### Securities and Futures Ordinance 《證券及期貨條例》

101S. Commission to maintain register
(Not yet in operation)
(1) The Commission must maintain a register, in a form that it considers appropriate, to record information under section 101T.
(2) The SIP register may be maintained—
(a) in a documentary form; or
(b) by recording information otherwise than in a documentary form, so long as the information is capable of being reproduced in a legible form.
(3) At all reasonable times, the SIP register must be made available to the public for the purpose of enabling a person who is a member of the public to ascertain—
(a) whether the person is dealing with a registered SIP; and
(b) the particulars of registration of a registered SIP the person is dealing with.
(4) At all reasonable times, a member of the public may—
(a) inspect the SIP register, or if it is maintained otherwise than in a documentary form, a reproduction of the information or the relevant part of it in a legible form; and
(b) on payment of the prescribed fee, obtain a copy of—
(i) an entry in the SIP register; or
(ii) an extract of the SIP register.
(5) A document purporting to be—
(a) a copy of an entry in or extract of the SIP register; and
(b) certified by an authorized officer of the Commission as a true copy of the entry or extract,
is admissible as evidence of its contents in any legal proceedings.
(6) Without derogating from the other provisions of this section, the Commission must, in addition, make the SIP register available to the public in the form of an online record.

### Securities and Futures Ordinance 《證券及期貨條例》

101T. Registration in SIP register
(Not yet in operation)
(1) The Commission may enter in the SIP register in respect of a person who has complied with the notification requirement—
(a) the name of the person; and
(b) the specific class in respect of which the notification level has been reached.
(2) The Commission may enter in the SIP register in respect of a person who has purportedly given a notification, but not in accordance with section 101R(4)—
(a) the name of the person; and
(b) the specific class in respect of which the notification level has been reached.
(3) If the conditions in subsection (6) are satisfied in relation to a person, the Commission may enter in the SIP register—
(a) the name of the person; and
(b) the specific class referred to in subsection (6)(b).
(4) Before making an entry in the SIP register under subsection (3)(a) or (b) in respect of a person, the Commission must—
(a) inform the Monetary Authority; and
(b) give the person concerned a reasonable opportunity of being heard in respect of the proposed entry.
(5) The Commission must inform the person concerned by a written notice as soon as practicable after making an entry in the SIP register under subsection (1)(a) or (b), (2)(a) or (b) or (3)(a) or (b).
(6) The conditions referred to in subsection (3) are that—
(a) section 101R(1) applies to the person; and
(b) either—
(i) the Commission has reasonable cause to believe that the person’s position in a specific class has reached the notification level but the person has not given a notification in respect of the specific class; or
(ii) the Monetary Authority informs the Commission that the Monetary Authority has reasonable cause to believe that the person’s position in a specific class has reached the notification level but the person has not given a notification in respect of the specific class.
(7) For the purposes of subsection (6)(b), a reference to a person’s position includes the position of another person to the extent to which the performance of the obligations arising from that other person’s position is guaranteed by the person.
(8) A decision to make an entry in the SIP register under subsection (1), (2) or (3) takes effect at the time of the service of the notice under subsection (5) on the person or at the time specified in the notice, whichever is the later.

### Securities and Futures Ordinance 《證券及期貨條例》

101U. Notification not required after registration for specific class
(Not yet in operation)
(1) If a person is registered for a specific class, as long as the name of the person remains on the SIP register for that specific class, the person is not required to comply with the notification requirement in respect of that specific class.
(2) Subsection (1) does not affect any liability incurred for a failure by a person who is registered for a specific class under section 101T(2) or (3) to comply with the notification requirement in respect of that specific class.
(3) Also, subsection (1) does not affect the application of section 101R(2) to a person whose position in a specific class reaches the notification level after the first or any subsequent deregistration for that specific class.
(4) For the purposes of this section, a person is taken to be registered for a specific class if the SIP register shows that the person’s position in that specific class has reached the notification level.
(5) For the purposes of subsections (3) and (4), a reference to the position of a person or a person’s position includes the position of another person to the extent to which the performance of the obligations arising from that other person’s position is guaranteed by the person.

101V. Deregistration
(Not yet in operation)
(1) The Commission must remove from the SIP register the name of a person, if the Commission is satisfied that the relevant conditions, circumstances and criteria prescribed by the notification rules for removing a person’s name from the SIP register have been met.
(2) The Commission must remove from the SIP register a specific class entered in respect of a person’s name, if the Commission is satisfied that the relevant conditions, circumstances and criteria prescribed by the notification rules for removing the specific class from the SIP register have been met.
(3) A deregistration may be effected—
(a) by the Commission on its own initiative; or
(b) on application by a registered SIP.
(4) The Commission must give the person concerned a reasonable opportunity of being heard before refusing an application for deregistration.
(5) The Commission must consult the Monetary Authority before effecting a deregistration.
(6) The Commission must inform the person concerned of a deregistration or a refusal to deregister by a written notice as soon as practicable after a deregistration or a refusal to deregister.
(7) This section does not prevent the Commission from amending the SIP register to give effect to a decision of the Securities and Futures Appeals Tribunal under Part XI on a review by that Tribunal of a decision of the Commission under section 101T(3).