Examples of SEHK Rules in a sentence
Neither GUOSEN SECURITIES (HK) nor any Related Party shall have any obligation to update the Client in respect of any suspension of stock borrowing and lending or any change to the relevant SEHK Rules or Applicable Regulations.
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.
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.
To confirm compliance, SEHK has the power to require CCEPs to provide copies of client confirmations and other related information under the SEHK Rules.
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.