Document ID: chunk:federal_register_of_legislation:F2023C00827:reg:2:p5
Version: federal_register_of_legislation:F2023C00827
Segment Type: reg
Provision Reference: reg 2 (pt 5/10)
Character Range: 11917–14726

regulated financial service provider is a foreign company to which the following apply:
(a)  the foreign company has:
(i) a current licence granted under section 116 of the Securities and Futures Ordinance 2002 of Hong Kong (SFO) or deemed to be granted under sections 22 or 25(b) of Schedule 10 to the SFO; or
(ii)  a current certificate of registration granted under section 119 of the SFO or deemed to be granted under sections 25(a) or 32 of Schedule 10 to the SFO;
(b)  the foreign company is either a body corporate incorporated in Hong Kong or a partnership formed in Hong Kong;
           Note:  By subsection 761H(1) of the Act, the operation of this instrument in relation to partnerships is affected by section 761F and subsection 769B(4) of the Act.
 (c)  the foreign company carries on business in Hong Kong.

10 Meaning of German BaFin regulated financial service provider
(1) For the purposes of this instrument, a German BaFin regulated financial service provider is a foreign company to which the following apply:
           (a)  the foreign company holds:
           (i) a German Banking Licence; or
              (ii)  an authorisation granted by BaFin as a management company under the German Capital Investment Code;
           (b)  the foreign company is either a body corporate incorporated in Germany or a partnership formed in Germany;
           Note:  By subsection 761H(1) of the Act, the operation of this instrument in relation to partnerships is affected by section 761F and subsection 769B(4) of the Act.
            (c)  the foreign company carries on business in Germany.
(2) In this section:
BaFin means the Bundesanstalt für Finanzdienstleistungsaufsicht of Germany.
German Banking Act means the Gesetz über das Kreditwesen of Germany.
German Banking Licence means a licence granted by BaFin under section 32 of the German Banking Act or deemed to be so granted under section 61 or section 64e of the German Banking Act.
German Capital Investment Code means the Kapitalanlagegesetzbuch of Germany.

11 Meaning of Luxembourg CSSF regulated financial services provider
(1) For the purposes of this instrument, a Luxembourg CSSF regulated financial services provider is a foreign company to which the following apply:
(a) the foreign company has a current authorisation given by the CSSF or the Minister responsible for the CSSF to carry on business in Luxembourg as:
(i)  an investment company that has adopted a status of self-managed under Part I of the Law relating to UCITS or having effect as if under that Part; or
 (ii)  a management company under Chapter 15 of Part IV of the Law relating to UCITS or having effect as if under that Chapter; or
(iii) a credit institution;
(b)  the foreign company is either a body corporate incorporated in Luxembourg or a partnership