SECURITIES (CLEARING HOUSES) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (CLEARING HOUSES) ORDINANCE
(CHAPTER 420)
CONTENTS
ion
I PRELIMINARY
hort title
nterpretation
II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
ules of recognized clearing houses, etc.
III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD
ATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over law
of
lvency
upplementary provisions as to default proceedings
uty to report on completion of default proceedings
et sum payable on completion of default proceedings
isclaimer of property, rescission of contracts, etc.
Adjustment of prior transactions
Right of relevant office-holder to recover certain amounts
arising
certain transactions
Application of market collateral not affected by certain other
rests, etc.
Enforcement of judgments over property subject to market charge,
etc.
Law of insolvency in other jurisdictions
IV MISCELLANEOUS
Participant to be party to certain transactions as principal
Securities deposited with recognized clearing house
Immunity, etc.
Preservation of rights, etc.
Amendment of Schedules 1 and 2
(Omitted as spent)
Transitional
dule 1 Property which may be subject to a market charge or provided
as
et collateral
dule 2 Requirements for default rules of recognized clearing
houses
dule 3 (Omitted as spent)
Whole document:
rdinance to empower the Commission to declare clearing houses
to be
gnized clearing houses for the purposes of this Ordinance, to
provide
the approval by the Commission of the rules of recognized
clearing
es, to make provision for safeguarding the operations and
procedures
ecognized clearing houses, and to provide for matters
incidental
eto or connected therewith.
ctober 1992] L. N. 324 of 1992
PART I PRELIMINARY
hort title
This Ordinance may be cited as the Securities (Clearing
Houses)
nance.
(Omitted as spent)
nterpretation
In this Ordinance, unless the context otherwise requires--
rge" means any form of security, including a mortgage;
aring house" means a person--
whose activities or objects include the provision of services for
the
ring and settlement of transactions in securities effected
on, or
ect to the rules of, the Unified Exchange; or
who guarantees the settlement of any such transactions;
mission" means the Securities and Futures Commission
established by
ion 3 of the Securities and Futures Commission Ordinance (Cap.
24);
stitution", in relation to a clearing house, means the memorandum
and
cles of association of the clearing house;
ault proceedings" means any proceedings or other action taken
by a
gnized clearing house under its default rules;
ault rules", in relation to a recognized clearing house, means
such of
rules of the clearing house which it is required to have by virtue
of
ion 4 (2);
aulter" means a participant who is the subject of any
default
eedings; "functions" includes duties and powers;
ket charge" means a charge, whether fixed or floating,
granted in
ur of a recognized clearing house--
over any property specified in Schedule 1 which is held
by or
sited with the clearing house; and
for the purpose of securing liabilities arising directly in
connection
the clearing house's ensuring the settlement of one or more
market
racts; "market collateral" means any property specified in
Schedule 1
h is held by or deposited with a recognized clearing house for
the
ose of securing liabilities arising directly in connection
with the
ring house's ensuring the settlement of one or more market
contracts;
ket contract" means a contract subject to the rules of a
recognized
ring house entered into by the clearing house with a
participant
uant to a novation which is both in accordance with those rules
and
the purposes of the clearing and settlement of
transactions in
rities effected on, or subject to the rules of, the Unified
Exchange;
icer" means an officer within the meaning of section 2
of the
anies Ordinance (Cap. 32);
ticipant" means a person who, in accordance with the rules
of a
gnized clearing house, may participate in one or more of the
services
ided by the clearing house in its capacity as a clearing house;
formance", in relation to a function, includes discharge and
exercise;
ognized clearing house" means a clearing house declared under
section
) to be a recognized clearing house for the purposes
of this
nance;
evant office-holder" means--
the Official Receiver appointed under section 75 of the
Bankruptcy
nance (Cap. 6);
any person acting in relation to a company as its
liquidator,
isional liquidator, receiver or manager;
any person acting in relation to an individual as his
trustee in
ruptcy or interim receiver of his property; or
any person appointed pursuant to an order for the
administration in
ruptcy of an insolvent estate of a deceased person;
es", in relation to a clearing house--
means the constitution, rules, regulations or directions, by
whatever
called, governing the membership, management,
operations and
edures of the clearing house; and
without restricting the generality of paragraph (a), includes
rules,
lations or directions relating to--
the provision of clearing and settlement services, and the
suspension
ithdrawal of such services;
the provision of services other than the services referred
to in
aragraph (i);
) the persons who may participate in one or more of the
services
rred to in subparagraphs (i) and (ii); and
setting and levying fees and charges;
urities" means securities within the meaning of section 2
of the
rities Ordinance (Cap. 333);
tlement", in relation to a market contract, includes
partial
lement; "Unified Exchange" means the Unified Exchange
established
r section 27 of the Stock Exchanges Unification Ordinance (Cap.
361).
Where--
a charge is granted partly for the purpose specified in the
definition
market charge" and partly for other purposes, the charge is in
this
nance a market charge in so far as it has effect for that
specified
ose;
collateral is provided partly for the purpose specified
in the
nition of "market collateral" and partly for other
purposes, the
ateral is in this Ordinance market collateral in so far as it has
been
ided for that specified purpose.
References in this Ordinance to the law of insolvency
include
rences to every provision made by or under--
the Bankruptcy Ordinance (Cap. 6);
the Companies Ordinance (Cap. 32); and
any other enactment which is concerned with or in any way related
to
insolvency of a person.
References in this Ordinance to settlement in relation to a
market
ract are to the discharge of the rights and liabilities of the
parties
he contract, whether by performance, compromise or otherwise.
PART II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS ORDI-
NANCE AND RULES OF CLEARING HOUSES
ecognized clearing houses
Where the Commission is satisfied that it is appropriate to do
so in
interest of the investing public or in the public interest, or
for the
er regulation of services for the clearing and
settlement of
sactions in securities, it may, with the consent in writing
of the
ncial Secretary, by notice in the Gazette, declare a clearing
house to
recognized clearing house for the purposes of this Ordinance.
Where the Commission makes a declaration under subsection
(1) in
ect of a clearing house--
it shall give notice thereof in writing to the clearing house;
and
the rules of the clearing house in operation immediately
before the
aration shall continue to have effect unless otherwise
specified, or
l such time as is specified, in the notice referred to in paragraph
ules of recognized clearing houses, etc.
Subject to section 3 (2) (b) and subsection (4), no rules
of a
gnized clearing house (including any default rules of the
clearing
e) or any amendment thereto shall have effect unless
approved in
ing by the Commission.
A recognized clearing house shall have rules which provide
for the
ng of proceedings or other action in the event of a
participant
aring to be unable, or likely to become unable, to
meet his
gations in respect of all unsettled market contracts to which he
is a
y, and such rules shall comply with the requirements of Schedule
2.
Where a recognized clearing house takes any default proceedings,
all
equent proceedings or other action taken under its rules
for the
oses of the settlement of market contracts of which the
defaulter
erned is a party shall be treated as done under the default rules
of
clearing house notwithstanding that, but for this subsection,
such
equent proceedings or other action would not be treated as done
under
default rules of the clearing house.
The Commission may, by notice in the Gazette, declare any
class of
s of a recognized clearing house (except any default rules
of the
ring house) to be a class of rules which are not required
to be
oved under subsection (1) and, accordingly, any rules of that
clearing
e which belong to that class (including any amendment thereto)
shall
effect notwithstanding that they have not been so approved.
Without prejudice to the operation of subsection (4), a
recognized
ring house shall submit or cause to be submitted to the
Commission,
the information of the Commission, any of its rules
(including any
dment thereto )--
which belong to a class of rules the subject of a declaration
under
ection (4); and
as soon as practicable after those rules (or amendment thereto,
as the
may be) are made.
A recognized clearing house shall submit or cause to be
submitted to
Commission for its approval the rules of the clearing house and
every
dment thereto except any rules (including any amendment thereto)
which
ng to a class of rules the subject of a declaration under
subsection
Subject to subsections (8) and (9), the Commission shall,
within 6
s after the receipt of any submission under subsection (6)
from a
gnized clearing house, give notice in writing to the clearing
house
its approval of; or
its refusal to approve,
rules or amendment of the rules, as the case may be, or any
part
eof, the subject of the submission.
The Commission may, in a particular case, with the agreement of
the
gnized clearing house concerned, extend the time
prescribed in
ection (7).
The Financial Secretary may, on the advice of the
Commission and
er generally or in a particular case, extend the time
prescribed in
ection (7).
The Commission may request in writing a recognized clearing
house--
to make rules--
specified in the request; and
within the period specified in the request; or
to amend rules--
referred to in the request;
in the manner specified in the request; and
) within the period specified in the request.
Where the Commission is satisfied that a recognized clearing
house
not complied with a request referred to in subsection (10) within
the
od specified in the request, the Commission may direct in writing
the
ring house to comply with the request within such further period
as is
ified in the direction and, accordingly, the clearing house
shall
ly with that request within that further period.
For the purposes of subsection (10), "rules", in relation
to a
gnized clearing house, do not include the constitution of the
clearing
e.
PART III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD OPE-
RATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
roceedings of recognized clearing house take precedence over
law of
lvency
None of the following shall be regarded as to any extent
invalid at
on the ground of inconsistency with the law relating
to the
ribution of the assets of a person on insolvency,
bankruptcy or
ing-up, or on the appointment of a receiver over any of the assets
of
rson--
a market contract;
the rules of a recognized clearing house relating to the
settlement of
rket contract;
any proceedings or other action taken under the rules of a
recognized
ring house relating to the settlement of a market contract;
a market charge;
the default rules of a recognized clearing house; or
any default proceedings.
Subject to subsection (3), the powers of a relevant office-
holder in
capacity as such, and the powers of a court under the
law of
lvency, shall not be exercised in such a way as to
prevent or
rfere with--
the settlement in accordance with the rules of a recognized
clearing
e of a market contract; or
any default proceedings.
Subsection (2) shall not operate to prevent a relevant
office-holder
seeking to recover any amount under section 11 after the
completion
matter referred to in paragraph (a) or (b) of that subsection.
upplementary provisions as to default proceedings
A court may on an application by a relevant office-holder make
such
r as it thinks fit altering or releasing him from compliance with
such
he functions of his office as are affected by the fact that
default
eedings are pending or could be taken, or have been or could have
been
n and, accordingly, such functions of the relevant officeholder
shall
onstrued subject to such order.
Nothing in--
section 12, 14 or 20 of the Bankruptcy Ordinance (Cap. 6); or
section 166, 181, 183, 186 or 254 of the Companies Ordinance
(Cap.
shall prevent or interfere with any default proceedings.
uty to report on completion of default proceedings
A recognized clearing house shall, upon the completion by it of
any
ult proceedings, make a report on such proceedings stating in
respect
ach defaulter--
the net sum, if any, certified by the clearing house to be payable
by
o the defaulter; or
the fact that no sum is so payable,
he case may be, and the clearing house may include in that report
such
r particulars in respect of such proceedings as it thinks fit.
A recognized clearing house which has made a report
pursuant to
ection (1) shall supply the report to--
the Commission;
any relevant office-holder acting in relation to--
the defaulter to whom the report relates; or
that defaulter's estate;
if there is no relevant office-holder referred to in paragraph
(b),
defaulter to whom the report relates.
Where the Commission receives pursuant to subsection (2) a report
made
uant to subsection (1), it may publish notice of that fact in
such
er as it thinks appropriate to bring it to the attention of
creditors
he defaulter to whom the report relates.
Where a relevant office-holder or defaulter receives
pursuant to
ection (2) a report made pursuant to subsection (1), he shall,
at the
est of a creditor of the defaulter to whom the report relates--
make the report available for inspection by the creditor;
on payment of such reasonable fee as the relevant office-
holder or
ulter, as the case may be, determines, supply to the creditor all
or
part of that report.
In subsections (2), (3) and (4), "report" includes a copy of a
report.
et sum payable on completion of default proceedings
The provisions of this section shall apply with respect to any
net sum
ified under section 7 (1) (a) by a recognized clearing house, upon
the
letion by it of any default proceedings, to be payable by or
to a
ulter.
Where a receiving or winding-up order has been made, or a
resolution
voluntary winding-up has been passed, any net sum
shall,
ithstanding any of the provisions of section 34 or 35
of the
ruptcy Ordinance (Cap. 6) or section 264 of the Companies
Ordinance
. 32), be--
provable in the bankruptcy or winding-up or, as the case
may be,
ble to the relevant office-holder; and
taken into account, where appropriate, under section 35
of the
ruptcy Ordinance (Cap. 6) or that section as applied in the case
of a
ing-up order under the Companies Ordinance (Cap. 32).
isclaimer of property, rescission of contracts, etc.
Neither section 59 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to--
a market contract;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral;
a market charge; or
any default proceedings.
Neither section 42 of the Bankruptcy Ordinance (Cap. 6) nor
section
of the Companies Ordinance (Cap. 32) shall apply in relation to
any
matter or thing which has been done pursuant to--
a market contract;
a disposition of property pursuant to a market contract;
the provision of market collateral;
a contract effected by a recognized clearing house for the purpose
of
izing property provided as market collateral, or any
disposition of
erty pursuant to such a contract;
a disposition of property in accordance with the rules of a
recognized
ring house as to the application of property provided as
market
ateral;
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浙江省港口岸线管理办法
浙江省人民政府
浙江省港口岸线管理办法
浙政令〔2010〕280号
《浙江省港口岸线管理办法》已经省人民政府第57次常务会议审议通过,现予公布,自2010年12月1日起施行。
省长
二○一○年十月十二日
(此件公开发布)
浙江省港口岸线管理办法
第一条 为了加强港口岸线管理,保护和合理开发利用港口岸线资源,根据《 中华人民共和国港口法》、《 浙江省港口管理条例》等有关法律、法规,结合本省实际,制定本办法。
第二条 本省行政区域内港口岸线的规划、利用和管理,适用本办法。
第三条 港口岸线的开发利用应当坚持统一规划、有序开发、合理利用的原则。
第四条 省交通运输行政主管部门主管本省的港口岸线工作,具体管理工作由省港航管理机构负责。港口所在地市、县人民政府管理的港口,由市、县港口管理部门具体实施对港口岸线的行政管理。省港航管理机构和所在地港口管理部门,统称为港口管理部门。
发展和改革、经济和信息化、海洋与渔业、国土资源、住房和城乡建设(规划)、水利、环境保护、海事等有关部门,按照各自职责共同做好港口岸线管理的相关工作。
第五条 省交通运输行政主管部门、港口管理部门应当加强对港口岸线资源的调查。对利用率低的港口岸线,通过整合等方式,提高其利用率。
第六条 在港区控制性详细规划编制中,应当优化港区水域陆域总体布局,明确港口岸线以及相应的水域陆域具体范围,统筹港区内集疏运、给排水、供电、通信、安全、口岸管理、环境保护等配套设施的布置,并与城乡规划中的基础设施布局相衔接。
港区控制性详细规划编制和批准程序按照《浙江省港口管理条例》的有关规定执行。
第七条 港口岸线的开发利用应当符合全省港口布局规划、港口总体规划和港区控制性详细规划。任何单位和个人不得违反港口规划使用港口岸线。
第八条 政府投资的港口设施项目使用港口岸线的,依照国家和省有关政府投资项目管理规定执行。
第九条 依照国家规定需要核准的港口设施项目使用港口岸线的,建设单位或者个人可以向港口所在地有核准权的发展和改革行政主管部门提出项目评价申请,并提供相关材料。
发展和改革行政主管部门收到申请后,应当会同港口管理、经济和信息化、国土资源、海洋与渔业、住房和城乡建设(规划)、环境保护、海事等部门对该项目进行初步评价,认为基本符合下列要求的,出具初步评价意见:
(一)符合港口规划、海洋功能区划、土地利用总体规划、城乡规划,港口岸线与土地、海域的配置合理;
(二)符合产业导向,有利于产业布局优化和产业升级;
(三)符合环境保护要求;
(四)符合有关法律、法规及国家相关规定。
经评价认为不符合前款要求的,由发展和改革行政主管部门向申请的建设单位或者个人说明情况。
第十条 建设单位或者个人持初步评价意见办理港口岸线使用、规划选址、土地和海域使用、环境影响评价等审批手续时,港口设施项目的投资主体和建设内容、规模、地点等事项没有发生重大变化的,有关部门应当依法及时办理。
第十一条 在港区内建设码头、船坞、船台等港口设施使用港口岸线的,申请人应当向所在地港口管理部门提出书面申请,并按照下列规定报经批准:
(一)申请使用港口深水岸线的,经省交通运输行政主管部门会同省发展和改革行政主管部门审查并出具意见后,依法报国家有关部门审批;
(二)申请使用适宜建设3000吨级以上泊位的沿海港口非深水岸线的,由所在地港口管理部门审查并出具意见后,报省交通运输行政主管部门征求省发展和改革行政主管部门意见后批准;
(三)申请使用其他港口非深水岸线的,由所在地港口管理部门征求同级发展和改革行政主管部门意见后批准。
第十二条 申请使用港口岸线的,建设单位或者个人应当提交下列材料:
(一)使用港口岸线申请书;
(二)使用港口岸线项目工程的可行性研究报告或者申请报告,内容包括必要性、可行性和经济合理性;
(三)法律、法规和国家规定的其他材料。
第十三条 港口管理部门受理使用港口岸线申请后,应当按照下列规定进行合理性评估:
(一)使用港口深水岸线的,由省港航管理机构组织专家进行合理性评估;
(二)建设客运设施、危险货物作业场所项目使用港口非深水岸线的,由所在地港口管理部门组织专家进行合理性评估。
第十四条 依照国家规定需要核准的港口设施项目,建设单位或者个人依法完成港口岸线使用、规划选址、用地预审、海域使用、环境影响评价等审批手续后,向企业投资行政主管部门申请办理核准手续。对已取得初步评价意见的港口设施项目,企业投资行政主管部门应当依法及时作出是否予以核准的决定。
港口设施项目的核准权限按照国家和省有关规定执行。
第十五条 以招标、拍卖或者挂牌等公开竞争方式提供国有建设用地使用权、海域使用权的港口设施项目需要使用港口岸线的,国土资源、海洋与渔业行政主管部门应当会同港口管理部门,将使用港口岸线的有关要求纳入国有建设用地使用权以及海域使用权出让方案。国有建设用地使用权、海域使用权的出让底价应当体现港口岸线的使用价值。
使用港口岸线的港口设施项目,同时占用土地、海域的,应当由同一主体使用,港口岸线、土地、海域的使用期限应当一致。
第十六条 港口设施项目开工建设时,所在地港口管理部门应当进行现场监督,根据港口岸线使用批准文件核定港口岸线的具体坐标位置。
港口岸线具体坐标位置核定后,由所在地港口管理部门予以登记。登记证应当载明批准文号、港口岸线范围、使用期限等内容。
第十七条 取得港口岸线使用许可的单位和个人,应当自取得港口岸线使用许可之日起2年内进行开发建设。逾期未开工建设,且未向原审批机关申请延期的,应当按照国家有关规定重新办理港口岸线审批手续。
第十八条 取得港口岸线使用许可的单位和个人应当按照批准的范围、功能使用港口岸线,不得擅自改变港口岸线的使用范围、功能。确需改变港口岸线使用范围、功能的,应当向所在地港口管理部门提出书面申请,并由原审批机关批准。
取得港口岸线使用许可的单位和个人依法转让港口岸线使用权或者终止使用港口岸线的,应当书面报告所在地港口管理部门,并由原审批机关办理变更或者注销手续。
第十九条 因工程建设等需要临时使用港口岸线建设港口设施的,建设单位或者个人应当按照《浙江省港口管理条例》的规定,办理临时使用港口岸线审批手续。
建设单位或者个人应当按照临时使用港口岸线批准文件规定的使用期限、范围、功能等要求使用港口岸线。临时使用期届满或者因公共利益需要拆除临时设施的,建设单位或者个人应当及时予以拆除。
第二十条 省交通运输行政主管部门、港口管理部门应当建立健全监督检查制度,定期对港口岸线的使用、管理活动进行监督检查,及时依法查处港口岸线使用、管理活动中的违法行为。
任何单位和个人有权举报违法使用、管理港口岸线的行为。省交通运输行政主管部门、港口管理部门应当及时受理举报事项,经调查核实后,依法予以处理。
第二十一条 违反本办法的行为,法律、法规已有法律责任规定的,从其规定。
第二十二条 省交通运输行政主管部门、港口管理部门及其工作人员有下列行为之一的,由有权机关对直接负责的主管人员和其他直接责任人员给予处分;构成犯罪的,依法追究刑事责任:
(一)超越权限批准使用港口岸线的;
(二)违反港口规划批准使用港口岸线的;
(三)未依法查处违法使用港口岸线,情节严重的;
(四)有其他滥用职权、玩忽职守、徇私舞弊行为的。
第二十三条 有下列行为之一的,由港口管理部门责令限期改正;逾期未改正的,由批准港口岸线使用的港口管理部门撤销港口岸线使用许可,申请人民法院强制拆除违法建设的设施,对港区内的违法建设行为,处1万元以上5万元以下的罚款:
(一)违反港区控制性详细规划建设港口、码头或者其他港口设施的;
(二)未经批准擅自改变港口岸线使用范围、功能的。
第二十四条 违反本办法规定,临时使用港口岸线修建的临时设施使用期届满未拆除的,由所在地港口管理部门责令限期拆除,并处3万元以下的罚款;逾期未拆除的,由所在地港口管理部门代为拆除,拆除费用由临时使用港口岸线的建设单位或者个人承担。
第二十五条 本办法自2010年12月1日起施行。