(5) 第(4)款所規定須刊登的資料，每年須最少刊登一次。
(5) The information required to be published under subsection (4) shall be published at least once in each year.
(6) 證監會如於任何時間修訂其根據本條所備存的名冊，將任何人的 姓名或名稱加入該名冊或從中除去，須安排將該項修訂的詳情在修訂作出 後的1個月內在憲報刊登。
" (6) If the Commission at any time amends the register kept by it under this section by adding or removing the name of any person, it shall cause particulars of the amendment to be published in the Gazette within 1 month after making the amendment."
(1) 就本條例而言，全部或局部用作居住用途的處所不得視為適宜存 放簿冊﹑帳目﹑紀錄或其他文件。
" (1) For the purposes of this Ordinance, premises that are used wholly or partly for residential purposes shall not be regarded as suitable for keeping books, accounts, records or other documents."
(2) 被認為合適的處所必須是證監會為本條的施行所書面授權的人在 任何合理時間均可進出的處所。
" (2) Premises that are considered suitable shall be accessible at all reasonable times by, or to, any person authorized in writing by the Commission for the purposes of this section."
(3) 凡持牌槓桿式外匯買賣商根據第14(4)條向證監會通知擬更改處所 ，而證監會決定該買賣商所屬意的處所並不適宜存放簿冊﹑帳目，紀錄或 其他文件，證監會須在接獲該項通知後的15日期間屆滿之日或之前，將其 決定以書面通知該買賣商。
" (3) Where the Commission is notified by a licensed leveraged foreign exchange trader of any intended change of premises under section 14(4) and decides that the intended premises are unsuitable for keeping books, accounts, records or other documents, it shall inform the licensed leveraged foreign exchange trader of its decision by letter on or before the expiry of 15 days after receipt of such notice."
(1) 證監會在諮詢財政司後，可為本條的施行而根據第73條訂立規則( “財政資源規則”)，以規定根據第7(1)(a)條獲發牌的人須就其獲發牌經 營的業務，具備及維持該等規則所規定的財政資源。
" (1) The Commission may, after consultation with the Financial Secretary, make rules (""financial resources rules"") under section 73 for the purposes of this section requiring persons to whom a licence is granted under section 7(1)(a) to have and maintain, in respect of the businesses as regards which they are licensed, such financial resources as are required by the financial resources rules."
(2) 在不影響第(1)款的概括性的原則下，財政資源規則─
" (2) Without prejudice to the generality of subsection (1), financial resources rules may-"
(a) 所施加的規定可以是絕對的，也可按該等規則所指明的或根據該 等規則而決定的因素不時變更；
" (a) impose requirements which are absolute or which are to vary from time to time by reference to factors which either are specified in, or are to be determined in accordance with, the rules;"
(b) 可為該等規則的目的而須確定某人的財政資源時，就須予考慮的 資產﹑負債及其他事宜，以及須予考慮的範圍及方式，訂定條文；
" (b) make provision as to the assets, liabilities and other matters to be taken into account in determining a person's financial resources for the purposes of the rules and the extent to which, and the manner in which, they are to be taken into account for that purpose;"
(c) 可為(b)段的目的，規定證監會為計算持牌槓桿式外匯買賣商的任 何類別的資產或負債，可對任何類別的財務交易﹑文書或貨幣作出認可；
" (c) for the purposes of paragraph (b), provide for the approval by the Commission of any type of financial transaction, instrument or currency in connection with the calculation of any type of asset or liability of licensed leveraged foreign exchange traders;"
(d) 可就在規則中指明的不同類別的持牌槓桿式外匯買賣商，對財政 資源及業務範圍施加不同的規定；
(d) impose different requirements in relation to financial resources and scope of business for different classes or descriptions of licensed leveraged foreign exchange traders as may be specified in the rules;
(e) 可規定任何人凡按照香港或其他地方的主管機構(其所履行的職能 被證監會認為是與本條所賦予證監會的職能相似)所作的批准，在香港或 其他地方備有及維持財政資源，則該等規則或其任何條文對該等人士不適 用，或該等規則在作出所指明的改動後或在所指明的情況下始對該等人士 適用；及
" (e) provide that the rules or any provision thereof shall not apply, or shall apply with such modifications or only in such circumstances as shall be specified in the rules, to persons who have and maintain financial resources, in Hong Kong or elsewhere, in accordance with an authorization of an authority, in Hong Kong or elsewhere, which in the opinion of the Commission performs any function which is similar to a function conferred on the Commission by this section; and"
(f) 可規定持牌槓桿式外匯買賣商─
(f) require licensed leveraged foreign exchange traders to submit to the Commission-
(i) 在該等規則所指明的相隔期間，以證監會所定的格式向證監會呈 交報表，指明其財政資源；
" (i) at intervals specified in the rules, returns specifying their financial resources in such form as the Commission may determine;"
(ii) 將該規則所訂明須予通知的與該持牌槓桿式外匯買賣商財政資源 水平的變更有關的情況，以書面通知證監會。
(ii) notice in writing of such circumstances relating to changes in the level of their financial resources as may be prescribed in the rules.
證監會為第17條的施行而根據第73條訂立的財政資源規則所可規定的 財政資源，須由持牌槓桿式外匯買賣商提供予其槓桿式外匯買賣的業務及 經常予以維持。
A licensed leveraged foreign exchange trader shall provide and at all times maintain in its business such financial resources as may be required by the financial resources rules made by the Commission under section 73 for the purposes of section 17.
(1) 持牌槓桿式外匯買賣商如察覺其無能力遵從證監會為第17條的施 行而根據第73條所訂立的財政資源規則，須即時─
" (1) If a licensed leveraged foreign exchange trader becomes aware of any inability by it to comply with the financial resources rules made by the Commission under section 73 for the purposes of section 17, it shall forthwith-"
(a) 將其力有不逮的情況通知證監會；及
(a) notify the Commission of that inability; and
(b) 除進行其牌照所准許的而在察覺力有不逮前已訂立的交易外，停 止經營持牌槓桿式外匯買賣的業務。
(b) cease carrying on a business of leveraged foreign exchange trading otherwise than for the purpose of giving effect to any transaction permitted by or by virtue of its licence and entered into before the time when it became so aware.
(2) 證監會如察覺某持牌槓桿式外匯買賣商無能力遵從證監會為第17 條的施行而根據第73條所訂立的財政資源規則，則不論該買賣商是否已根 據第(1)(a)款發出通知，證監會可─
" (2) Where the Commission becomes aware of any inability by a licensed leveraged foreign exchange trader to comply with the financial resources rules it may, whether or not the licensed leveraged foreign exchange trader has given notice under subsection (1)(a)-"
(a) 暫時吊銷其牌照；或
(a) suspend the licence; or
(b) 准許該買賣商按證監會所施加的條件(如有的話)繼續經營槓桿式 外匯買賣的業務。
" (b) permit the licensed leveraged foreign exchange trader to carry on a business of leveraged foreign exchange trading on such conditions, if any, as it may impose."
(3) 持牌槓桿式外匯買賣商的任何董事或僱員如察覺該買賣商無能力 遵從財政資源規則，或在合理範圍內如經已盡力的話應會察覺該情況，則 該買賣商須當作已察覺其無能力遵從財政資源規則。
" (3) A licensed leveraged foreign exchange trader shall be deemed to be aware of an inability to comply with the financial resources rules if any director or employee of it is so aware or would, with the exercise of reasonable diligence, have been aware of such inability."
(4) 任何持牌槓桿式外匯買賣商違反第(1)款，該買賣商及其每一名董 事或幕後董事即各屬犯罪─
" (4) If a licensed leveraged foreign exchange trader contravenes subsection (1), the licensed leveraged foreign exchange trader and every director or shadow director of it commit an offence and each is liable-"