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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救援列车轨道起重机司机作业规则
铁道部
救援列车轨道起重机司机作业规则
铁道部
第一章 总 则
第1条 为了提高事故救援作业效率,安全迅速地起复事故机车和车辆,及时地开通线路恢复行车,特制定本规则。
第2条 每台轨道起重机(以下简称起重机)由固定的起重机司机和副司机(以下分别简称司机、副司机)包用并共同保持其状态良好。主管单位在司机中任命一人为司机长,对起重机的管理负责。
第3条 司机应熟知起重机的构造和作用,具有管理、保养起重机的能力,并对起重机的操纵、保养负责;熟悉《铁路技术管理规程》和有关起重机安全作业的规章、办法。在经过不少于铁路局规定的实际操作训练时间之后,经考试合格,取得司机驾驶证方可操纵起重机;无驾驶证的
任何人均不准操纵起重机。
第4条 起重机司机在工作前应充分休息,不饮酒。在工作中必须精力集中,严禁从事与操纵起重机无关的任何活动。
第5条 司机必须经过体格检查,体格检查不合格者不准驾驶起重机。在任职期间,还应定期进行体格检查,不合格者,应调整其工作。
第6条 副司机在司机的领导下做好起重机的保养维修工作,掌握柴油机或蒸汽机的构造作用和性能,具备检查、给油、保养起重机的一般知识和安全作业常识,认真执行有关安全的各项规定。
第7条 司机与副司机如不通知对方,不得离开起重机。司机必须短时间离开起重机时,应将各手柄置于中立位,单阀制动。副司机不得代行司机职务。
第二章 司机于起重机工作前的准备工作
第8条 蒸汽起重机发动前,司机应认真检查确认下列各项:
1.各运动部件及轴承的油润与给油装置的状态是否良好。
2.蒸汽机和传动部分的安全设备及防护装置是否完好。
3.螺帽和键是否紧固,填料有无漏泄。
4.松开制动机,使机械空转数次,试验制动力,确认其作用良好。
5.钢丝绳、链条、绳轮及吊钩状态是否良好。
6.支持梁、支重机等是否良好。
7.起重机照明装置、标志灯及汽笛是否良好。
8.煤、水、砂、油贮量是否充足。
9.锅炉各安全装置(汽压表、水表、安全阀等)及给水装置作用是否良好。
10.各种仪表是否指示规定标准。
第9条 内燃起重机发动前,司机应认真检查确认下列各项:
1.闭合蓄电池闸刀,检查电压表是否指示规定标准。
2.油、水是否充足,各管路不得有漏泄,注意油温、水温是否符合规定。
3.走行、起重、传动部件的油润与给油装置状态是否良好。
4.传动部分的安全防护装置是否良好。
5.钢丝绳、绳轮及吊钩状态是否良好。
6.支持梁、支重机等是否良好。
7.起重机照明装置、标志灯及风笛作用是否良好。
8.各项检查完毕,使机械空转,确认作用良好方可作业。
第10条 经过彻底检查后,起重机各部状态确属良好,一切准备工作就绪,方可开始工作,并将检查结果记入值班交接簿内。
第三章 司机在起重机工作中的职责
第11条 起重机在开始作业前,司机应确认车上车下所有人员均已处于安全位置,鸣笛后方可作业。走行时应认真了望,确保安全。
第12条 起重机在进入作业地区前,司机应确认线路状态是否良好,线路不良不得将起重机开入,并立即要求有关部门修复。
第13条 司机在作业中要密切注意各处风压保持规定压力。
第14条 蒸汽起重机作业前,司机要先行预热汽缸,开放汽缸排水阀;开汽时不宜过猛。
第15条 作业中司机要对副司机的工作随时给予指导和监督。
第16条 起重机自力走行的速度不得超过其规定。在上下转盘、接近尽头线、出入厂房、出人检衡线及连挂车辆时,速度不得超过3公里/小时。
第17条 在坡道上停放起重机时,应打好止轮器并拧紧手闸,在6‰以上的坡道上作业时应连挂机车。
第18条 起重机不得进行调车作业。
第19条 禁止起重机在六级以上大风及不能确保安全的恶劣天气条件下进行作业。
第20条 司机应遵照指挥人员的信号进行操作并与起重工密切配合。若指挥人员发出的信号违反规定或不明时,司机应停止作业,待查清情况后再继续作业,但对任何人发出的停止信号,司机均应立即执行。
第21条 起重作业中,司机不得离开岗位或从事其它工作。
第22条 起重机不得在电气化铁路架空输电线路下面作业,在其附近作业时,起重机和吊件的任何部分与接触网设备的带电部分需保持二米以上的距离;与架空电力输电线路的最小距离应不少于下表规定:
-----------------------------
|输电线路电压|35及以下|66—110|154|220|
| (千伏) | | | | |
|------|-----|------|---|---|
| 最小距离 | 3 | 4 | 5 | 6 |
| (米) | | | | |
-----------------------------
第23条 蒸汽起重机在驶入建筑物内或容易发生火灾的处所时,应关闭灰箱门,停止清炉及使用送风器。
第24条 在冬季作业时,司机应注意做好起重机防寒工作,防止冻结。
第25条 在夜间或雾天作业时,司机应注意保持工作地点的充分照明。视野不清时应停止作业。
第26条 起吊物件时,司机应严守下列规定:
1.起重机的吊钩应垂直于吊件上方,不准斜吊物件。
2.起吊物件时,司机应确认钢丝绳等各种索具、卡具状态良好。起吊作业中,如发现任何部分磨损扩大或钢丝绳发生断股时,司机应立即将物件放下进行处理。
3.在任何情况下,不得起吊超过起重机标志牌所示的起重能力的物件。如不知物件重量,应即查明后再行作业。
4.起吊接近最大起重能力的物件时,应先将物件吊起,离地面50—100毫米时停止,检查起重机稳定,各部无异状,再继续起吊。
5.起吊物件时,司机要注意钢丝绳有规律地向滚筒上缠绕,严防缠绕于滚筒边缘上。放下物件时,司机需注意钢丝绳剩余部分在滚筒上的长度不得少于滚筒三周。
6.起吊物件时,司机应注意勿使吊钩与吊臂滑车间的距离小于200毫米。
7.禁止起重机同时进行两种及以上的动作。
8.不得用吊钩起吊或摇动埋在地下或固着于地面的物件。需要起吊时,必须先将埋在物件周围的土沙清除后再行起吊。
9.起重机各部件的运转或制动均应平稳,避免发生冲动。机械运转不得突然改变方向。摘挂离合器时,应在机械动作缓慢的情况下进行。
10.起吊机车、车辆等大型物件时,必须使用支持梁及轨道卡子,使起重机支撑牢固,以确保整机稳定,严防起重机翻倒或倾斜。
11.起吊作业时,严禁有人攀扶吊钩或站在吊物上。
12.不得在吊起物件时关机停止工作。
第27条 物件吊起后需要移动起重机时,司机应遵守下列规定:
1.密切注意附近人员安全。
2.起吊高度应高于地面物体0.5米以上。
3.当起重机车轮有发生空转预兆时,司机应予防止,必要时应指派专人进行人工撒砂。
第28条 两台起重机同时起吊一件物体时,司机应遵守下列规定:
1.听从由救援列车主任指定的专人统一指挥。
2.起吊物重量不得超过较小型起重机起重能力的二倍。
3.遇有一台起重机或索具发生异状时,两台起重机应同时将物件放下。
4.司机应注意两台起重机的距离不致危及安全。两起重机在作业中需要接近时,应在指挥人员引导下进行并互相鸣笛警告以防冲撞。
第29条 起重机因故必须立即放下吊起的物件但又不能放下时,司机应紧急鸣笛示警,并对其附近进行必要防护。
第30条 起重机在曲线上作业时,起吊物件向曲线内侧回转时,必须使用支持梁,将轨道卡子卡好且吊件重量要较起重机指示起重量减少20%;向曲线外侧回转时,不必减少。
第四章 司机在起重机工作后的职责
第31条 起重机作业完毕后,司机应遵守下列规定:
1.将吊钩提起。吊臂与轨道中心一致并放在吊臂架上,栓好拉杆。各支持梁恢复原位,栓好定位销。
2.将起重机停留于指定地点,作好防溜措施并指定专人看管。蒸汽起重机有火停留时,必须由副司机或司机看管。内燃起重机需待柴油机水温降至停机温度以下或空转一段时间后再行停机,司机应亲自检查油、水存量。
3.摘开走行轮,各手柄置于中立位,单阀置于运转位,排除剩余风压,断开蓄电池闸刀。冬季应排除积水。
4.认真检查起重机各部状态,发现不良处所应立即修复并作出记录。
第32条 司机换班时,需按职称对口检查起重机,作出交接记录。
第33条 在寒冷地区起重机停机后,司机要做好排水防冻工作,内燃起重机尚应视具体情况进行打温。
第五章 司机在起重机保养维修工作中的职责
第34条 蒸汽起重机保养维修,司机应遵守以下规定:
1.起重机各部状态要经常保持良好和清洁。
2.汽缸盖、填料盒、排水阀及蒸汽管系等各部不漏泄。
3.各摩擦部分保持油润良好。
4.作好锅炉保养:无漏泄,正确投药、放水,保持注水器作用良好。
5.按规定工作时间标准对锅炉进行洗炉,清除水垢及烟垢。
6.根据锅炉状况定期检查火室、锅胴等状态,校对水表及汽压表、喷汽试验安全阀。
第35条 内燃起重机保养维修,司机应遵守以下规定:
1.起重机各部状态要经常保持良好和清洁。
2.柴油机及油、水、风管路无漏泄。
3.各摩擦部分保持油润良好。
4.按规定工作时间标准施行定期保养,更换或清扫各种滤清元件及油脂。
5.定期校对各种仪表。
第六章 附 则
第36条 本规则未尽事项,各铁路局可结合具体情况制定补充细则,报部备案后实行。
1989年9月20日