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

333. Duty to deliver report prepared under section 332 to relevant exchange company, Commission and Monetary Authority
(1) Whenever a report is prepared under section 332, the listed corporation is under a duty to deliver a copy of the report to the relevant exchange company and the Commission.
(2) Upon receipt of any report under subsection (1), the relevant exchange company shall forthwith publish such report in such manner and for such period as may be approved by the Commission.
(3) Whenever a report is prepared under section 332 by a listed corporation that is, or is the holding company of, an authorized financial institution, the listed corporation is under a duty (in addition to the duty imposed by subsection (1)) to deliver a copy of the report to the Monetary Authority.
(4) The duty imposed on a listed corporation by subsection (1) or (3) shall be performed before the end of the business day after the day on which the report is first made available at the corporation’s registered office.
(5) If default is made in complying with subsection (1), (3) or (4), the listed corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1.

334. Offences for failure to provide information required by listed corporation
(1) Subject to subsection (2), a person—
(a) who, without reasonable excuse, fails to comply with a notification under section 329; or
(b) who—
(i) in purported compliance with such a notification, makes any statement which is false or misleading in a material particular; and
(ii) knows that, or is reckless as to whether, the statement is false or misleading in a material particular,

commits an offence and is liable—
(i) on conviction on indictment to a fine at level 6 and to imprisonment for 2 years; or
(ii) on summary conviction to a fine at level 3 and to imprisonment for 6 months.
(2) A person is not obliged to comply with a notification under section 329 if he is for the time being exempted by the Financial Secretary under section 329(5).

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

335. Inspection of reports
(1) Any report which is required by section 332(8)(b) to be made available for inspection in accordance with this section shall, during business hours (subject to such reasonable restrictions as the corporation concerned may in general meeting impose, but so that not less than 2 hours in each day are allowed for inspection), be open to inspection by any member of the corporation without charge or by any other person on payment of $10, or such less sum as the corporation may determine, for each inspection.
(2) Any member of the corporation or any other person may require a copy of any such report, or any part of it, on payment of $2, or such less sum as the corporation may determine, for each page required to be copied; and the corporation shall cause any copy so required by a member or person to be sent to him within 10 business days after the day on which the requirement is received by the corporation.
(3) If an inspection of any report required under this section is refused or a copy so required is not sent within the period specified in subsection (2), the corporation and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(4) In the case of a refusal of an inspection of any report required under this section, the Court of First Instance may by order compel an immediate inspection of it.
(5) In the case of a failure to send within the period specified in subsection (2) a copy required under this section, the Court of First Instance may by order direct that the copy required shall be sent to the person requiring it.
(6) The Commission may by rules amend the sum specified in subsection (1) or (2).

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

337. Registration of interests and short positions disclosed under section 329
(1) Whenever in pursuance of a requirement imposed by a listed corporation on a person under section 329 the listed corporation receives any information, the listed corporation is under a duty to record, against the name of the person interested in those voting shares or having a short position in those voting shares (as the case may be), in a separate part of its register of interests in shares and short positions— (Amended 19 of 2015 s. 2)
(a) the fact that the requirement was imposed and the date on which it was imposed; and
(b) any information received in pursuance of the requirement.
(2) Section 336(4) to (14) applies in relation to any part of the register kept in accordance with subsection (1) as it applies in relation to the remainder of the register.

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

339. Otherwise, entries not to be removed from register
(1) Entries in a corporation’s register of interests in shares and short positions shall not be removed except in accordance with section 338.
(2) If an entry is removed from a corporation’s register of interests in shares and short positions in contravention of subsection (1), the corporation shall restore that entry to the register as soon as reasonably practicable.
(3) If default is made in complying with subsection (1) or (2), the corporation concerned and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.

340. Inspection of register
(1) Any register of interests in shares and short positions shall, during business hours (subject to such reasonable restrictions as the corporation concerned may in general meeting impose, but so that not less than 2 hours in each day are allowed for inspection), be open to inspection by any member of the corporation without charge or by any other person on payment of $10, or such less sum as the corporation may determine, for each inspection.
(2) Any member of the corporation or any other person may require a copy of any such register, or any part of it, on payment of $2, or such less sum as the corporation may determine, for each page required to be copied; and the corporation shall cause any copy so required by a member or person to be sent to him within 10 business days after the day on which the requirement is received by the corporation.
(3) If an inspection of the register required under this section is refused or a copy so required is not sent within the period specified in subsection (2), the corporation and every officer of it who is in default commit an offence and each is liable on conviction to a fine at level 1 and, in the case of a continuing offence, to a further fine of $200 for every day during which the offence continues.
(4) In the case of a refusal of an inspection of the register required under this section, the Court of First Instance may by order compel an immediate inspection of it.
(5) In the case of a failure to send within the period specified in subsection (2) a copy required under this section, the Court of First Instance may by order direct that the copy required shall be sent to the person requiring it.
(6) The Commission may by rules amend the sum specified in subsection (1) or (2).