CAP 571A SECURITIES AND FUTURE-法律法规_湾区律师网
CAP 571A SECURITIES AND FUTURE-法律法规
2022-08-05 00:30:18 浏览：1031 来源：网络
【法规名称】 CAP 571A SECURITIES AND FUTURES (UNSOLICITED CALLS-EXCLUSION) RULES ...
【法规名称】
【法规编号】 82453 什么是编号？
【正 文】
CAP 571A SECURITIES AND FUTURES (UNSOLICITED CALLS-EXCLUSION) RULES
| (Cap 571, section 397(1)) [1 April 2003] L.N. 12 of 2003 (L.N. 185 of 2002) Cap 571A s 1 (Omitted as spent) (Omitted as spent) Cap 571A s 2 Interpretation In these Rules, unless the context otherwise requires- "call" (造访) has the meaning assigned to it by section 174(7) of the Ordinance; "Monetary Authority guideline" (《金融管理专员指引》) means the Guideline of the Monetary Authority issued in November 1995 and published in the Gazette under section 7(3) of the Banking Ordinance (Cap 155) as G.N. 4679 of 1995 on 17 November 1995, as amended and published under that section from time to time; "recipient" (接收人), in relation to a communication, includes a person who reads or hears the communication; "unsolicited call" (未获邀约的造访) has the meaning assigned to it by section 174(7) of the Ordinance. Cap 571A s 3 Excluded unsolicited calls (1) For the purposes of section 174(3)(a) of the Ordinance, section 174 of the Ordinance does not apply to any agreement- (a) to sell securities of a corporation to; or (b) to purchase securities of a corporation from,a person who is already the holder of securities of that corporation. (2) For the purposes of section 174(3)(d) of the Ordinance, section 174 of the Ordinance does not apply to any unsolicited call that is- (a) a permissible communication; or (b) made by a registered institution- (i) in relation to a leveraged foreign exchange contract; and (ii) which complies with the requirements under the Monetary Authority guideline that apply to a registered institution.(3) For the purposes of subsection (2)(a), a permissible communication is any communication that is not made in the course of any of the following acts- (a) a visit in person; (b) a telephone conversation; (c) any other interactive dialogue in the course of which statements and responses to them are exchanged immediately.(4) In deciding whether or not a communication is made in the course of the act referred to in subsection (3)(c), the court shall have regard to the following factors the presence of any of which indicates a permissible communication- (a) the communication is made to more than one recipient in identical terms (save for details of the recipient's identity); (b) the communication is made by way of a system which in the normal course constitutes or creates a record of the communication which is available to the recipient to refer to at a later time; (c) the communication is made by way of a system which in the normal course does not require the recipient to respond immediately to it. |
高级合伙人 王博律师
广东华商律师事务所
知识产权，合同纠纷，经济纠纷，医疗纠纷，房产纠纷，公司风控，企业顾问等
曾任中南财经政法大学知识产权研究中心研究员、武汉市江汉区司法局副局长、民革江汉区工委副主委等。现任华商律师事务所高级合伙人、香港律师会登记备案律师、香港张嘉伟律师事务所中国法首席顾问，多地仲裁员。兼任：武汉大学研究员、研究生校外导师，西北政法大学客座教授、研究生校外导师，中南财经政法大学知识产权（学院）研究中心研究员，南京理工大学/江苏商标品牌研究中心研究员，暨南大学、深圳大学等高校法学院研究生校外导师，深圳市知识产权专家库专家，佛山市知识产权侵权检验鉴定专家库专家，秦皇岛市知识产权专家库专家等。 擅长：知识产权、婚姻继承、合同纠纷、公司事务等民商事业务争端解决及刑事辩护，尤其擅长各类刑民交叉等疑难复杂案件的诉讼业务，对重大疑难案件的解决方案具有丰富经验。评论区
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