Chapter Number and Title of Enactment
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Chapter: | 571N | Title: | SECURITIES AND FUTURES (FINANCIAL RESOURCES) RULES |  | |
: If this pencil mark appears at the beginning of a provision, that provision is subject to amendments that are already in operation but have not yet been incorporated in its text.
| Cap 571N | Empowering section | |
| Cap 571N Part 1 | PRELIMINARY | |
| Cap 571N s 1 | (Omitted as spent) | |
| Cap 571N s 2 | Interpretation | |
| Cap 571N Part 2 | ACCOUNTING TREATMENT | |
| Cap 571N s 3 | Accounting treatment | |
| Cap 571N Part 3 | FINANCIAL RESOURCES REQUIREMENTS | |
| Cap 571N s 4 | Licensed corporations to maintain financial resources | |
| Cap 571N s 5 | Paid-up share capital requirement for licensed corporations | |
| Cap 571N s 6 | Liquid capital requirement for licensed corporations | |
| Cap 571N Part 4 | LIQUID CAPITAL | |
| Cap 571N Part 4 Division 1 | General | |
| Cap 571N s 7 | Calculation of liquid capital and required liquid capital | |
| Cap 571N Part 4 Division 2 | Computation basis | |
| Cap 571N s 8 | Accounting for transactions on trade date basis | |
| Cap 571N s 9 | Valuation of proprietary positions, etc. | |
| Cap 571N s 10 | Pairs of transactions | |
| Cap 571N s 11 | No set-off | |
| Cap 571N s 12 | Transactions in margined accounts | |
| Cap 571N s 13 | Treatment of exercised options contracts | |
| Cap 571N s 14 | Assignments | |
| Cap 571N s 15 | Treatment of securities borrowing and lending agreements | |
| Cap 571N s 16 | Treatment of repurchase transactions | |
| Cap 571N Part 4 Division 3 | Liquid assets | |
| Cap 571N s 17 | Computation basis | |
| Cap 571N s 18 | Exclusions from liquid assets | |
| Cap 571N s 19 | Assets provided to others as security | |
| Cap 571N s 20 | Cash in hand and at bank | |
| Cap 571N s 21 | Amounts receivable from clients in respect of purchase of and subscription for securities | |
| Cap 571N s 22 | Amounts receivable in respect of providing securities margin financing | |
| Cap 571N s 23 | Amounts receivable from counterparties in respect of dealings in securities | |
| Cap 571N s 24 | Amounts receivable in respect of dealings in securities by common clients | |
| Cap 571N s 25 | Amounts receivable from licensed corporations licensed for Type 8 regulated activity | |
| Cap 571N s 26 | Cash provided as security for short selling | |
| Cap 571N s 27 | Proprietary positions of licensed corporations | |
| Cap 571N s 28 | Amounts receivable from clearing houses, etc. | |
| Cap 571N s 29 | Amounts receivable from other dealers in respect of dealings in futures contracts and options contracts | |
| Cap 571N s 30 | Amounts receivable from clients in respect of purchase of exchange-traded options contracts | |
| Cap 571N s 31 | Exchange-traded options contracts trading for own account | |
| Cap 571N s 32 | Amounts receivable under securities borrowing and lending agreements | |
| Cap 571N s 33 | Amounts receivable under repurchase transactions | |
| Cap 571N s 34 | Amounts receivable in respect of leveraged foreign exchange trading | |
| Cap 571N s 35 | Miscellaneous assets | |
| Cap 571N Part 4 Division 4 | Ranking liabilities | |
| Cap 571N s 36 | Computation basis | |
| Cap 571N s 37 | Amounts payable to clients, etc. | |
| Cap 571N s 38 | Amounts payable in respect of dealing in securities | |
| Cap 571N s 39 | Amounts payable in respect of dealing in securities by common clients | |
| Cap 571N s 40 | Futures contracts and options contracts dealing, etc. | |
| Cap 571N s 41 | Leveraged foreign exchange trading | |
| Cap 571N s 42 | Provision of securities margin financing | |
| Cap 571N s 43 | Short positions in securities (other than options contracts) and specified investments | |
| Cap 571N s 44 | Concentrated proprietary positions | |
| Cap 571N s 45 | Securities borrowing and lending agreements | |
| Cap 571N s 46 | Repurchase transactions | |
| Cap 571N s 47 | Net underwriting commitments | |
| Cap 571N s 48 | Off-exchange traded derivative contracts | |
| Cap 571N s 49 | Interest rate swap agreements | |
| Cap 571N s 50 | Foreign exchange agreements | |
| Cap 571N s 51 | Introduction of transactions | |
| Cap 571N s 52 | Miscellaneous | |
| Cap 571N s 53 | Other liabilities | |
| Cap 571N Part 5 | MISCELLANEOUS | |
| Cap 571N s 54 | Licensed corporations to notify Commission of failure to comply with these Rules | |
| Cap 571N s 55 | Licensed corporations to notify Commission of circumstances relating to financial resources and trading activities and to submit returns in certain cases | |
| Cap 571N s 56 | Licensed corporations to submit returns to Commission | |
| Cap 571N s 57 | Licensed corporations to provide information | |
| Cap 571N s 58 | Approvals | |
| Cap 571N s 59 | Withdrawal of elections made under these Rules | |
| Cap 571N s 60 | Transitional | |
| Cap 571N Sched 1 | FINANCIAL RESOURCES REQUIREMENTS | |
| Cap 571N Sched 2 | HAIRCUT PERCENTAGES | |
| Cap 571N Sched 3 | SPECIFIED EXCHANGES | |
| Cap 571N Sched 4 | FINANCIAL COMMITMENTS | |
| Cap 571N Sched 5 | NOTE ISSUANCE AND REVOLVING UNDERWRITING FACILITIES |
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