香港法例/HK1211 證券(在證券交易所上市)規則

" (2) If the committee is not satisfied as to the propriety of a claim under section 109, it shall make a determination disallowing the claim or, if it is satisfied only as to the propriety of part of such a claim, it shall make a determination allowing the claim as to that part."

" (3) Where the committee of the Exchange Company makes a determination under subsection (1) or (2), it shall forthwith serve notice of its determination in writing on the claimant or on his solicitor and deliver a copy of the notice to the Commission."

" (4) If the committee of the Exchange Company disallows or only partially allows a claim against the compensation fund, the determination of the committee shall specify the reasons for the disallowance or, as the case may be, partial allowance."

" (5A) If it appears to the committee of the Exchange Company that the aggregate of all claims arising out of the default of a stockbroker, if allowed, may be in excess of the total amount limited by or under section 109, and the committee-"

" (a) having regard to the circumstances of the default, considers it appropriate to do so; and"

" (b) after taking into account all ascertained and contingent liabilities of the compensation fund, considers that the assets of the fund so permit,"

" it may, with the prior approval of the Commission, allow in respect of any claim which has been allowed or partially allowed by the committee of the Exchange Company or by an order of the Court under this Part the payment, before the apportionment under section 120(2), of such sum for compensating the claimant as it thinks fit. (Added 38 of 1998 s. 5)"

" (5) If, in the case of any particular claim, after taking into account all ascertained and contingent liabilities of the compensation fund, the committee of the Exchange Company considers that the assets of the fund so permit, it may, with the prior approval of the Commission, allow in respect of a claim which is in excess of the total amount limited by or under section 109 such additional sum in or towards the compensation of the claimant as it thinks fit."

(6) The receipt of a copy of a notice under subsection (3) notifying the allowance or partial allowance of a claim is sufficient authority for the Commission to pay to the claimant the amount allowed under this section.

" (1) The committee of the Exchange Company may at any time require any person to produce any securities, documents, or statements of evidence necessary-"

(a) in order to substantiate any claim made against the compensation fund; or

(b) for the purpose either of exercising its rights against a stockbroker or against any other person concerned; or

" (c) for the purpose of enabling criminal proceedings to be brought against any person in respect of a default, being a default which is or involves the commission of a criminal offence."

" (2) Where any claimant required to produce any securities, documents, or statements of evidence under subsection (1) fails to produce them the committee of the Exchange Company may, if it is satisfied that securities, documents, or statements are in the possession of, or available to, the claimant, refuse to allow the claimant's claim until such time as he produces them."

" (1) Subject to subsection (2), a person whose claim has been disallowed, or only partially allowed, under section 113 may, at any time after the service under that section of the notice notifying the disallowance or partial allowance commence proceedings against the Exchange Company to establish his claim against the compensation fund."

" (2) Except with leave of the Court, no proceedings against the Exchange Company in respect of a claim which has been disallowed, or only partially allowed, under section 113 may be commenced after the expiration of 3 months after the service of the notice under subsection (3) of that section."

(3) Any proceedings brought against the Exchange Company to establish a claim against the compensation fund shall be by action as for a debt due from the Exchange Company.

(a) all defences that would have been available to the person or persons in relation to whom the claim arose shall be available to the Exchange Company; (Amended 58 of 1985 s. 77)

(b) all questions as to costs shall be in the discretion of the Court; and

" (c) evidence which would be admissible against the stockbroker or any other person by whom it is alleged a default was committed is admissible to prove the commission of the default, notwithstanding that the stockbroker or other person is not the defendant in or a party to those proceedings."

" Where, in any proceedings brought against the Exchange Company to establish a claim against the compensation fund, the Court is satisfied that the default on which the claim is founded was actually committed and that the claimant otherwise has a valid claim, the Court shall by order-"

(a) allow the amount of the claim or such part of the claim as it thinks proper;

(b) declare the fact and date of the default and the amount allowed under paragraph (a); and

(c) direct the Commission to pay to the claimant the amount declared under paragraph (b).