Cap 571J s 4 Particulars to be notified on ceasing to be an associated entity (SECURITIES AND FUTURES (ASSOCIATED ENTITIES-NOTICE) RULES; SECURITIES AND FUTURES ORDINANCE)

Contents of Section

Chapter:	571J	Title:	SECURITIES AND FUTURES (ASSOCIATED ENTITIES-NOTICE) RULES	Gazette Number:	L.N. 203 of 2002; L.N. 12 of 2003
Section:	4	Heading:	Particulars to be notified on ceasing to be an associated entity	Version Date:	01/04/2003

(1) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a licensed corporation or a registered institution ceases to be an associated entity of an intermediary are-

(a) its name and business name (if different);

(b) its CE number;

(d) the name of the intermediary.

(2) For the purposes of section 165 of the Ordinance, the particulars required to be provided to the Commission in the event that a corporation other than a licensed corporation or a registered institution ceases to be an associated entity of an intermediary are-

(a) the date it ceased to be an associated entity of the intermediary;

(b) the name of the intermediary;

(c) whether all client assets of the intermediary that are received or held by it prior to its ceasing to be such associated entity have been fully accounted for and properly disposed of and, if not, the particulars of any such client assets of the intermediary that have not been fully accounted for and properly disposed of; and

(d) the facts that gave rise to the corporation ceasing to be an associated entity of the intermediary.

(3) Where an associated entity that ceases to be such associated entity is an authorized financial institution, subsection (2)(c) does not apply to it.