| 1. | Working group on review of the financial regulatory framework for licensed corporations
检讨持牌法团财务规管制度工作小组 |
| 2. | Is the client a licensed corporation registered with the securities and futures commission
客户是否证券及期货事务监察委员会之持牌法团 |
| 3. | Review of financial regulatory framework for licensed corporations and the financial resources rules
检讨持牌法团财务规管制度及财政资源规则 |
| 4. | The same transitional arrangements applied to securities brokers , which could carry on regulated activities as deemed licensed corporations
上述过渡安排同样适用于证券经纪，后者可以当作持牌法团的身分进行受规管活动。 |
| 5. | The general approach is to require registered institutions to comply with standards equivalent to those applied by the sfc to licensed corporations in their regulated activities
金管局采取的一般模式是要求注册机构遵守证监会就持牌法团的受规管活动所实施的同等标准。 |
| 6. | The financial intermediary must be an authorized institution as defined in the banking ordinance or a licensed corporation licensed to perform type 1 , 4 or 9 regulated activities under the securities and futures ordinance
金融中介机构必须是《银行业条例》订明的认可机构或根据《证券及期货条例》获发牌以进行第1 、 4或9类受规管活动的持牌法团。 |
| 7. | The financial intermediary must be an authorized institution as defined in the banking ordinance or a licensed corporation licensed to perform type 1 , 4 or 9 regulated activities under the securities and futures ordinance
金融中介机构必须是《银行业条例》订明的认可机构或根据《证券及期货条例》获发牌以进行第1 、 4或9类受规管活动的持牌法团。 |
| 8. | The hkma takes a serious stance on supervisory failures and non - compliance with law and regulations . executive officers and relevant individuals of registered institutions are subject to the same set of legal and regulatory requirements , standards and penalties and have to face similar disciplinary consequences as responsible officers and licensed representatives respectively under the current sfo regime
在现行证券及期货条例的监管制度下，注册机构的主管人员及有关人士与持牌法团的负责人员及持牌代表受同一套的法规标准和罚则所规管，并须承担同样的纪律处分。 |
