In these Rules, unless the context otherwise requires-
"dealing in securities" (證券交易) has the meaning assigned to it by Part 2 of Schedule 5 to the Ordinance;
"margin client" (保證金客戶) means-
(a) in relation to a corporation licensed for dealing in securities, a client to whom the corporation provides securities margin financing; or
(b) a client of a corporation licensed for securities margin financing;
"systems of control" (監控系統), in relation to a licensed corporation or an associated entity of an intermediary, means in so far as applicable the internal controls and trading, accounting, settlement and stock holding systems it has implemented to ensure its compliance with the provisions specified in section 4(1)(e).