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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广州市防治烟尘污染规定
广东省广州市人民政府
广州市防治烟尘污染规定
广州市人民政府
第一条 为防治烟尘污染，保障人民身体健康，根据《中华人民共和国环境保护法（试行）》有关规定，制定本规定
第二条 本规定适用于广州市行政区域内的单位和个人。
第三条 各级环境保护部门是防治烟尘污染的主管机关。
公安部门、劳动部门、港务监督应协同环境保护部门对烟尘污染实施监督管理。
街道办事处应对辖区内造成烟尘污染的单位和个人进行监督。
各行业的主管部门，应督促、帮助所属单位按照本规定的要求，防治烟尘污染。
第四条 计划、经济、城乡建设部门，应结合老城区改造和新城区建设，有计划地实行连片、集中供热，发展气化燃料。
目前工业用煤应推广型煤，生活用煤应推广固硫蜂窝煤。
第五条 燃料供应部门应按择优供应的规定，对耗能高、黑烟污染严重的单位，实行削减或停止燃料供应等限制措施。
低硫、低灰份煤应优先供应民用。
第六条 锅炉、工业炉窑、食堂和营业性生活炉灶、机动船舶、柴油机的烟囱，按林格曼烟色图，正常排烟黑度不得超过一级；阵发性排烟黑度不得超过二级，每次时间不得超过二分钟。排出每立方米烟气的含尘量不得超过二百毫克。超过标准的必须治理，并按规定缴纳超标排污费。
第七条 居民区、文教区、风景名胜区、自然保护区、疗养区不准新建沸腾炉、喷粉炉和其他污染严重的工业生产炉、窑。已有的应限期治理，调整或搬迁。
第八条 新建、扩建、改建的炉、窑、灶及排烟装置，必须执行环境影响报告书（表）制度；防止烟尘污染设施必须与主体工程同时设计、同时施工、同时投产或使用；工程竣工后，经环境保护部门验收合格，方准投产。
第九条 各种炉、窑、灶都应推广先进的燃烧方式。每小时蒸发量一吨和一吨以上的燃煤锅炉，必须采用机械投煤。每小时一吨以下的燃煤锅炉、食堂和营业性生活炉灶，应采用反烧法等燃烧技术。燃油炉窑，应推广机械化、自动化操作，采用合理的喷燃器。
第十条 新生产的锅炉，必须配有符合国家要求的消烟除尘装置。否则不准出厂、销售和使用。
第十一条 禁止使用、转让、销售国家规定淘汰的锅炉。
禁止锅炉和其他工业炉窑超负荷运行。
第十二条 新建锅炉烟囱和工业炉窑烟囱的高度，必须符合国家的规定，并应高出烟囱周围半径三十米内最高建筑物三米。现有烟囱高度未达到标准的，应限期改造。
食堂和有固定建筑物的营业性生活炉灶的烟囱，以及柴油机排烟筒，一般应高出相邻的建筑物。
受飞机航线限制的烟囱高度，可由环境保护部门按照具体情况核定。
第十三条 燃料、煤灰渣的储存、运输和堆放，必须采取防尘措施，不得污染周围环境。
第十四条 加强设备的维护保养，防止烟尘粉末泄漏。已有的消烟除尘设施，必须及时维修、保养；失效的必须更换，保证与主体设备同时使用。
第十五条 凡有炉、窑的单位，都必须建立、健全燃烧操作规程和司炉工的岗位责任制管理制度，从管理上和操作上控制烟尘污染。
第十六条 禁止在市区内燃烧塑料、橡胶、皮革、布碎、垃圾、落叶以及其他产生烟尘、有害气体、臭气等废弃物。
第十七条 环境保护部门对超过标准排放烟尘的单位和个人，应责令其限期治理。对烟尘污染严重又缺乏原地治理条件的，可按其隶属关系，报经省、市、区、县人民政府批准，责令其停产或者搬迁。
第十八条 广州市和外地来市的机动车辆排气，必须符合国家规定的《汽油车怠速污染物排放标准》、《柴油车自由加速烟度排放标准》、《汽车柴油机全负荷烟度排放标准》及有关机动车辆污染物排放标准。
第十九条 在广州生产、装配和维修的机动车，必须经过排气检测，达到国家标准的，方准出厂；新购或从外地迁入广州的机动车，必须经过排气检测，达到国家标准的，方可申领牌照。
机动车的排气状况必须纳入年检项目，达到国家标准的，方可发给车辆行驶执照。
环保、公安部门对在广州市行驶的机动车辆必须经常抽查检测，达不到国家标准的，不准行驶。
第二十条 对违反本规定的单位和个人，公民有权监督并向环保部门反映。环境保护部门对防治烟尘污染有显著成绩的单位和个人，应给予表扬或奖励。
第二十一条 对违反本规定的单位和个人，由环境保护部门或监督管理部门，根据情节轻重，分别给予警告、通报批评，责令赔偿损失、罚款等一项或多项处理。
第二十二条 生活炉灶、锅炉、工业炉窑、柴油机的排烟装置，经环境监测部门监测，如一小时内冒二级黑烟累计满十五分钟或冒三级黑烟累计满五分钟经批评教育不改的，可按下列规定分别给予罚款：
小食店和食堂生活炉灶，个体工商业户炉灶，50马力以下柴油机，罚款五十元至二百元。
一吨以下锅炉，每小时最大标煤耗100公斤以下工业炉窑，50至200马力柴油机，茶楼、饭店、宾馆等生活炉灶，罚款一百元至五百元。
1至4吨锅炉，每小时最大标煤耗100至400公斤工业炉窑，200至600马力柴油机，罚款三百元至一千元。
4至10吨锅炉，每小时最大标煤耗400至1000公斤工业炉窑，600马力以上柴油机，罚款七百元至二千元。
10吨以上锅炉，每小时最大标煤耗1吨以上工业炉窑，罚款一千元至三千元。
烟色黑度每上升一级可递增罚款50％；冒黑烟时间每增加5分钟可递增罚款30％。限期治理不按期完成的，超负荷运行的，对消烟除尘设施弃置不用的，或不及时维修、保养、更新以致失效的，加重处罚。
第二十三条 本市机动车辆经检测排气超标的，罚款五十无，并停驶治理；外地来市的机动车辆经检测排气超标者，每天罚款三十元，并限期离市。
第二十四条 违反本规定第八条的，按《广州市建设项目控制新污染实施办法》处罚。
第二十五条 违反本规定第十条、第十一条、第十二条第一款、第十三条、第十四条，或不按规定期限治理粉尘污染的，给予二千元以下罚款。重犯者，加重处罚。
第二十六条 违反本规定第十六条的，对单位给予五百元以下罚款；对个人给予五十元以下罚款。重犯或屡犯的，加重处罚。
第二十七条 因违反本规定造成公、私财产重大损失或人身伤亡的单位负责人或直接责任人，环境保护部门可给予二十元至一百元罚款，或建议其所在单位、上级主管部门给予扣发资金或行政处分，并责令其赔偿受害者经济损失。触犯刑法的，依法追究刑事责任。
第二十八条 当事人对区、县环境保护部门或市环境监理部门处理不服，可在收到处罚通知之日起十五天内向广州市人民政府环境保护办公室申诉，逾期不申诉，又不履行的，或经市环境保护办公室裁决后仍不执行的，环境保护部门可以向人民法院申请执行。
第二十九条 罚款按有关规定上缴地方财政管理。用于防治烟尘污染和奖励防治烟尘污染有显著成绩的单位和人员。专款专用。
第三十条 本规定自一九八六年九月一日起生效，原《广州市消烟除尘管理条例（试行）》同时废止。
第三十一条 本规定由广州市人民政府环境保护办公室负责解释。
1986年7月2日
