“獲豁免投資顧問”(exempt investment adviser) 指根據第61條宣 布為就本條例而言是獲豁免投資顧問的人； (由1976年第62號第2條增補 )
" ""exempt investment adviser"" (獲豁免投資顧問) means a person declared under section 61 to be an exempt investment adviser for the purposes of this Ordinance; (Added 62 of 1976 s. 2)"
(a) 就任何交易商而言，指由該交易商根據第87A條通知的期間或監察 委員會根據該條准許的期間； (由1989年第10號第65條修訂)
" (a) in the case of a dealer, the period notified by him under section 87A or permitted by the Commission under that section; (Amended 10 of 1989 s. 65)"
(b) 就任何其他情況而言，指截至一個公曆年的3月31日為止的一段12 個月的期間； (由1976年第62號第2條代替)
" (b) in any other case, a period of 12 months ending on the 31st March in any calendar year; (Replaced 62 of 1976 s. 2)"
“外地證券交易所”(foreign stock exchange) 指在香港以外的國家 或地區獲該國家或該地區的法律准許營辦的證券交易所，如某國家或地區 沒有制訂關於證券交易所的成文法，則指不會遭該國家或該地區的法律阻 止營辦的證券交易所；
" ""foreign stock exchange"" (外地證券交易所) means a stock exchange which is permitted to operate in a country or territory outside Hong Kong by the law of that country or territory or, in the case of a country or territory which has no written law relating to stock exchanges, is not prevented from operating by the law of that country or territory;"
“個人會員”(individual member) 指屬交易所公司的會員的自然人 ； (由1985年第58號第33條代替)
" ""individual member"" (個人會員) means a natural person who is a member of the Exchange Company; (Replaced 58 of 1985 s. 33)"
(a) 為報酬而經營向他人提供涉及證券的意見的業務；
(a) for remuneration carries on a business of advising other persons concerning securities;
(c) 為報酬而依據與客戶訂立的合約或安排，承諾代該客戶管理證券 投資組合，包括透過交易商或獲豁免交易商安排購買、出售或交換證券， (由1989年第10號第65條修訂)
" (c) for remuneration pursuant to a contract or arrangement with a client, undertakes on behalf of the client the management of a portfolio of securities, including the arranging of purchases, sales, or exchanges of securities through a dealer or exempt dealer, (Amended 10 of 1989 s. 65)"
又投資顧問如屬法團，則包括該法團中任何積極參與或以任何方式直 接負責監管該法團的投資顧問業務的董事；但不包括─
" and, in the case of a corporation which is an investment adviser, includes any director of the corporation who actively participates in, or is in any way directly responsible for the supervision of, the corporation's business as an investment adviser; but does not include-"
(ii) 以投資顧問身分經營業務的律師或專業會計師，而其如此經營業 務全屬其專業執業的附帶事情；
(ii) a solicitor or professional accountant whose carrying on business as an investment adviser is wholly incidental to the practice of his profession;
(iii) 公眾藉訂購以外的方法普遍可獲得的真正的報章、雜誌、期刊 或其他定期刊物的東主或出版人或任何投稿人，而該人只在該真正的報章 、雜誌、期刊或其他定期刊物內向他人提供涉及證券的意見或發出涉及證 券的分析或報告，而該人本身並非是任何以向其他人提供涉及證券的意見 或發出涉及證券的分析或報告作為主要或唯一宗旨的報章、雜誌、期刊或 其他定期刊物的東主或出版人或投稿人；
" (iii) the proprietor or publisher of, or any contributor to, a bona fide newspaper, magazine, journal, or other periodical publication that is generally available to the public, otherwise than on subscription, who, only in that bona fide newspaper, magazine, journal, or periodical publication, advises other persons concerning securities, or issues analyses or reports concerning securities, not being the proprietor or publisher of, or a contributor to, a newspaper, journal, magazine, or other periodical publication whose principal or only object is to advise others concerning securities or to issue analyses or reports concerning securities;"
(iv) 交易商或獲豁免交易商，但以他提供投資意見是屬他以交易商或 獲豁免交易商身分經營業務的附帶事情的程度為限；
(iv) a dealer or exempt dealer to the extent that his giving of investment advice is incidental to his carrying on business as a dealer or exempt dealer;
(v) 根據《受託人條例》(第29章)第VIII部註冊的受託人公司；
(v) a trustee company registered under Part VIII of the Trustee Ordinance (Cap 29);
“投資顧問合夥”(investment advisers’ partnership) 指經營投 資顧問業務的合夥； (由1985年第58號第2條增補)
" ""investment advisers' partnership"" (投資顧問合夥) means a partnership which carries on the business of an investment adviser; (Added 58 of 1985 s. 2)"
“投資代表”(investment representative) 指受僱於並非獲豁免投 資顧問的投資顧問、代該投資顧問行事或藉與該投資顧問訂立的安排而行 事的人，而該人為該投資顧問履行投資顧問的任何職務(通常由會計師、 文員或出納員履行的工作除外)，不論該人的報酬是屬薪金、工資、佣金 或其他形式的；但投資顧問如屬法團，則不包括該法團的董事； (由 1976年第62號第2條代替)
" ""investment representative"" (投資代表) means a person in the employment of, or acting for or by arrangement with, an investment adviser, not being an exempt investment adviser, who performs for that investment adviser any of the functions of an investment adviser (other than work ordinarily performed by an accountant, clerk or cashier) whether his remuneration is by way of salary, wages, commission, or otherwise, but, in the case of a corporation which is an investment adviser, does not include a director of the corporation; (Replaced 62 of 1976 s. 2)"
“持牌銀行”(licensed bank) 指《銀行業條例》(第155章)第2條所 指的銀行； (由1995年第49號第53條代替)
" ""licensed bank"" (持牌銀行) means a bank within the meaning of section 2 of the Banking Ordinance (Cap 155); (Replaced 49 of 1995 s. 53)"
“有限責任合夥”(limited partnership) 指根據《有限責任合夥條 例》(第37章)註冊的有限責任合夥； (由1985年第58號第2條增補)
" ""limited partnership"" (有限責任合夥) means a limited partnership registered under the Limited Partnerships Ordinance (Cap 37); (Added 58 of 1985 s. 2)"
“上市”(listing) 就任何證券而言，指該證券在聯合交易所上市的 程序； (由1985年第58號第33條修訂)
" ""listing"" (上市), in relation to a security, means the procedure whereby a security is listed on the Unified Exchange; (Amended 58 of 1985 s. 33)"
“市場合約”(market contract) 指《證券及期貨(結算所)條例》(第 420章)第2條所指的市場合約； (由1992年第68號第20條增補。由1995年 第62號第12條修訂)
" ""market contract"" (市場合約) means a market contract within the meaning of section 2 of the Securities and Futures (Clearing Houses) Ordinance (Cap 420); (Added 68 of 1992 s. 20.
Amended 62 of 1995 s. 12)"
“會員”(member) 就交易所公司或聯合交易所而言，指《證券交易所 合併條例》(第361章)第2條所指的交易所公司的會員； (由1985年第58 號第33條增補)
" ""member"" (會員), in relation to the Exchange Company or the Unified Exchange, means a member within the meaning of section 2 of the Stock Exchanges Unification Ordinance (Cap 361), of the Exchange Company; (Added 58 of 1985 s. 33)"
“互惠基金法團”(mutual fund corporation) 指主要從事或顯示它 是正在主要從事或打算主要從事證券的投資、再投資或交易業務的任何法 團，而該法團正提出出售或擁有任何由其擔任發行人已發行而未贖償的可 贖回股份；
" ""mutual fund corporation"" (互惠基金法團) means any corporation which is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting or trading in securities and which is offering for sale or has outstanding any redeemable shares of which it is the issuer;"
“認可結算所”(recognized clearing house) 指《證券及期貨(結算 所)條例》(第420章)第2條所指的認可結算所； (由1992年第68號第20條 增補。由1995年第62號第12條修訂)
" ""recognized clearing house"" (認可結算所) means a recognized clearing house within the meaning of section 2 of the Securities and Futures (Clearing Houses) Ordinance (Cap 420); (Added 68 of 1992 s. 20.
Amended 62 of 1995 s. 12)"
“註冊公司”(registered company) 指根據《公司條例》(第32章)成 立和註冊的公司；
" ""registered company"" (註冊公司) means a company formed and registered under the Companies Ordinance (Cap 32);"
“規則”(rules) 就交易所公司或聯合交易所而言，指管限聯合交易 所的運作和管理，或管限其會員的操守的規則，不論其名稱為何，亦不論 其載於何處； (由1985年第58號第33條代替)
" ""rules"" (規則), in relation to the Exchange Company or the Unified Exchange, means the rules governing the operation and management of the Unified Exchange or the conduct of its members, by whatever name they may be called and wherever contained; (Replaced 58 of 1985 s. 33)"
“證券”(securities) 指屬於任何團體(不論是否具法團地位)的或由 其發行的或屬於任何政府或地方政府當局的股份、股額、債權證、債權股 額、基金、債券或票據，並包括─ (由1976年第62號第2條修訂)
" ""securities"" (證券) means any shares, stocks, debentures, loan stocks, funds, bonds, or notes of, or issued by, any body, whether incorporated or unincorporated, or of any government or local government authority; and includes- (Amended 62 of 1976 s. 2)"