Document ID: chunk:federal_register_of_legislation:C2004A02381:body:0:p4
Version: federal_register_of_legislation:C2004A02381
Segment Type: other
Provision Reference: 
Character Range: 7503–10284

made" and substituting ", if he knows the name and address of the person to whom or by or on behalf of whom the communication was made, forthwith furnish that name and address in writing to the Commission or authorized person"; and
     (b) by omitting sub-sections (2) and (3).

Disclosure to Commission
10. Section 12 of the Principal Act is amended—
     (a) by inserting after sub-section (3) the following sub-sections:
         "(3a) Where the Commission considers—
         (a) that it may be necessary to prohibit trading in securities of, or made available by, a body corporate;

     (b) that a person may have contravened section 123, 124, 125, 126, 127, 128 or 132 in relation to securities of, or made available by, a body corporate;
     (c) that a person may have contravened a provision of Division 3a of Part IV of the Companies Ordinance 1962 in relation to shares in a body corporate;
     (d) that an acquisition of shares in a body corporate may have occurred in circumstances referred to in sub-section 60 (7) of the Companies (Acquisition of Shares) Act 1980; or
     (e) that a person may have engaged in conduct that has had a result referred to in sub-section 60 (7a) of the Companies (Acquisition of Shares) Act 1980,
the Commission—
     (f) may require—
         (i) in a case to which paragraph (a), (b), (c) or (d) applies—a director, secretary or executive officer of the body corporate referred to in that paragraph; or
         (ii) in a case to which paragraph (e) applies—a director, secretary or executive officer of a body corporate in relation to shares in which, or affairs of which, that conduct was engaged in,
    to disclose to the Commission any information of which he is aware, being information that might have affected any dealing that has taken place, or that might affect any dealing that may take place, in securities of, or made available by, the body corporate of which he is the director, secretary or executive officer, as the case may be; and
     (g) may require a person whom the Commission believes on reasonable grounds to be capable of giving information concerning—
         (i) any dealing in relevant securities;
         (ii) any advice given by a dealer, an investment adviser, a dealer's representative or an investment representative concerning relevant securities;
         (iii) the issuing or publication of a report or analysis by a dealer, an investment adviser, a dealer's representative or an investment representative concerning relevant securities;
         (iv) the financial position of any business carried on by a person who is or has been (either alone or together with another person or other persons) a dealer or an investment adviser and has dealt in, or given advice concerning, as the case may