or employees
is a
on connected with that other corporation within the
meaning of
ection (1).
In subsection (1), "substantial shareholder" in
relation to a
oration means a person who has an interest in the relevant
share
tal of that corporation which has a nominal value equal to or
more
10% of the nominal value of the relevant share capital of
that
oration.
ossession of relevant information obtained in privileged
capacity
A public officer or a member or employee (whether such
member or
oyee is temporary or permanent, paid or unpaid) of any body
referred
n subsection (2), who in his capacity as such receives
relevant
rmation concerning a corporation shall be deemed to be a
person
ected with that corporation for the purposes of section 9.
The bodies referred to in subsection (1) are--
the Executive Council;
the Legislative Council;
the Futures Exchange Company, Stock Exchange Company or any
clearing
e;
any board, commission, committee or other body appointed by
or on
lf of the Governor or the Governor in Council under any Ordinance;
any body corporate established or incorporated by Ordinance; and
any body corporate specified by the Financial Secretary by
notice
ished in the Gazette.
In this section--
aring house" means a clearing house within the meaning of section
2
of the Commodities Trading Ordinance (Cap. 250) or authorized
under
other Ordinance to carry on business as a clearing house in
respect of
rities;
ures Exchange Company" means the Exchange Company within the
meaning
ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
ck Exchange Company" means the Exchange Company within the
meaning of
ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361).
In the case of a body referred to in subsection (2) which
has no
ers the reference in subsection (1) to a member shall be construed
as
ference to a member of the governing body thereof.
Dealing in securities"
the purposes of this Ordinance, a person deals in securities if
ther as principal or agent) he buys, sells, exchanges or
subscribes
or agrees to buy, sell, exchange or subscribe for, any securities
or
ires or disposes of, or agrees to acquire or dispose of, the right
to
sell, exchange or subscribe for, any securities.
Take-over offer"
his Ordinance, "take-over offer for a corporation" means an offer
made
ll the holders (or all the holders other than the person making
the
r and his nominees) of the shares in the corporation to acquire
those
es or a specified proportion of them, or to all the holders (or
all
holders other than the person making the offer and his nominees)
of a
icular class of those shares to acquire the shares of that class
or a
ified proportion of them.
Relevant information"
his Ordinance "relevant information" in relation to a
corporation
s specific information about that corporation which is not
generally
n to those persons who are accustomed or would be likely to deal
in
listed securities of that corporation but which would if
it were
rally known to them be likely materially to affect the price of
those
rities.
PART II INSIDER DEALING
hen insider dealing takes place
Insider dealing in relation to the listed securities of a
corporation
s place--
when a person connected with a corporation who is in
possession of
rmation which he knows is relevant information in relation to
that
oration deals in any listed securities of that corporation (or
in the
ed securities of a related corporation) or counsels or
procures
her person to deal in such listed securities knowing or
having
onable cause to believe that such person would deal in them;
when a person who is contemplating or has contemplated making
(whether
or without another person) a take-over offer for a corporation
and
knows that the information that the offer is contemplated or
is no
er contemplated is relevant information in relation
to that
oration, deals in the listed securities of that corporation (or
in the
ed securities of a related corporation) or counsels or
procures
her person to deal in those listed securities, otherwise than for
the
ose of such take-over;
when relevant information in relation to a corporation is
disclosed
ctly or indirectly, by a person connected with that
corporation, to
her person and the first-mentioned person knows that the
information
elevant information in relation to the corporation and knows
or has
onable cause for believing that the other person will make use
of the
rmation for the purpose of dealing, or counselling or
procuring
her to deal, in the listed securities of that corporation (or in
the
ed securities of a related corporation);
when a person who is contemplating or has contemplated making
(whether
or without another person) a take-over offer for a corporation
and
knows that the information that the offer is contemplated or
is no
er contemplated is relevant information in relation
to that
oration, discloses that information, directly or
indirectly, to
her person and the first-mentioned person knows or has
reasonable
e for believing that the other person will make use of the
information
the purpose in dealing, or in counselling or procuring
another to
, in the listed securities of that corporation (or in the
listed
rities of a related corporation);
when a person who has information which he knows is
relevant
rmation in relation to a corporation which he received
(directly or
rectly) from a person--
whom he knows is connected with that corporation; and
whom he knows or has reasonable cause to believe
held that
rmation by virtue of being so connected,
s in the listed securities of that corporation (or in the
listed
rities of a related corporation) or counsels or procures
another
on to deal in those listed securities;
when a person who has received (directly or indirectly) from a
person
he knows or has reasonable cause to believe is contemplating or
is no
er contemplating a take-over offer for a corporation,
information to
effect and knows that such information is relevant
information in
tion to that corporation, deals in the listed securities
of that
oration (or in the listed securities of a related
corporation) or
sels or procures another person to deal in those listed
securities.
An insider dealing in relation to the listed
securities of a
oration also takes place when a person who is knowingly in
possession
elevant information in relation to that corporation in any
of the
umstances described in subsection (1) --
counsels or procures any other person to deal in the listed
securities
hat corporation (or in the listed securities of a related
corporation)
he knowledge or with reasonable cause to believe that, that
person
d deal in those listed securities outside Hong Kong on any
stock
ange other than the Unified Exchange; or
discloses that relevant information to any other person
in the
ledge or with reasonable cause to believe that, that or some
other
on will make use of that information for the purpose of dealing,
or of
selling or procuring any other person to deal, in
the listed
rities of that corporation (or in the listed securities of a
related
oration) outside Hong Kong on any stock exchange other
than the
ied Exchange.
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关于公布南京市文物古迹保护管理办法的通知
江苏省南京市人民政府
关于公布南京市文物古迹保护管理办法的通知
南京市人民政府
第一条 南京是我国四大古都之一，为东吴、东晋、南朝、明朝等十代建都之地，也是近代革命运动蓬勃发展的一座重要城市。其地面和地下保存着极其丰富的文物，是国务院颁布的我国历史文化名城。保护管理好这座历史名城及其文化遗产，是各级人民政府的职责，是每个公民应尽
的义务。为此，根据国家发布的有关政策法令，制定本办法。
第二条 南京市辖境内所有地面、地下的历史文物和与革命文物均受国家保护。国家公布的文物保护单位和一切地下文物属国家所有，任何单位和个人不得破坏和据为已有，并有责任加以保护。
属于集体和私人所有的纪念建筑物、古建筑和传世文物，所有权受到国家法律的保护。所有者必须严格遵守国家有关保文物的各项规定，不得随意自行处理。
第三条 文物古迹保护管理的范围：
一、与重大的历史事件、革命运动和重要人物有关的、具有纪念意义和史料价值的建筑物、遗址、陵墓、文献资料、手稿和其他物品；
二、具有历史、艺术、科学价值的古文化遗址、古墓葬、古园林、古旧图书、石窟、寺庙、古塔、壁画、石刻及其附属物；
三、反映各个历史时期社会制度、社会生产和社会生活的代表性实物和有价值的艺术品、工艺美术品；
四、集中反映历史文化名城的古城郭、古建筑、古街巷、古河道、古桥梁、古井、古树名木等。
第四条 南京市文物事业管理委员会（以下简称市文管会）主管全市文物事业，对所有管理使用文物古迹的部门和单位，按照国家的法律、法令和政策，进行监督、检查和业务指导。
市人民政府聘请有关部门负责人和专家、学者成立南京市历史文化名城保护委员会，协助市人民政府研究和审议历史文化名城及其文物古迹的规划、保护、管理上的重大问题，并加强对全市文物古迹保护工作的统一指导。
各区、县人民政府要根据所辖境内的文物工作任务的大小，设立相应的文物行政管理机构，配备专职文物干部，在当地政府的领导和市文管会的指导下，负责本区、县的文物保护、管理工作。
第五条 按照国家的规定，文物保护单位的等级分为：全国重点文物保护单位、省级文物保护单位、市级文物保护单位和区、县级文物保护单位。
各级文物保护单位的确定，由所在辖区内的文物行政管理部门提出建议，报经该级人民政府核定公布，并报上级政府备案。
第六条 对于尚未公布为文物保护单位的有价值的文物，各级文物行政管理部门可以临时指定为保护对象，加以保护，任何单位和个人不得破坏。
第七条 为了保护文物保护单位原有的环境风貌，其周围要划出一定的地带为保护范围。重点文物保护单位在保护范围以外，还庆划出一定的地带作为控制范围。各级文物行政管理部门要会同规划部门，根据实际情况具体划定，并作出标志说明，建立科学记录档案。
座落在农田中有石刻、墓葬等文物保护单位，应在其周围划出适当面积的土地作为保护地带和通道，以利于开放游览。
第八条 在文物保护单位的保护范围内，不得进行其他新的建设工程（包括二百平方米以下的项目），不得拆除、改建原有建筑及其附属物，不得存放易燃易爆物品，不得随意挖土、采石和开路，不得排放“三废”污染环境。
确因特殊需要，必须兴建、改建或拆除原建筑物时，须经市文管会同意，市规划局批准。拆除的建筑构件、材料，归市文管会用于文物维修。对现有污染环境的工厂企业，应限期治理、转产或搬迁。
在文物保护范围附近兴建、改建建筑期，其形式、高度、体量、色调均须与文物保护单位的建筑物相协调，设计方案，也须事先征得市文管会的同意。
第九条 城建、规划部门在制订城乡建设规划时，应会同文物行政管理部门将历史文化名城及其文物古迹纳入城乡建设总体规划，制定保护维修的长期规划和分期实施计划。
第十条 市、区、县文物行政管理部门要会同有关部门经常进行文物古迹的调查、研究、宣传、征集。发现确有价值的文物古迹，应按本办法予以保护，并及时报批；确需搬迁或拆除的文物，须由市文管会会同市规划局、城建局事先商定，并应进行照相、测绘，保留必要的图纸和资料
，归入原始记录档案。
第十一条 已确定的文物保护单位，根据需要和可能，经同级人民政府批准，辟为博物馆、陈列馆、纪念馆和参观游览场所。
对已经使用古建筑、古遗址和革命纪念建筑物的单位，须经市文管会重新审查，分别处理。凡属有损文物安全和有碍观瞻的单位，必须限期迁出；允许继续使用的单位，须与市文管会签订《文物保护合同》，承担文物保护维修的责任。
第十二条 所有管理使用文物古迹的单位，都要设立文物管理机构，或配备专职人员，并按照“谁用谁修”的原则，负责对文物古迹的维护，严格保护和恢复文物古迹的原貌和现状。维修方案的设计和施工过程，应在市、区、县文物行政管理部门的指导下进行。
第十三条 任何单位和个人不准拆城取砖，不准擅自挖掘古墓和其他地下文物，不准将出土文物据为私有。在生产建设中发现古墓葬、古文化遗址或其他文物时，施工部门必须对现场严加保护立即向市文管会报告，听候处理。市文管会 应及时组织有关单位前往调查研究，进行鉴定和?
怼?
第十四条 银行、古旧书店、废旧物资回收部门以及金属冶炼、造纸等单位要认真做好拣选文物工作，发现文物应及时与市文管会联系，经鉴定后，按照文物价值大小，分别予以处理。
第十五条 文物商店（包括有艺术价值的珠宝、翠玉、金银首饰），一律由文物商店归口经营，统一收购，统一销售，任何单位和个人不得私自买卖文物，不得出口珍贵文物。一般历史文物的出口， 严格遵照国家规定的文物出口标准，办理报批手续。海关应严格检验制度。
第十六条 国家规定的珍贵石刻、砖刻，任何单位和个人不得擅自捶拓。有特殊需要的，应按国家有关规定办理。
第十七条 对保护文物有下列事迹之一的单位和个人，由文物行政管理部门或建议政府给予精神的或物质的奖励：
一、发现文物能及时上报，使文物得到保护的；
二、发现文物受到人为的或自然的破坏能及时上报、保护、抢救，使文物免遭破坏的；
三、将个人收藏的重要文物损献给国家的；
四、认真执行文物政策、法令，保护文物或从事文物工作成绩显著的；
五、在文物保护科学技术、科学研究上有创造或有贡献的。
第十八条 具有下列行为之一的单位或个人，由市文管会会同有关部门，分别情节轻重，给予批评教育、行政处分、经济制裁或提请司法机关追究刑事责任：
一、贪污盗窍国家文物的；
二、进行文物走私和投机倒把活动的；
三、故意涂写、刻划、污损文物的；
四、私自挖掘古墓和其他地下文物的；
五、过失或失职造成文物损毁、丢失和或流出国境的；
六、在基本建设工程或生产建设中，发现文物隐匿不报或对文物造成破坏、流失的；
七、违反或指使、纵容他人违反文物保护法律、法令和本办法的；
八、阻挠文物管理部门进行文物保护、管理和维修工作的。
第十九条 本办法如与国家颁布的文物保护法有不相符合之处，应以国家文物保护法为准。
第二十条 本办法自公布之日起施行。全市城乡所有机关、部队、团体、学校、工矿、公社及一切企业事业单位和个人，均应遵守本办法。
1982年7月29日
