Examples of SEHK Rules in a sentence
This section does not preclude the Commission from pursuing at any time any other remedy for breach of contract that is available to the Commission.(Added to NAC by Colorado River Comm’n by R112-02, eff.
CCEPs and TTEPs are reminded to observe and comply with SEHK Rules 14A06(4), 14B06(5), 14A06(9)-(10), 14B06(11)-(12), 14A17, 14B17, 1421(2), 1428(1), 1432 and 1433in particular.
Under SEHK Rules 14A15 and 14B15, CCEPs and TTEPs shall ensure that Margin Trading is confined to those China Connect Securities that are included in the List of Eligible SSE/SZSE Securities for Margin Trading published by the Exchange from time to time.
To confirm compliance, SEHK has the power to require CCEPs to provide copies of client confirmations and other related information under the SEHK Rules.
In the example given, provided that CCEP A obtains such confirmations before accepting the orders for each of SPSA 1 and SPSA 2, SEHK will not normally take enforcement action against CCEP A for breach of SEHK Rules 14A06(2A)(a)(iii), 14A06(2A)(b) and 14A06(10) by CCEP A even though the settlement will be effected by the delivery of 6,000 shares from each account.
Further, the SEHK Rules state that, where any H Shares with corresponding A Shares eligible as China Connect Securities are suspended from trading on SEHK, but the corresponding A Shares are not suspended from trading on the relevant China Connect Market, the service for routing the China Connect sell orders and China Connect buy orders for such A Shares to the relevant China Connect Market for execution will normally remain available.
And as is the case of any violation of HKEX and/or SEHK Rules, CCEPs should self-report to SEHK (no specific form provided).
Non-compliance would constitute a breach of SEHK Rules and the CCEP will be subject to disciplinary action for.
SEHK Rules 14A08(2) and (3)Under Mainland China laws, rules and regulations, there is a limit to how many shares a single and 14B08(2) andforeign investor is permitted to hold in a single Mainland China Listco, and also a limit to the (3) maximum combined holdings of A-Shares of all foreign investors in a single Mainland China Listco.
In particular, we noted that some CCEPs failed to establish written policies and procedures in relation to handling of off-exchange trades or transfers for the purposes prescribed under SEHK Rules 14A12 and 14B12.