### Occupational Retirement Schemes Ordinance 《職業退休計劃條例》

66B. General powers of inspection
(1) An authorized person may, at any reasonable time during ordinary business hours, enter premises at which the person reasonably believes that—
(a) the affairs of a scheme are being conducted; or
(b) any information or document relating to a scheme is being kept,
for the purpose of ascertaining whether or not the provisions of this Ordinance are being complied with or have been complied with.
(2) This section does not authorize an authorized person to enter premises that are being used as a private dwelling.
(3) An authorized person must give the occupier of the premises reasonable notice of the intention to enter the premises.
(4) However, an authorized person may enter premises under this section without giving notice and without the consent of the occupier—
(a) if entry is required urgently and the Registrar has expressly authorized entry; or
(b) if giving notice or obtaining the consent would defeat the purpose for which it is intended to exercise the power of entry.
(5) An authorized person who enters premises under this section may do any of the following acts—
(a) inspect the premises and examine any record found on the premises that the authorized person reasonably believes relates to a scheme;
(b) take photographs or videos of the premises or of any thing found on the premises that the authorized person reasonably believes relates to a scheme;
(c) require the occupier of the premises or any person who is apparently an employee or agent of that occupier to provide the authorized person with such assistance and facilities as are reasonably necessary to enable the authorized person to perform his or her functions;
(d) require any person on the premises to produce for inspection records under the control of the person relating to a scheme and, if any such records are not legible or are not in the English or Chinese language, to produce a written statement in English or Chinese setting out the contents of those records;
(e) make copies of all or any part of any such records or statements.
(6) A person may exercise a power conferred by this section only if the person—
(a) is in possession of a warrant of authority issued by the Registrar; and
(b) on being requested to do so, produces that warrant to the occupier of the premises sought to be entered, inspected or examined or to any other person in relation to whom it is sought to exercise that power.

### Occupational Retirement Schemes Ordinance 《職業退休計劃條例》

66C. Investigation
(1) The Registrar may investigate any matter if, in relation to a scheme, the Registrar—
(a) has reasonable cause to believe that a person may have contravened the provisions of this Ordinance;
(b) has reasonable cause to believe that circumstances may exist that could prejudice the interests of the members of the scheme; or
(c) thinks it is necessary to investigate the matter in order to decide whether to exercise any power under section 11, 12, 42 or 45.
(2) The Registrar may—
(a) carry out the investigation itself; or
(b) in writing direct a person employed by the Registrar to carry out the investigation.
(3) In carrying out the investigation, the Registrar or the person referred to in subsection (2)(b) may exercise the powers under section 66D.
(4) If the Registrar directs a person under subsection (2)(b), the Registrar must provide the person with a copy of the direction.
(5) Even though the Registrar has directed a person to carry out an investigation, the Registrar may still exercise the powers under section 66D for the purpose of the investigation.
(6) If section 36(2)(a) applies in relation to a scheme, the Registrar must first appoint a person to conduct an inquiry under section 36 before exercising the power under subsection (2) in relation to the scheme.

### Occupational Retirement Schemes Ordinance 《職業退休計劃條例》

66D. Investigation powers
(1) An investigator may by written notice require a person—
(a) to produce, within the time and at the place specified in the notice, any record or document specified in the notice—
(i) that is or may be relevant to any matter under investigation; and
(ii) that is in the person’s possession or under the person’s control;
(b) to attend before the investigator at the time and place specified in the notice, and answer any question relating to any matter under investigation that the investigator may raise with the person;
(c) to respond to any written question relating to any matter under investigation that the investigator may raise with the person; or
(d) to give the investigator any assistance in connection with the investigation that the person is reasonably able to give.
(2) If a person produces a record or document in compliance with a requirement under subsection (1)(a), the investigator may require the person to give an explanation or further particulars in respect of the record or document.
(3) If a person gives any answer, response, explanation or particulars in compliance with a requirement under subsection (1) or (2), the investigator may by written notice require the person to verify, within the time specified in the notice, the answer, response, explanation or particulars by a statutory declaration.
(4) If, for the reason that the information concerned is not within the person’s knowledge or possession, a person does not give any answer, response, explanation or particulars in compliance with a requirement under subsection (1) or (2), the investigator may by written notice require the person to verify, within the time specified in the notice, that reason and fact by a statutory declaration.
(5) If the investigator is directed under section 66C(2)(b) to carry out the investigation, the investigator must provide a copy of the direction given under the section to a person when making an investigation requirement of the person.

### Occupational Retirement Schemes Ordinance 《職業退休計劃條例》

66E. Offences of failing to comply with investigation requirement
(1) A person commits an offence if the person, without reasonable excuse, fails to comply with an investigation requirement made of the person.
(2) A person commits an offence if the person, with intent to defraud, fails to comply with an investigation requirement made of the person.
(3) A person commits an offence if, being an officer or employee of a company, the person, with intent to defraud, causes or allows the company to fail to comply with an investigation requirement made of the company.
(4) A person is not excused from complying with an investigation requirement made of the person only on the ground that to do so might tend to incriminate the person.
(5) A person who commits an offence under subsection (1) is liable—
(a) on summary conviction—to a fine at level 5 and to imprisonment for 6 months; or
(b) on conviction on indictment—to a fine of $200,000 and to imprisonment for 1 year.
(6) A person who commits an offence under subsection (2) or (3) is liable—
(a) on summary conviction—to a fine at level 6 and to imprisonment for 6 months; or
(b) on conviction on indictment—to a fine of $1,000,000 and to imprisonment for 7 years.
(7) If a member of a professional body is alleged to have committed an offence under subsection (1), (2) or (3), the Registrar may refer the matter to the professional body.