| 1. | " in late 2000 to facilitate its off - site review of the securities business of institutions that are exempt dealers
，以便对具有获豁免交易商资格的认可机构的证券业务进行非现场审查。 |
| 2. | Banks have been engaging in securities business in the capacity of " exempt dealers " under the existing regulatory regime
根据现有的监管架构，银行是以获豁免交易商的身份参与证券业务。 |
| 3. | The hkma , in supervising the securities business of these exempt dealers , applies standards that are equivalent to those imposed by the sfc on registered dealers
金管局按照等同证监会对注册交易商实施的标准，监管这些获豁免交易商的证券业务。 |
| 4. | Instead of being exempt dealers under the current legislation , they will be required to seek registration from the sfc in order to carry out the regulated activities concerned
这些机构不再是现行法例之下的获豁免交易商，而它们若要进行有关的受规管活动，便须取得证监会的注册。 |
| 5. | Of the securities business of authorized institutions that are " exempt dealers " . such institutions are exempt from the need to be registered under the securities ordinance and are not subject to the supervision of the
金管局在2000年2月把证券业务审查专家小组的数目由1组增加至3组；这些小组负责对具有获豁免交易商资格的认可机构的证券业务进行 |
| 6. | Authorized institutions that are exempt dealers were reminded that they should take appropriate steps to ensure compliance with the relevant requirements , such as those relating to the provision of trading records to clients , the handling of clients securities collateral and claims and liens over securities
认可机构如属获豁免交易商，须采取适当措施，以确保遵守有关规定，例如关于向客户提供交易记录、处理客户的证券抵押品及对证券的债权与质押权等的规定。 |
| 7. | Was introduced into the legislative council at the same time , proposing parallel changes relating to the supervision of exempt authorized institutions ( i . e . exempt dealers under the current legislation ) . the objective is to achieve consistency with the supervisory regime for securities firms proposed under the securities and futures bill
亦同时提交立法会，对获豁免认可机构（即现行条例下的获豁免交易商）的监管提出相同的修订，目的是要与《证券及期货条例草案》建议的证券公司监管制度一致。 |
