SECURITIES (INSIDER DEALING) ORDINANCE ——附加英文版
Hong Kong
SECURITIES (INSIDER DEALING) ORDINANCE
(CHAPTER 395)
ARRANGEMENT OF SECTIONS
ion
I PRELIMINARY
hort title
nterpretation
pplication
Connected with a corporation"
ossession of relevant information obtained in privileged
capacity
Dealing in securities"
Take-over offer"
Relevant information"
II INSIDER DEALING
hen insider dealing takes place
Certain persons not to be held insider dealers
Trustees and personal representatives
Exercise of right to subscribe for or acquire securities
Duty of officers of corporation
Insider dealing not void or voidable
III INSIDER DEALING TRIBUNAL
Constitution of Tribunal Inquiries by Tribunal
Inquiries into insider dealing
Powers of Tribunal
Further powers of Tribunal to obtain information
Incriminating answers
Offences
Privileged information Report and orders of Tribunal
Report of Tribunal following inquiry
Orders etc. of Tribunal
Order against officer of corporation
Limitation on aggregate amount of penalties
Witnesses' expenses
Expenses of investigation and inquiry
Form and proof of order of Tribunal
Order of Tribunal may be registered in Court
Offence
IV APPEALS
Appeal to Court of Appeal
Powers of the Court of Appeal on appeal
Stay of execution on appeal
V MISCELLANEOUS
Offences by corporation, etc.
Limitation on commencement of proceedings
Chief Justice may make rules
44. (Omitted)
Whole document:
dule.
rdinance to amend the law relating to insider dealing in
securities;
for connected purposes.
eptember 1991] L. N. 269 of 1991
PART I PRELIMINARY
hort title
Ordinance may be cited as the Securities (Insider Dealing)
Ordinance.
nterpretation
In this Ordinance, unless the context otherwise requires--
ociate", in relation to a person entitled to exercise or control
the
cise of voting power in relation to a corporation, means--
that person's spouse, reputed spouse, person co-habiting
with that
on as a spouse, that person's brother, sister, parent,
step-parent,
d (natural or adopted) or step-child;
any corporation of which that person is a director;
any person who is an employee or partner of that person;
if that person is a corporation--
any director of that corporation;
any related corporation of that corporation; and
) any director or employee of any such related corporation; and
if that person has with any other person an agreement or
arrangement
respect to the acquisition, holding or disposal of shares or
other
rests in that corporation or under which they undertake
to act
ther in exercising their voting power in relation to it, that
other
on;
k or other document" includes--
books of a banker;
cheques, orders for the payment of money, bills of
exchange, and
issory notes in the possession or under the control of a banker;
securities in the possession or under the control of a banker,
whether
ay of pledge or otherwise;
any document or record used in the ordinary course of business
of a
;
any record so used which is kept otherwise than in a legible form
and
apable of being reproduced in a legible form; and
any accounts or deeds;
mission" means the Securities and Futures Commission
established by
Securities and Futures Commission Ordinance (Cap. 24);
pany" means a company as defined in section 2 (1) of the
Companies
nance (Cap. 32);
troller", in relation to a corporation, means any person--
in accordance with whose directions or instructions the
directors of
corporation or of another corporation of which it is a subsidiary
are
stomed to act; or
who, either alone or with any associate, is entitled to exercise,
or
rol the exercise of, more than 33% of the voting power at
general
ings of the corporation or of another corporation of which it
is a
idiary, and references in this Ordinance to "control"
shall be
trued accordingly; "corporation" means any company or
other body
orate or an unincorporated body, incorporated or formed either
in Hong
or elsewhere;
ector" includes--
any person occupying the position of director, by
whatever name
ed; and
any person in accordance with whose directions or
instructions the
ctors of the corporation are accustomed to act;
ument" includes any register, book, record, tape recording, any
form
omputer input or output, and any other document or similar
material
ther produced mechanically, electrically, or manually, or by any
other
s whatsoever);
h Court" means the High Court of Justice;
ding company" means a corporation which is a holding company
within
meaning of section 2 of the Companies Ordinance (Cap. 32);
uiry" means an inquiry instituted under section 16;
ider dealer" means a person who perpetrates any act which
is an
der dealing within the meaning of section 9 and also means a
person
is to be regarded as an insider dealer under section 16 (6);
ider dealing" means an insider dealing within the meaning of
section
ted securities" means securities that are listed on the
Unified
ange at the time of any insider dealing in relation
to those
rities;
icer" in relation to a corporation includes a director,
manager or
etary, and in relation to an unincorporated body includes every
member
he governing body thereof; "related corporation", in relation
to a
oration, means--
any corporation that is that corporation's subsidiary or
holding
any or a subsidiary of that corporation's holding company;
any corporation a controller of which is also a controller of
that
oration; "relevant share capital" means a corporation's issued
share
tal of a class carrying rights to vote at general meetings
of the
oration;
urities" means any shares, stocks, debentures, loan stocks,
funds,
s, or notes of, or issued by, any body, whether
incorporated or
corporated, or of any government or local government authority,
and
udes--
rights, options, or interests (whether described as
units or
rwise) in or in respect of any of the foregoing;
certificates of interest or participation in, or temporary or
interim
ificates for, receipts for, or warrants to subscribe to or
purchase,
of the foregoing; or
any instruments commonly known as securities;
sidiary" means any corporation which is a subsidiary
within the
ing of section 2 of the Companies Ordinance (Cap. 32);
bunal" has the meaning given to it in section 15;
fied Exchange" means the stock market established under section
27 of
Stock Exchanges Unification Ordinance (Cap. 361).
For the purpose of the definition of "controller", where a
person is
tled to exercise or control the exercise of 33% or more of the
voting
r at general meetings of a corporation and that
corporation is
tled to exercise or control the exercise of any of the voting power
at
ral meetings of another corporation ("the effective voting
power")
the effective voting power at general meetings of
that other
oration is taken as exercisable by that person.
A person shall not be deemed to be a person in accordance with
whose
ctions or instructions the directors of a corporation are
accustomed
ct by reason only that the directors of the corporation act on
advice
n by him in a professional capacity.
In this Ordinance securities are deemed to be listed on the
Unified
ange notwithstanding that dealings in such securities
have been
ended.
In this Ordinance a reference to an interest in securities is
to be
as including an interest of any kind whatsoever in the
securities;
accordingly there are to be disregarded any restraints or
restrictions
hich the exercise of any right attached to the interest
may be
ect.
pplication
Ordinance shall not have effect with respect to an insider dealing
in
tion to the listed securities of a corporation which has taken
place
re the commencement of this Ordinance.
Connected with a corporation"
A person is connected with a corporation for the purposes of
section 9
being an individual--
he is a director or employee of that corporation or a
related
oration; or
he is a substantial shareholder in the corporation or a
related
oration; or
he occupies a position which may reasonably be expected to give
him
ss to relevant information concerning the corporation by virtue
of--
any professional or business relationship existing between
himself (or
employer or a corporation of which he is a director or a firm of
which
s a partner) and that corporation, a related corporation or an
officer
ubstantial shareholder in either of such corporations; or
his being a director, employee or partner of a
substantial
eholder in the corporation or a related corporation; or
he has access to relevant information in relation to the
corporation
irtue of his being connected (within the meaning of paragraph (a),
(b)
c)) with another corporation, being information which relates
to any
saction (actual or contemplated) involving both those
corporations or
lving one of them and the listed securities of the other or to
the
that such transaction is no longer contemplated; or
he was at any time within the 6 months preceding any
dealing in
tion to listed securities within the meaning of section 9 a
person
ected with the corporation within the meaning of paragraph (a),
(b),
or (d).
A corporation is a person connected with a corporation
for the
oses of section 9 so long as any of its directors or employees
is a
on connected with that other corporation within the
meaning of
ection (1).
In subsection (1), "substantial shareholder" in
relation to a
oration means a person who has an interest in the relevant
share
tal of that corporation which has a nominal value equal to or
more
10% of the nominal value of the relevant share capital of
that
oration.
ossession of relevant information obtained in privileged
capacity
A public officer or a member or employee (whether such
member or
oyee is temporary or permanent, paid or unpaid) of any body
referred
n subsection (2), who in his capacity as such receives
relevant
rmation concerning a corporation shall be deemed to be a
person
ected with that corporation for the purposes of section 9.
The bodies referred to in subsection (1) are--
the Executive Council;
the Legislative Council;
the Futures Exchange Company, Stock Exchange Company or any
clearing
e;
any board, commission, committee or other body appointed by
or on
lf of the Governor or the Governor in Council under any Ordinance;
any body corporate established or incorporated by Ordinance; and
any body corporate specified by the Financial Secretary by
notice
ished in the Gazette.
In this section--
aring house" means a clearing house within the meaning of section
2
of the Commodities Trading Ordinance (Cap. 250) or authorized
under
other Ordinance to carry on business as a clearing house in
respect of
rities;
ures Exchange Company" means the Exchange Company within the
meaning
ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
ck Exchange Company" means the Exchange Company within the
meaning of
ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361).
In the case of a body referred to in subsection (2) which
has no
ers the reference in subsection (1) to a member shall be construed
as
ference to a member of the governing body thereof.
Dealing in securities"
the purposes of this Ordinance, a person deals in securities if
ther as principal or agent) he buys, sells, exchanges or
subscribes
or agrees to buy, sell, exchange or subscribe for, any securities
or
ires or disposes of, or agrees to acquire or dispose of, the right
to
sell, exchange or subscribe for, any securities.
Take-over offer"
his Ordinance, "take-over offer for a corporation" means an offer
made
ll the holders (or all the holders other than the person making
the
r and his nominees) of the shares in the corporation to acquire
those
es or a specified proportion of them, or to all the holders (or
all
holders other than the person making the offer and his nominees)
of a
icular class of those shares to acquire the shares of that class
or a
ified proportion of them.
Relevant information"
his Ordinance "relevant information" in relation to a
corporation
s specific information about that corporation which is not
generally
n to those persons who are accustomed or would be likely to deal
in
listed securities of that corporation but which would if
it were
rally known to them be likely materially to affect the price of
those
rities.
PART II INSIDER DEALING
hen insider dealing takes place
Insider dealing in relation to the listed securities of a
corporation
s place--
when a person connected with a corporation who is in
possession of
rmation which he knows is relevant information in relation to
that
oration deals in any listed securities of that corporation (or
in the
ed securities of a related corporation) or counsels or
procures
her person to deal in such listed securities knowing or
having
onable cause to believe that such person would deal in them;
when a person who is contemplating or has contemplated making
(whether
or without another person) a take-over offer for a corporation
and
knows that the information that the offer is contemplated or
is no
er contemplated is relevant information in relation
to that
oration, deals in the listed securities of that corporation (or
in the
ed securities of a related corporation) or counsels or
procures
her person to deal in those listed securities, otherwise than for
the
ose of such take-over;
when relevant information in relation to a corporation is
disclosed
ctly or indirectly, by a person connected with that
corporation, to
her person and the first-mentioned person knows that the
information
elevant information in relation to the corporation and knows
or has
onable cause for believing that the other person will make use
of the
rmation for the purpose of dealing, or counselling or
procuring
her to deal, in the listed securities of that corporation (or in
the
ed securities of a related corporation);
when a person who is contemplating or has contemplated making
(whether
or without another person) a take-over offer for a corporation
and
knows that the information that the offer is contemplated or
is no
er contemplated is relevant information in relation
to that
oration, discloses that information, directly or
indirectly, to
her person and the first-mentioned person knows or has
reasonable
e for believing that the other person will make use of the
information
the purpose in dealing, or in counselling or procuring
another to
, in the listed securities of that corporation (or in the
listed
rities of a related corporation);
when a person who has information which he knows is
relevant
rmation in relation to a corporation which he received
(directly or
rectly) from a person--
whom he knows is connected with that corporation; and
whom he knows or has reasonable cause to believe
held that
rmation by virtue of being so connected,
s in the listed securities of that corporation (or in the
listed
rities of a related corporation) or counsels or procures
another
on to deal in those listed securities;
when a person who has received (directly or indirectly) from a
person
he knows or has reasonable cause to believe is contemplating or
is no
er contemplating a take-over offer for a corporation,
information to
effect and knows that such information is relevant
information in
tion to that corporation, deals in the listed securities
of that
oration (or in the listed securities of a related
corporation) or
sels or procures another person to deal in those listed
securities.
An insider dealing in relation to the listed
securities of a
oration also takes place when a person who is knowingly in
possession
elevant information in relation to that corporation in any
of the
umstances described in subsection (1) --
counsels or procures any other person to deal in the listed
securities
hat corporation (or in the listed securities of a related
corporation)
he knowledge or with reasonable cause to believe that, that
person
d deal in those listed securities outside Hong Kong on any
stock
ange other than the Unified Exchange; or
discloses that relevant information to any other person
in the
ledge or with reasonable cause to believe that, that or some
other
on will make use of that information for the purpose of dealing,
or of
selling or procuring any other person to deal, in
the listed
rities of that corporation (or in the listed securities of a
related
oration) outside Hong Kong on any stock exchange other
than the
ied Exchange.
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曲靖市建设工程招标投标管理试行办法
云南省曲靖市人民政府
曲靖市人民政府公告
第26号
《曲靖市建设工程招标投标管理试行办法》已经2007年9月1日曲靖市人民政府第64次常务会议通过，现予公布，自2007年11月1日起施行。
曲靖市人民政府
二○○七年九月二十七日
曲靖市建设工程招标投标管理试行办法
第一条 为进一步规范建设工程招投标行为，保护国家利益、社会公共利益和招投标活动当事人的合法权益，提高投资效益，确保工程质量，加强廉政建设，根据《中华人民共和国招标投标法》、《云南省建设工程招标投标管理条例》等有关法律、法规，结合曲靖实际，特制定本办法。
第二条 凡在本市行政区域内的房屋建筑工程和市政基础设施工程（含绿化、灯光、室内装修装饰工程）、交通和水利建设工程施工招标，勘察设计、监理和有关工程建设的材料设备采购招标投标，均应执行本办法。
第三条 中心城区（含麒麟区、开发区）各类房屋建筑工程、市政基础设施工程和交通、水利建设工程项目进入市建设工程交易中心集中开展招投标活动，避免各部门资源浪费、信息缺失、监督乏力、政令不畅。
第四条 凡在本市行政区域内限额（施工单项合同估算价在100万元人民币；重要设备、材料等货物的采购单项合同估算价在50万元人民币；装饰、绿化单项合同估算价在30万元人民币；勘察、设计、监理等服务的采购单项合同估算价在20万元人民币或项目总投资额在500万元人民币）以上,符合下列规定之一的建设项目必须进行招标：
（一）全部或部分使用国有资金投资或者国家融资的项目。
（二）大型基础设施、公用事业等关系社会公众安全、公共利益的项目。
（三）使用国际组织或外国政府贷款、援助资金的项目。交通、水利工程必须招标的限额按行业的规定执行。
第五条 依法必须进行招标的建设项目一般采用公开招标，符合邀请招标条件确需邀请招标的，按程序审批后方可进行邀请招标。经批准实行邀请招标的工程，邀请参加的投标人必须在3个以上，且投标人为具备承担招标项目的能力、资信良好的法人或者其它组织。
第六条 严格邀请招标审批，市级预算内投资项目进行邀请招标，应由投资审批部门报市人民政府依法批准；县（市）区投资的建设项目符合邀请招标条件确需进行邀请招标的，应报市招投标行业主管部门、市发改委初审后，报市政府审批。
第七条 依法必须进行招标的建设项目按建设规模、资金来源和隶属关系实行分级管理，坚决杜绝越级备案、越级代理招标等现象。
（一）市招标投标行政监督部门监督管理的权限是：
1.投资不足省管限额（5000万元）的市级行政机关和市属企事业单位建设项目。
2.投资1000万元以上的县（市）区行政机关和县（市）区属企事业单位工程项目。
3.投资1000万元以上、不足省管限额的其他建设项目。
4.省招标投标行政监督部门委托监督管理的工程项目。
（二）县（市）区招标投标行政监督部门监督管理的权限是：
1.投资不足1000万元的县（市）区行政机关和县（市）区属企事业单位工程项目。
2.投资不足1000万元的其它建设项目。
3.市招标投标行政监督部门委托监督管理的项目。
交通、水利建设项目监管权限按行业行政主管部门的规定执行。
第八条 进一步规范建设工程招标投标行为，在招标监管方面实行“八个统一”：
（一）统一招标公告发布媒介。招标公告必须在投资主管部门指定的媒介上发布。
（二）统一监管投标保证金。投标保证金打入指定账户，由招标投标管理部门统一进行监管，防止投标保证金运行中的系统性风险。
（三）统一评标办法。施工招标参照云建建〔2004〕395、396号文的规定，统一执行《曲靖市房屋建筑工程和市政基础设施工程评标定标暂行办法》，监理招标执行云建建〔2002〕712号文规定的评标办法；设计招标执行云建建〔2004〕273号文规定的评标办法。
交通、水利建设项目分别执行本系统上级行政主管部门规定的统一评标定标办法。
（四）统一评标专家库。建设工程招标投标评委必须从“曲靖市建设工程招标评委专家库”中抽取产生，市专家库中建立交通、水利分库。具备条件的县（市）经批准可建立市库的分库。
（五）统一开标评标地点（有形建筑市场）。开标评标必须在有形建筑市场或政府指定的固定场所进行。
（六）统一进场资格审查。在有形建筑市场内对投标人资格进行审查。
（七）统一招标备案监管程序。实行一核查五备案。一核查就是核查招标条件、招标方式和招标组织形式。五备案就是招标项目的公告或邀请书备案、资格审查文件及结果和招标文件备案、评标定标报告备案、书面报告备案、招标代理合同备案。
交通、水利工程的备案监管，行业上有特殊规定的，执行其规定。
（八）统一中标通知书。市招标投标行政监督部门统一监制中标通知书，由招标人签发。
交通、水利工程的中标通知，执行行业规定。
第九条 规范公开招标资格审查环节，严格执行《资格审查办法》，任何单位和个人不得以不合理条件限制、排斥潜在投标人参加投标，不得提高投标人资质等级标准，不得对投标人实行歧视待遇。
资格审查在有关监督部门监管下由招标人在有形建筑市场内组织实施。资格预审评审采用必要合格条件评审和附加合格条件评审相结合的方法。招标人应按公开、公平、择优的原则，按照资格预审的条件和程序确定参加投标的投标人，防止投标人、招标人与招标代理机构相互勾结的围标串标行为。
第十条 资格预审符合条件的投标人较多时，采用随机抽取或打分排序的方式确定投标人。招标人应按以下要求选择参加投标的投标申请人数量：
（一）单项合同估算价在200万元及以下的，一般不得少于9个。
（二）单项合同估算价在200万元以上、600万元以下的，一般不得少于11个。
（三）单项合同估算价在600万元以上的，一般不得少于13个。
招标项目投资额度较大时应适当增加投标人数；民营企业、市外企业在我市投资依法必须进行招标的建设项目经批准，可适当减少参加投标人数。
第十一条 加强公共投资项目的投资控制和造价管理，党政机关、事业单位投资或使用财政资金、政府专项资金、政府借贷资金，以及国有资产投资或政府融资为主的项目，招标工程拦标价必须由审计机关实行前置审计。
第十二条 前置审计招标项目工程前置审计价，必须在开标前15日向投标人公布，投标人有异议的，可在开标前10日向招标人书面提出，招标人可根据投标人的书面异议，对工程拦标价进行复核，并将复核结果告知投标人。若因工程拦标价复核影响开标时间，招标人可重新确定开标时间。
第十三条 建设工程招标可根据工程实际，采用预算综合报价方式，也可采用与工程量清单招标相配套的综合评估打分法或经评审的最低价法。
采用通用技术、性能标准或招标人对其技术、性能没有特殊要求的公共投资项目，原则上采用经评审的最低价法。采用经评审的最低价法招标的工程，对投标报价须按有关规定进行详细评审，防止低于成本价的不正当竞争，提倡对技术部分采用合格评审。
交通、水利建设工程的评标、定标，按行业规定执行。
第十四条 采用综合预算报价和工程量清单综合评估打分法招标的公共投资工程，在前置审计价+5%和—10%之间的报价为有效报价，有效报价的算术平均值作为评标指标，按《曲靖市房屋建筑和市政基础设施工程评标定标暂行办法》确定中标候选人。
第十五条 采用经评审的最低价法招标的工程，投标人的报价必须在有效报价控制值范围内，不得低于工程成本价。当出现投标人抬高或过分压低报价时，按《曲靖市房屋建筑和市政基础设施工程评标定标暂行办法》的规定，确定有效报价控制值。在有效报价控制值内的投标企业按商务标评审评分高低排序推荐中标候选人。
第十六条 完善专家评审制度，提高评标活动公正性。参加评标的专家由招标人于开标前半小时从评委专家库中随机抽取，招标人不得从评委专家库外邀请或抽取。加强对评标活动的监管，提高评标活动的公正性。要通过评标现场监督、评标现场录像监控和综合能力评估等方式对评标专家的评标工作进行考评和监督。
第十七条 加强管理，积极探索科学、公正、合理的评标定标方法，通过资格预审、工程评标指标价的科学合理确定，杜绝围标、串标、排斥潜在投标人等违法违纪行为。
第十八条 建立和完善履约担保制度，实行履约担保，按市场规律建立风险防范机制。对中标后违约不切实履行合同的，中标人必须承担给招标人造成的经济损失，履约担保单位负连带责任，违约企业的违约行为记入不良记录信用档案。
第十九条 本市行政区域内限额以下建设工程，招标人可采用简易招标、询价等竞争性发包形式，选择质优价廉的承包人。竞争性发包原则上在工程所在地有形建筑市场内进行。通过对限额以下工程项目实施监管，规范业主直接发包行为。
县（市）区可结合实际具体确定限额以下工程项目范围，报上级行政主管部门备案。
第二十条 加强中标后的监督管理，进一步规范建筑市场各方主体行为，确保设计、施工、监理中标企业严格履行招标文件、中标单位的投标文件和工程合同，从根本上解决建筑市场违法转包、分包、挂靠以及低价中标、高价结算和拖欠工程款等问题，防止合同订立和履行中的弄虚作假行为，建立市场信用约束机制。
第二十一条 经过前置审计的项目在建设过程中新增造价超过中标价5%的，必须经原审计机关审计认定，未经审计机关组织审计确认，不得办理结算手续，违者按违纪论处。
第二十二条 建立完善全市建设工程管理信息系统，公开工程项目中标后的工程管理信息。加强对工程招标投标、施工许可、施工图及设计文件、合同执行、“三价”情况、施工管理人员、施工发包和承包情况进行监督检查，发现违反法律、法规或与中标情况不一致的行为，要严肃查处、记入不良记录、通报批评，直至取消中标资格。
第二十三条 投标企业有围标串标行为的，投标企业中标后不履行承包合同，中标企业转包工程或违法分包工程的要从重处罚，并记入不良记录信用档案。
第二十四条 在建设工程招投标活动中有违法违纪行为的，依照《中华人民共和国招标投标法》及其它相关法律法规给予处罚；构成犯罪的，依法追究刑事责任。
第二十五条 本办法由曲靖市人民政府负责解释。
第二十六条 本办法自二○○七年十一月一日起施行。