### Mandatory Provident Fund Schemes Ordinance 《強制性公積金計劃條例》

34Q. Register of intermediaries
(1) The Authority must establish and keep a register of intermediaries for regulated activities.
(2) The Register may be kept in any form that the Authority considers appropriate.
(3) At all reasonable times, a member of the public—
(a) if the Register is kept in a documentary form, may inspect the Register free of charge; or
(b) if the Register is kept otherwise than in a documentary form, may inspect a reproduction of any information recorded in the Register in a legible form free of charge.
(4) At all reasonable times, a member of the public may, on payment of a fee of the amount prescribed by the regulations, obtain—
(a) a copy of an entry in or extract of the Register; or
(b) a copy of such an entry or extract, certified by an authorized officer of the Authority as a true copy of the entry or extract.
(5) A right under subsection (3) or (4) is only exercisable for the purpose of enabling the member of the public—
(a) to ascertain whether the member of the public is dealing with a regulated person in matters of or connected with any regulated activity; or
(b) to ascertain the particulars of—
(i) the registration of a person as a principal or subsidiary intermediary; or
(ii) the approval of an individual as a responsible officer.
(6) In any legal proceedings—
(a) a document purporting to be a copy of an entry in or extract of the Register, and purporting to be certified by an authorized officer of the Authority as a true copy of the entry or extract, is admissible in evidence on its production without further proof; and
(b) on being admitted in evidence under paragraph (a), the document, unless there is evidence to the contrary—
(i) is presumed to be certified by an authorized officer of the Authority;
(ii) is presumed to be a true copy of the entry or extract; and
(iii) is proof of its contents.

34R. Register to be made available through internet
The Authority must make the Register available to the public through the internet.

### Mandatory Provident Fund Schemes Ordinance 《強制性公積金計劃條例》

34S. Contents of Register
(1) For every registered intermediary, the Register must contain—
(a) the name and the registration number of the intermediary;
(b) the condition (if any) to which the registration as a principal or subsidiary intermediary, or the approval of the attachment to a principal intermediary, is subject by virtue of section 34X;
(c) the name of the frontline regulator;
(d) a record of every disciplinary order (except an order under section 34ZW(5)(b)) that has been in force against the registered intermediary within the last 5 years;
(e) if the registration as a principal or subsidiary intermediary, or the approval of the attachment to a principal intermediary, is suspended under this Part, a note to that effect; and
(f) any other particulars that are prescribed by the rules.
(2) Without limiting subsection (1)—
(a) for every principal intermediary, the Register must also contain—
(i) the address of the principal intermediary’s principal place of business in Hong Kong; and
(ii) the name and the office address of every responsible officer of the principal intermediary; and
(b) for every subsidiary intermediary attached to a principal intermediary, the Register must also contain—
(i) the name of the principal intermediary;
(ii) the address of the principal intermediary’s principal place of business in Hong Kong;
(iii) if the registration of the principal intermediary as such is suspended under this Part—
(A) a note to that effect; and
(B) a note to the effect that section 34M(1)(b) does not apply to the subsidiary intermediary; and
(iv) if the subsidiary intermediary is also a responsible officer of the principal intermediary—
(A) a note to that effect;
(B) the condition (if any) to which the approval as such a responsible officer is subject by virtue of section 34X; and
(C) where the approval of the subsidiary intermediary as such responsible officer is suspended under this Part, a note to that effect.

### Mandatory Provident Fund Schemes Ordinance 《強制性公積金計劃條例》

34ZB. Assignment of frontline regulator for responsible officer
(1) As soon as practicable after the Authority approves an individual as a responsible officer of a principal intermediary, the Authority must assign the frontline regulator of the principal intermediary as the regulator of the individual, in the individual’s capacity as a responsible officer of the principal intermediary, for the purposes of this Part.
(2) If—
(a) the Authority assigns an industry regulator as the frontline regulator of an individual in the individual’s capacity as a responsible officer of a principal intermediary; and
(b) the Authority assigns under section 34Z(2) another industry regulator as the frontline regulator of the principal intermediary,

the Authority must replace the industry regulator mentioned in paragraph (a) by assigning that other industry regulator mentioned in paragraph (b) as the regulator of the individual, in the individual’s capacity as a responsible officer of the principal intermediary, for the purposes of this Part.
(3) An assignment of an industry regulator as the frontline regulator of an individual under subsection (1) or (2) ceases to be in force if—
(a) another industry regulator is assigned as the frontline regulator of the individual under subsection (2); or
(b) the approval of the individual as a responsible officer of the principal intermediary is revoked under this Part.

### Mandatory Provident Fund Schemes Ordinance 《強制性公積金計劃條例》

34ZC. Principal intermediary ceasing to be Type A regulatee etc.
(1) This section applies if—
(a) a person is a principal intermediary;
(b) the person—
(i) ceases to be a Type A regulatee of an industry regulator; or
(ii) has any qualification as a Type A regulatee of an industry regulator suspended; and
(c) the industry regulator is the frontline regulator of the person.
(2) The registration of the person as a principal intermediary—
(a) in the case of subsection (1)(b)(i), is revoked at the time the person ceases to be such a Type A regulatee; or
(b) in the case of subsection (1)(b)(ii), is suspended for the period during which that suspension is in force.

34ZD. Principal intermediary without responsible officer
(1) The Authority may suspend the registration of a person as a principal intermediary for a period, or until the occurrence of an event, determined by the Authority, if the Authority is satisfied that the person ceases to have a responsible officer.
(2) The Authority may revoke the registration of the person as a principal intermediary if—
(a) the person has not made an application under section 34W(1) for approval of an individual as a responsible officer of the principal intermediary within 90 days after the date on which the suspension takes effect; or
(b) the person has made such an application within 90 days after the date on which the suspension takes effect, and the Authority rejects the application.
(3) The power under subsection (1) is not exercisable unless, before exercising the power, the Authority—
(a) has given the person a notice in writing of its intention to do so and the reasons for doing so; and
(b) has given the person an opportunity to make oral or written representations, or both, on those reasons.
(4) A notice under subsection (3)(a) must also include a statement describing—
(a) the right of the person to make representations; and
(b) how and when the person may make representations.
(5) In subsection (1), a reference to a responsible officer does not include an individual whose approval as a responsible officer of the principal intermediary is suspended under this Part.