交通类专业教材编审、出版管理办法(已废止)
交通部
交通类专业教材编审、出版管理办法
1992年5月4日，交通部
第一章 总 则
第一条 为切实做好交通系统的教材编审、出版工作，保证教材的质量，制定本办法。
第二条 交通类专业的普通高等教育、职业技术教育和成人教育的教材（含必修、选修、配套、及翻译的教学用书），经审查，质量合乎出版要求、列入交通部教材出版计划的，由人民交通出版社和大连海运学院出版社出版。
第三条 出版交通类专业高等学校教材，原则上限定在国家教委《普通高等教育各科类专业教材规划、编审、出版工作的分工》所规定的专业范围之内。公共课、基础课及非交通专业的专业课教材，原则上不列入交通部教材出版计划。
一次印量不足三千册或只有一个专业点、一个单位使用的教材，原则上不予出版。
使用对象相同的同类教材，择优出版一种。
第四条 需出版的教材，一般应以已使用过两遍以上的讲义为基础；被评为优秀教材的讲义，在同等条件下可优先列入出版计划；翻译的教学用书，报译时间距原版出版时间，应不超过三年。
第二章 教材建设的领导与管理
第五条 交通系统各院校（以下简称院校）应由一位校领导负责领导教材建设工作。教材管理部门负责领导和组织全校教材建设、制订教材规划、审定教材年度计划和评选优秀教材等工作。教材管理部门要配备专人负责，要创造条件努力提高教材管理部门工作人员的素质。
第六条 院校要建立、健全和不断完善有关教材建设的各项规章制度，并加以认真贯彻落实。
第七条 院校选择课程主要教材，应由教研室负责认真研究决定，授课教师个人不能随意变动。
第八条 各单位要保证教材编写人员编写教材的时间，编写教材时间应计入教学工作量。各单位还要为编写教材提供文具、纸张等物品，维护编写人在稿酬等方面的正当权益。
第九条 教材管理部门不但要做好教材的订购、发行工作，还要积极开展教材建设与教材的研究工作，认真执行教材规划，做好组织、审查以及铅（胶）印教材的编辑加工工作，努力提高教材质量，扩大教材品种。
第三章 出版计划与审批
第十条 交通部每五年制定一次教材出版规划。交通部教材出版规划在各院校制定教材建设的基础上编制。院校上报交通部的教材建设规划应包括文字说明、《教材出版计划》（见附表一）和《教材推荐书》（见附表二）。交通部教育司（以下简称教育司）委托相应的专业教材指导委员会审议《教材推荐书》，并根据院校推荐书和指导委员会的审议意见，以及交稿时间和出版能力，由部教育司会同出版社安排教材出版规划。
第十一条 教育司每年下达下一年度的出版教材交稿计划。院校或专业教材指导委员会负责的教材，由归口主编院校的教材管理部门统一填写申报表。凡未列入规划的教材均要补报《教材推荐书》，已经成立有专业教材指导委员会的专业，仍须经专业教材指导委员会审查签署意见后，方可由院校报教育司。院校在报年度计划时，要将审稿时间考虑在内，并要注意留有余地，尽量杜绝拖、欠交稿的现象，保证计划的严肃性。
第十二条 拟翻译的国外教材或教学参考书，在填写《教材推荐书》的同时，应填清原著书名（中、外文）、原著者、出版国家及时间；译出该书的绪言和章节目录，报部教育司，或由专业教学指导委员会转教育司，经同意并由出版社查重约稿后再行翻译。
第十三条 出版社根据年度交稿计划的书目指定责任编辑，并与主编保持密切联系。
第十四条 每年每项工作的具体时间进度按《交通部教材管理工作历》（附表四）进行。
第四章 教材编写与审稿
第十五条 教材的编写实行主编、主审负责制。
教材编写人应由教学经验丰富、学术水平较高、具有较好的文字水平、热心教材建设工作的教师或专家担任。
教材必须保证思想性、科学性、先进性、启发性和适用性。编写要符合著作权法和有关法律、法规规定。
第十六条 鼓励编写适合大类专业使用、并符合《课程教学基本要求》的基本教材。同时可配以能体现本专业特色、使本门课程加深、加宽的“补充教材”，组成完整的课堂使用教材。
第十七条 课堂使用教材的内容，应根据教学计划的要求，处理好本门学科的内在联系，以及相关学科与课程之间的分工与衔接。做到不重复、不脱节，恰当掌握其深度和广度。严格控制字数，本（专）科教材，每授课学时的稿面字数控制在4000字以内；中专教材控制在3500字以内。出版社根据交通部下达的计划字数支付稿酬。
第十八条 编写课堂使用教材原则上应确定一名主编，主编承担的编写内容不得少于全书的1／4。主编负有核定书稿的编写大纲及主要内容的取舍、调整的责任，并承担全书的统稿、定稿工作，对书稿的质量全面负责。提倡并鼓励由主编遴选参编人员。
第十九条 配套教材是体现专业特色，帮助学生验证、消化、巩固课堂教学基本内容，运用理论知识处理实际问题的课程教学用书，要保证数据准确、标准规范。
第二十条 提倡个人编书。合编教材的编者最多不超过三人，并应明确一个统稿，以保证教材体例、符号的统一。
第二十一条 教材在送交出版社之前，必须请教学经验丰富、学术水平较高、熟悉专业全面情况、治学态度严谨、未参加该书编写工作的、非编写单位具有高级职称的教师或专家审阅。若有多人参加审阅，则必须确定一名主审，负责全书的审定工作，对审稿质量负责，并填写《交通部教材审查意见书》（附表三）。
第二十二条 审稿时间以主审人收到书稿之日起计算，稿面字数25万字以下的；审稿时间不得超过二个月；25—45万字不得超过三个月；45万字以上不得超过四个月。
第二十三条 对未达到审稿要求的不付审稿费，并将另请他人审阅。
第五章 教材修定再版
第二十四条 教材应保持相对稳定。教材在使用期间，主编院校与主编应注意信息反馈，根据需要组织修订再版。使用教材的教师应主动与教育司或主编反映教材中出现的问题。
第二十五条 担任修订教材的主编应慎重、客观地评价原教材，应在原教材的基础上进行内容的补充、更新，为了保持教材的连续性，无特殊原因一般不应更换主编。如确需调整主编，由教育司会同有关单位研究决定。
第二十六条 修定教材同新编教材一样，需填写《教材推荐书》报部批准。
第二十七条 修定教材更新的内容不得少于10％，或修定量不应少于40％。
第六章 交 稿
第二十八条 根据教材印、行周期的需要，春季教材于教材使用之时的前两年的9月15日之前、秋季教材于前一年的4月15日前将书稿交到出版社。在送交书稿的同时，将《交通部教材审查意见书》寄到教育司。不能按期交稿时，主编单位应提前三个月分别通知教育司和出版社，以便调整编辑、印刷力量，否则出版计划将自行取消。出版社拒收逾期书稿。
第二十九条 送交出版社的书稿应誊清在稿纸上，并符合《编写书稿注意事项》的要求，保证文、图、表齐全，书写清晰、工整，图稿符合制版要求，书稿内容不再改动。
第三十条 在编辑加工中如发现书稿错误较多，或与已经出版的同类教材、图书大同小异，或有抄袭现象，或超过限编字数等情况，由出版社征求教育司的意见后，将书稿退回主编单位。
第七章 稿酬、样书与订购
第三十一条 教材稿酬为每千字14～18元。高等学校教材每千字16～18元；中专教材每千字15～17元；技校教材每千字14～16元。质量优秀的教材可以适当提高稿酬标准，但每千字不超过24元。
统稿费根据统稿的工作量确定，占总稿酬的5％～20％。
第三十二条 审稿费由责任编辑根据《交通部教材审查意见书》对书稿审阅修改的工作量和审稿质量确定，每千字1～3元，最多不超过4元。
第三十三条 稿费与审稿费由出版社分别寄给主编与主审。
第三十四条 教材出书后，样书由出版社分寄有关人员。样书赠送标准为：主审2册；编著者在5人以内，共赠书10册；编著者在5人以上的，主编2册，参编人每人1册。
第三十五条 新书出版后，主编应及时将“重印样书”连同勘误表寄出版社，以供出版社修改重印之用。
使用教材的教师也应积极向出版社反馈教材印刷质量中的问题。
第三十六条 用书单位应密切注意新华发行所和出版社的教材征订目录，分别于每年6月1日—15日、12月1日—15日到当地新华书店或出版社订购。一次应订足三年以上的用量。新书出版后，三年内不予重印。需要重印的书，用书单位应提前一年（分别于每年2月底前或8月底前）报教育司，以便根据需求量安排计划重印。
第三十七条 本办法由交通部负责解释。
第三十八条 本办法自一九九二年六月一日起施行。交通部一九八二年制定的《交通系统教材编审、出版试行办法》同时废止。
附表一
教材出版计划
------------------------------------------------------------------------------------------------
序号| 书 名 | 学 时 |字数（万）|主编单位、姓名|适用专业|类 别|交稿时间
----|--------------------|----------|----------|--------------|--------|--------|--------
| | | | | | |
----|--------------------|----------|----------|--------------|--------|--------|--------
| | | | | | |
----|--------------------|----------|----------|--------------|--------|--------|--------
| | | | | | |
------------------------------------------------------------------------------------------------
附表二
教材推荐书
（公开出版、内部教材）
教材名称----------------------------------------------
主编人 ----------------------职称--------------------
推荐院校----------------------------------------------
一九九 年 月 日
----------------------------------------------------------------------------------
|适用专业| |主编单位| 系 室 |
|------------------------------------------------------------------------------|
|根据 专业的 级教学计划，课程名称为 |
|------------------------------------------------------------------------------|
|教 材| |新编|必修|配套教材 |讲授| |图数| 张|
| | |----|----|----------|学时| |----|----------|
|使用对象| |修订|选修|教学参考书|学分| |字数| 万|
|------------------------------------------------------------------------------|
|主学|何年在何校讲过何课、教授对象、学时、次数 |
|编简| |
|教历| |
|----|------------------------------------------------------------------------|
|曾何|何年、教材名称、学时、字数、使用对象、出版单位 |
|编种| |
|写教| |
|过材| |
|----|------------------------------------------------------------------------|
|教使|印刷形式（油印讲义、内部教材、出版社）、印刷日期、使用次数、学生反映，是|
|材用|否评为院优秀教材？ |
|推情| |
|荐况| |
|前 | |
|----|--------------------------------------------------------------------------
|已同| |
|公类|教材名称、主编单位、姓名、出版单位、字数、适用学时、主要问题 |
|开教| |
|出材| |
|版情| |
|的况| |
|----|------------------------------------------------------------------------|
|本点| |
|教说|编写指导思想，教材特色及主要章节 |
|材明| |
|特 | （写不下可另附纸） |
----------------------------------------------------------------------------------
----------------------------------------------------------------------------------
|主 | |
|编 | |
|所 | |
|在 | |
|教 | |
|研 | 主任签字： |
|室 | 年 月 日 |
|----|------------------------------------------------------------------------|
|推 |推荐意见、本校使用专业、计划用书时间及印数 承担量： |
|荐 | |
|院 | |
|校 | |
|教 | |
|务 | |
|处 | |
|意 | 处长签字： |
|见 | 年 月 日 |
|----|------------------------------------------------------------------------|
|专会| |
|业（| |
|教编| |
|学委| |
|指会| |
|导）| |
|委意| 签、章 |
|员见| 年 月 日 |
|----|------------------------------------------------------------------------|
|教 | |
|育 | |
|司 | |
|意 | |
|见 | 章 年 月 日 |
----------------------------------------------------------------------------------
附表三
交通部教材审查
意 见 书
教材名称----------------------------------------------
主编人 ----------------------职称--------------------
主编院校----------------------------------------------
一九九 年 月 日
----------------------------------------------------------------------------------
|主编 |工作单位| 学院 系 |
|------------------------------------|----------------------------------------|
|编 |工作| |
|写 | | |
|人 |单位| |
|------------------------------------------------------------------------------|
|教材封面署名 | （编、编著、著、主编、合编） |
|--------------|--------------------------------------------------------------|
|教育司批准文号| |实际字数| |
|------------------------------------------------------------------------------|
|教材内容简介：（主要内容、特点、读者对象、一般不超过300字） |
| |
| |
| |
----------------------------------------------------------------------------------
审稿内容
一、教材的思想性
1．有无政治性错误，是否符合党和国家的方针、政策？
2．是否有泄露国家机密的地方？
二、教材的科学性和先进性
1．取材是否先进，是否能与本门学科发展的先进水平相适应？
2．概念、定义、原理是否准确、清楚？
3．公式、图表、数据、机器型号是否先进、可靠？
4．国内是否有同类教材，与之相比在内容和体系上有什么特色？
三、各种标准使用情况
1．名词、术语、规范、符号是否符合国家现行规定？
2．法定计量单位使用是否正确？
3．所绘图稿是否符合国家现行标准？
4．非标准的名词、术语、符号全书是否一致？
四、教材适用性
1．是否符合本课程在教学计划中的地位和作用，内容和字数是否符合大纲要求？取材是否适当？章节、结构安排是否合理？
2．是否体现了理论与实际结合的原则？
3．是否体现了循序渐进和少而精的原则？
五、教材文字叙述质量
1．文字叙述用语是否准确、精练、流畅？
2．文字、标点符号是否符合规范要求？
3．是否存在语法错误、口语化、课堂语言等疵病？
六、著书类别
1．“编”是集国内外资料之所成；“著”是个人成果，对于“著”一定要认真审查著的内容与分量。
一般说书稿中有个人成果者，称“编著”，著的分量占全书30％以上者称“著”。
2．本书属于“编”、“编著”、“著”？
----------------------------------------------------------------------------------
|主审人| |职称| |工作单位| |
|----------------------------------------------|--------|--------------------|
|接稿时间| |寄出时间| |
|------------------------------------------------------------------------------|
|审稿记录： | 主编意见： |
| | |
| | |
| | |
| （可另附纸） | |
|------------------------------------------------------------|------------------
|--------------------------------------------------------------------------------
| 教 | |
| 研 | |
| 室 | |
| 、 | |
| 系 | |
| 的 | |
| 意 | |
| 见 | 年 月 日 |
|------|----------------------------------------------------------------------|
| 编 | |
| 委 | |
| 会 | |
| 、 | |
| 专 | |
| 业 | |
| 教 | |
| 学 | |
| 指 | |
| 导 | |
| 委 | |
| 员 | 年 月 日 |
| 会 | |
----------------------------------------------------------------------------------
----------------------------------------------------------------------------------
| 学 | |
| 校 | |
| 教 | |
| 务 | |
| 处 | 年 月 日 |
|------|----------------------------------------------------------------------|
| 教 | |
| 育 | |
| 司 | |
| 意 | |
| 见 | 年 月 日 |
|------|----------------------------------------------------------------------|
| 出 | |
| 版 | |
| 社 | |
| 意 | |
| 见 | 年 月 日 |
----------------------------------------------------------------------------------
附表四
交通部教材管理工作历
----------------------------------------------------------------------------------------------------
时 间 | 工 作 内 容
----------------|----------------------------------------------------------------------------------
元 月 |下达本年度部属高校内部教材计划。
----------------|----------------------------------------------------------------------------------
2月15日 |出版社将已发稿的下年度春季教学用书通知新华发行所或用书单位进行征订、并通知教育司。
----------------|----------------------------------------------------------------------------------
2月底 |各院校将需要重印的下年度春季教学用书及印量通知教育司和出版社。
----------------|----------------------------------------------------------------------------------
4 月 |教育司将下年度春季教学用书的出书情况通知用书单位。
----------------|----------------------------------------------------------------------------------
4月15日 |下年度秋季教学用书的交稿时间截止。
----------------|----------------------------------------------------------------------------------
6月1～15日 |各院校向新华书店或出版社订购下年度春季教学用书。
----------------|----------------------------------------------------------------------------------
7月底前 |各院校向教育司报下年度教材交稿计划。
----------------|----------------------------------------------------------------------------------
8月15日 |出版社将下年度秋季教学用书通知新华发行所或用书单位进行征订，并通知教育司。
----------------|----------------------------------------------------------------------------------
8月底前 |各院校将需要重印的下年度秋季教学用书及印量通知教育司和出版社。
----------------|----------------------------------------------------------------------------------
9月15日 |第三年度春季教学用书的交稿时间截止。
----------------|----------------------------------------------------------------------------------
10 月 |教育司将下年度秋季教学用书的出书情况通知用书单位。
----------------|----------------------------------------------------------------------------------
|教育司下达下年度教材交稿计划。
----------------|----------------------------------------------------------------------------------
11月底前 |各院校向教育司报下年度部属高校内部教材计划和本年度的完成情况与成本结算。
----------------|----------------------------------------------------------------------------------
12月1～15日|各院校向新华书店或出版社订购下年度秋季教学用书。
----------------|----------------------------------------------------------------------------------
12 月 |教育司下拨部属高校内部教材出书补助费。
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SECURITIES AND FUTURES COMMISSION ORDINANCE ——附加英文版
Hong Kong
SECURITIES AND FUTURES COMMISSION ORDINANCE
(CHAPTER 24)
ARRANGEMENT OF SECTIONS
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I PRELIMINARY
hort title
nterpretation
II SECURITIES AND FUTURES COMMISSION
ecurities and Futures Commission
unctions of Commission
onstitution of Commission
ommission may establish committees
taff of Commission
eneral powers of Commission
elegation and sub-delegation of Commission's functions
Advisory Committee
Directions to Commission
Annual report of Commission
Commission to furnish information
Financial year and estimates of income and expenditure
Accounts
Auditors and audit
Investment of funds
III SECURITIES AND FUTURES APPEALS PANEL
Constitution of Appeals Panel
Appeals (registration, forfeiture and notices)
Hearing of appeals by tribunal
Procedure for appeals
Case stated
IV ADDITIONAL REGISTRATION REQUIREMENTS
Applications under section 51 of Securities Ordinance or section
30 of
odities Trading Ordinance; supplementary provisions
Applicant under Securities Ordinance or Commodities Trading
Ordinance
urnish information to Commission
Certificates of registration to continue in force
Section 23 (2) and (3) to apply to inquiries under section 56 of
rities Ordinance or section 36 of Commodities Trading Ordinance
Registered persons to notify Commission where records etc. kept
Financial resources rules
Modification of financial resources rules in particular cases
V REGULATION OF REGISTERED PERSONS' BUSINESS, ETC.
Supervision
Information relating to transactions
Certification to High Court relating to non-compliance under
section
r 31 33. Investigations
Returns
Production of computerized information
Magistrate's warrant
Destruction etc. of documents
Powers of intervention
Restriction of business
Restriction on dealing with assets
Maintenance of assets
Provisions relating to notices under section 39, 40, 41 or 43
Withdrawal, substitution or variation of notices under section
39, 40
1 44. Appeals against notices under this Part
Winding-up orders
Receiving orders
VI SPECIAL PROVISIONS RELATING TO EXCHANGE COMPANIES AND
RING HOUSES 47. Transfer and resumption of functions
Information: Exchange Companies and clearing houses
Notice of closure or re-opening
Additional powers--restriction notices relating to Exchange
Companies
clearing houses
Additional powers--suspension orders relating to Exchange
Companies
clearing houses
VII FUNDING
Levies
Appropriation
Fees and other charges
VIII MISCELLANEOUS
Injunctions to restrain contraventions
Waiver or modification of requirements
Immunity, etc.
Liability of directors, etc.
Evidence
Preservation of secrecy, etc.
Service of notices
Penalties for offences
Prosecution of certain offences by Commission
Dissolution of Provisional Securities and Futures Commission
Limited
transfer of property
Transitional
DULE Functions of Commission to which section 9 does not apply
establish the Securities and Futures Commission and to amend the
law
ting to dealing in securities and trading in futures contracts;
and to
ide for connected or incidental matters.
he Ordinance other than sections 27 (1) to (8), 30, 31, 32 and
65 as
with item 1 (b) of paragraph 4 of Schedule 2 insofar as they
relate
he repeal of sections 122 and 123 of the Securities Ordinance
y 1989 L. N. 126 of 1989
remaining provisions: 1 August 1989] L. N. 230 of 1989
PART I PRELIMINARY
hort title
Ordinance may be cited as the Securities and Futures
Commission
nance.
nterpretation
his Ordinance, unless the context otherwise requires-
aring house" means a clearing house within the meaning of section
2
of the Commodities Trading Ordinance (Cap. 250) or a
recognized
ring house within the meaning of section 2 of the Securities
(Clearing
es) Ordinance (Cap. 420); (Amended 66 of 1990 s. 2; 68 of 1992
s. 20)
Commission" means the Securities and Futures Commission
established
ection 3; "Commodity Exchange" has the meaning assigned to
it by
ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
pany" means any company within the meaning of the Companies
Ordinance
. 32) and includes an overseas company within the meaning of
that
nance or any other body corporate incorporated in Hong Kong
having a
e capital;
a equipment" has the meaning assigned to it by section 27;
a material" means any document or other material used in
connection
or produced by data equipment;
ablishment day" means the day on which section 3 comes into
operation;
hange Company" means-
the Stock Exchange Company; or
the Futures Exchange Company,
"Exchange Companies" means both of those companies;
cutive director" and "non-executive director" mean a director
of the
ission who is appointed under section 5 as an executive director
and a
executive director thereof, respectively; "exempt dealer"
has the
ing assigned to it by section 2 (1) of the Securities Ordinance
(Cap.
;
ancial resources rules" means rules made under section 28;
"financial
" means the period specified in section 14 (1);
m" has the meaning assigned to it by section 2 (1) of the
Commodities
ing Ordinance (Cap. 250);
ction" includes power and duty;
ures contract" has the meaning assigned to it by section 2 (1)
of the
odities Trading Ordinance (Cap. 250);
ures Exchange Company" means the Exchange Company within the
meaning
ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
up of companies" has the meaning assigned to it by section 2 (1)
of
Companies Ordinance (Cap. 32);
etary Authority" means the Monetary Authority appointed under
section
f the Exchange Fund Ordinance (Cap. 66); (Added 82 of 1992 s. 6)
icer", in relation to a company, has the meaning assigned to
it by
ion 2 (1) of the Companies Ordinance (Cap. 32);
el" means the Securities and Futures Appeals Panel
established by
ion 18; "property investment arrangements" means
investment
ngements as defined in relation to property other than
securities by
ion 2 of the Protection of Investors Ordinance (Cap. 335);
ord or other document" includes--
a book, voucher, receipt or data material, or information
which is
rded in a non-legible form but is capable of being reproduced
in a
ble form; and (b) any document, disc, tape, sound track or
other
ce in which sounds or other data (not being visual
images) are
died so as to be capable (with or without the aid of other
equipment)
eing reproduced and any film (including a microfilm), tape or
other
ce in which visual images are embodied so as to be
capable (as
esaid) of being reproduced;
istered person" means a person who is registered under the
Securities
nance (Cap. 333), the Commodities Trading Ordinance (Cap.
250) (or
those Ordinances) as a dealer, dealing partnership,
dealer's
esentative, investment adviser, commodity trading adviser,
investment
sers' partnership, investment representative or a commodity
trading
ser's representative;
relevant Ordinances" means this Ordinance, Part II of the
Companies
nance (Cap. 32) (insofar as that Part relates, whether
directly or
rectly, to the performance of functions by the Commission in
relation
rospectuses and purchase by a company of its own shares) and Part
XII
hat Ordinance (insofar as that part relates, whether
directly or
rectly, to the performance of functions by the Commission in
relation
rospectuses), the Securities Ordinance (Cap. 333), the
Commodity
anges (Prohibition) Ordinance (Cap. 82), the Commodities
Trading
nance (Cap. 250), the Protection of Investors Ordinance (Cap.
335),
Stock Exchanges Unification Ordinance (Cap. 361), the Securities
aring Houses) Ordinance (Cap. 420), the Securities
(Disclosure of
rests) Ordinance (Cap. 396) and the Securities (Insider
Dealing)
nance (Cap. 395); (Amended 62 of 1990 s. 41; 68 of 1992 s. 20;
87 of
s. 2) "securities" has the meaning assigned to it by section 2
(1) of
Securities Ordinance (Cap. 333);
ck Exchange Company" means the Exchange Company within the
meaning of
ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361);
ding in commodity futures contracts" has the meaning assigned to
it by
ion 2 (1) of the Commodities Trading Ordinance (Cap. 250);
bunal" means a tribunal appointed under section 20;
fied Exchange" has the meaning assigned to it by section 2 (1)
of the
k Exchanges Unification Ordinance (Cap. 361).
PART II SECURITIES AND FUTURES COMMISSION
ecurities and Futures Commission
There is hereby established a body to be known as the Securities
and
res Commission.
The Commission shall be a body corporate with power to sue
and be
. (3) The receipts of the Commission shall not be subject to
taxation
r the Inland Revenue Ordinance (Cap. 112).
(a) The Commission shall provide itself with a seal.
The seal of the Commission shall be authenticated by the signature
of
chairman or deputy chairman of the Commission or, if both the
chairman
deputy chairman of the Commission are absent from Hong Kong or
unable
ct, the signature of some other director of the Commission
authorized
t to act in that behalf.
unctions of Commission
The Commission shall have the following functions--
to advise the Financial Secretary on all matters
relating to
rities, futures contracts and property investment arrangements;
without prejudice to any duties imposed or powers conferred
on any
r person in regard to the enforcement of the law
relating to
rities, futures contracts and property investment arrangements,
to be
onsible for ensuring that the provisions of the relevant
Ordinances,
the provisions of any other Ordinance so far as they
relate to
rities, futures contracts and property investment
arrangements, are
lied with;
to report to the Financial Secretary the occurrence of any dealing
in
tion to securities which it reasonably believes or suspects to
be an
der dealing within the meaning of section 9 of the Securities
(Insider
ing) Ordinance (Cap. 395); (Amended 62 of 1990 s. 42)
to be responsible for supervising and monitoring the activities
of the
ange Companies and clearing houses;
to take all reasonable steps to safeguard the interests of
persons
ing in securities or trading in futures contracts or entering
into
erty investment arrangements;
to promote and encourage proper conduct amongst members
of the
ange Companies and clearing houses, and other registered persons;
to suppress illegal, dishonourable and improper practices in
dealing
ecurities, trading in futures contracts, entering into
property
stment arrangements, and the provision of investment advice or
other
ices relating to securities, futures contracts and property
investment
ngements;
to promote and maintain the integrity of registered
persons and
urage the promulgation by registered persons of balanced and
informed
ce to their clients and to the public generally;
to consider and suggest reforms of the law relating to
securities,
res contracts and property investment arrangements;
to encourage the development of securities and futures markets
in Hong
and the increased use of such markets by investors in Hong Kong
and
where; (k) to promote and develop self-regulation by market
bodies in
securities and futures industries;
subject to the provisions of this Ordinance, to co-operate with
and
st authorities or regulatory organizations, in Hong Kong or
elsewhere,
are concerned with securities and futures, or with banking,
insurance
ther financial services or with the affairs of corporations;
(Added 67
991 s. 2)
to perform any other functions conferred by or under
any other
nance.
As regards any function, the Commission may, for the
guidance of
stered persons and others, prepare and cause to be published in
the
tte guidelines indicating the manner in which, in the absence of
any
icular consideration or circumstance, it proposes to
perform the
tion.
The Commission may from time to time engage such
consultants or
sers as it may consider necessary to assist the Commission
in the
ormance of its functions. (4) Nothing in subsection (1) (k)
shall be
rded as limiting or otherwise affecting any other function
of the
ission.
onstitution of Commission
Subject to subsection (2), the Commission shall consist of a
chairman
inted by the Governor and such uneven number, not being less than
7,
ther directors so appointed as the Governor may determine; and
when
number of such other directors ceases to be an uneven
number the
rnor shall make such appointment or appointments as may be
necessary
omply with this subsection.
Half of the directors of the Commission, including the chairman,
shall
ppointed to be executive directors and the remainder
shall be
inted to be non-executive directors.
The Governor may appoint an executive director to be deputy
chairman
he Commission.
(a) If no appointment has been made under subsection (3) or if
the
ce of deputy chairman of the Commission is vacant, the
Financial
etary may designate an executive director to act as chairman of
the
ission during any period during which the chairman of the
Commission
nable to act as chairman due to illness or other incapacity
or is
nt from Hong Kong.
A designation under this subsection shall cease when revoked
by the
ncial Secretary or an appointment is made under
subsection (3),
hever first occurs. (5) The terms and conditions of office
of a
ctor of the Commission shall be such as the Governor may
determine.
A director of the Commission may at any time resign his
office by
er sent to the Governor.
A director of the Commission shall be paid by the Commission
such
neration, allowances or expenses as the Governor may determine.
The Governor may by notice in writing remove from office any
director
he Commission whose removal appears to him to be desirable
for the
ctive performance by the Commission of its functions.
Meetings of the Commission shall be held as often as may be
necessary
the performance of its functions, and may be convened by the
chairman
he deputy chairman or any 2 other directors.
If the office of chairman of the Commission is vacant or the
chairman
he Commission is unable to act as chairman due to illness or
other
pacity or is absent from Hong Kong the deputy chairman or an
executive
ctor designated under subsection (4) shall act as chairman
in his
e.
At a meeting of the Commission--
the chairman shall be chairman of the meeting; or
if the chairman is not present, the deputy chairman shall be
chairman
he meeting; or
if neither the chairman nor the deputy chairman is
present, the
ctors present shall choose one of their number to be chairman of
the
ing.
The quorum for a meeting of the Commission shall be 4 directors
of
2 shall be executive directors and 2 shall be non-
executive
ctors.
Each director of the Commission present at a meeting thereof
shall
a vote. (14) (a) Every question for decision at a meeting of
the
ission shall be determined by a majority of votes of the
directors
ent and, in the event that voting is equally divided,
subject to
graph (b) the chairman of the meeting shall have a casting vote.
(b)
chairman of a meeting shall not exercise a casting vote until
after he
consulted the Financial Secretary as regards that exercise.
The Commission may act notwithstanding a vacancy among its
directors.
The Commission shall organize and regulate its
administration,
edure and business.
ommission may establish committees
The Commission may establish standing or special committees
and may
r or assign to any such committee any matter for
consideration,
iry or management by the committee.
The Commission may appoint any person to be a member of any
committee
blished under this section, whether that person is a director of
the
ission or not. (3) Any reference or assignment under
subsection (1)
every appointment under subsection (2) may be withdrawn or
revoked by
Commission at any time, and no such reference or assignment
shall
ent the performance by the Commission of any of its functions.
A committee established under this section may elect any
of its
ers to be chairman and may regulate its own procedure and
business;
in the exercise of its powers under this subsection such
committee
l be subject to and act in accordance with any direction given
to the
ittee by the Commission for the purposes of this subsection.
Meetings of a committee established under this section shall be
held
uch times and places as the chairman of that committee may,
subject to
ection (4), determine.
taff of Commission
The Commission may from time to time employ persons who shall be
paid
remuneration and allowances and shall hold their employment on
such
r terms and conditions as the Commission shall determine.
The Commission may make arrangements for or in respect
of the
ision and maintenance of such schemes (whether contributory or
not)
the payment to its employees and their dependants of such
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