Securities and Futures (Approved Holding Companies) Regulations 2005
Table of Contents
Enacting Formula
Part I PRELIMINARY
1 Citation and commencement
2 Definition
3 Forms
4 Fees
5 Keeping of books and other information
Part II APPROVAL OF HOLDING COMPANIES
6 Application for approval
7 Criteria to be taken into account by Authority
Part III REGULATION OF APPROVED HOLDING COMPANIES
8 Obligation to notify Authority of certain matters
9 Obligation to submit periodic reports
10 Exceptions to obligation to maintain confidentiality
11 Business continuity plan
12 Application and criteria for approval to acquire substantial shareholding
13 Application for approval of chairman, chief executive officer, director and key persons
14 Criteria for approval of chairman, chief executive officer, director and key persons
15 Criteria to determine failure to discharge duties or functions by officers
Part IV OFFENCES
16 Offences