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(Cap 571, section 397(1)) [1 April 2003] L.N. 12 of 2003 (L.N. 216 of 2002) Cap 571U s 1 (Omitted as spent) (Omitted as spent) Cap 571U s 2 Service of documents on Commission (1) Except as otherwise provided in the Ordinance, where any document is required for the purposes of any provision of the Ordinance to be served (however described) on the Commission, it shall- (a) in the case of a document other than in electronic form, be- (i) delivered by hand; (ii) sent by post; or (iii) sent by facsimile transmission to such facsimile number as may be specified by the Commission on the contact details page of the Commission's web site; or(b) in the case of a document in electronic form, be- (i) sent by means of such electronic transmission as may be approved by the Commission; or (ii) sent by electronic mail transmission, to such electronic reception facility as may be specified by the Commission on the contact details page of the Commission's web site. (L.N. 45 of 2003)(2) Except as otherwise provided in the Ordinance, where any document is required for the purposes of any provision of the Ordinance to be served (however described) on the Commission- (a) in the case of a document in respect of which a form has been specified under section 402 of the Ordinance, it shall, subject to subsection (3), be signed, executed and authenticated in the manner specified in such directions and instructions as are included in the form; or (b) in the case of a document in respect of which no form has been specified under section 402 of the Ordinance, it shall, subject to subsection (3), be signed, executed and authenticated by the person by whom the document is served or by such other person as is authorized by the first-mentioned person to act in that behalf.(3) For the purposes of subsection (2), if a document is in electronic form, the signature shall, unless otherwise specified by the Commission, be in the form of a digital signature, and the digital signature shall be- (a) supported by a recognized certificate; (b) generated within the validity of that certificate; and (c) used in accordance with the terms of that certificate. (14 of 2004 s. 31)(4) On an application by any person to the Commission, the Commission may, where it is satisfied that an applicant has substantial practical difficulties in serving (however described) any document within the time provided under the Ordinance, in its discretion by notice in writing extend the time for such period and upon such terms as it may direct. (5) For the purposes of subsection (3)(a), a digital signature is taken to be supported by a recognized certificate if it is taken to be supported by that certificate under section 2(2) of the Electronic Transactions Ordinance (Cap 553). (14 of 2004 s. 31) (6) In subsection (3)- "digital signature" (数码签署) has the meaning assigned to it by section 2(1) of the Electronic Transactions Ordinance (Cap 553); "recognized certificate" (认可证书) has the meaning assigned to it by section 2(1) of the Electronic Transactions Ordinance (Cap 553); "within the validity of that certificate" (在该证书的有效期内) has the meaning assigned to it by section 6(2) of the Electronic Transactions Ordinance (Cap 553). (14 of 2004 s. 31) Cap 571U s 3 Licence or certificate of registration to be exhibited (1) Subject to subsection (2), an intermediary shall exhibit its licence or certificate of registration (as the case may be) in a prominent place at its principal place of business and, if it has more than one place of business, a certified copy of such licence or certificate of registration (as the case may be) in lieu of its original copy shall be exhibited in a prominent place at each of its other places of business. (2) At any time when the original copy of the licence or certificate of registration (as the case may be) of an intermediary is returned to the Commission for amendment under section 4, the requirement of subsection (1) shall be regarded as having been complied with if the intermediary exhibits a certified copy of such licence or certificate of registration (as the case may be) in lieu of its original copy until the original copy of its licence or certificate of registration (as the case may be) as amended is returned to it by the Commission. Cap 571U s 4 Return of licence or certificate of registration (1) If an intermediary or licensed representative ceases to carry on all or any of the regulated activities for which he is licensed or registered for a period exceeding- (a) subject to paragraph (b), one month after the date of such cessation; or (b) such longer period as the Commission may approve in writing,he shall return his licence or certificate of registration (as the case may be) to the Commission for cancellation or amendment (as the case may be)- (c) in the case of paragraph (a), within 37 days after the date of the cessation; or (d) in the case of paragraph (b), within 7 days after the end of the longer period referred to in that paragraph.(2) If any regulated activity specified in the licence or certificate of registration (as the case may be) of an intermediary or licensed representative is varied under section 127 of the Ordinance, the intermediary or licensed representative shall return the licence or certificate of registration (as the case may be) to the Commission for amendment within 7 business days after the regulated activity is so varied. (3) Where it appears to the Commission that an error exists in a licence or certificate of registration, it may by notice in writing require any person whom it reasonably believes to be in possession of the licence or certificate of registration (as the case may be) to return it to the Commission and the person shall return the licence or certificate of registration (as the case may be) to the Commission for amendment within 7 business days after the date of the notice. Cap 571U s 5 Persons prescribed as auditors for purposes of section 179 of Ordinance (1) For the purposes of the definition of "auditor" in section 1 of Part 1 of Schedule 1 to the Ordinance, the following persons are prescribed as within the meaning of that definition for the purposes of section 179 of the Ordinance- (a) a certified public accountant (practising) as defined in the Professional Accountants Ordinance (Cap 50) who provides, or provided, services to a relevant corporation; (23 of 2004 s. 56) (b) any practice unit within the meaning of the Professional Accountants Ordinance (Cap 50) that provides, or provided, services to a relevant corporation; (c) a person appointed (whether or not he remains so appointed) to be an auditor of a relevant corporation for the purposes of any enactment of a place outside Hong Kong which imposes on such person responsibilities comparable to those imposed on an auditor by the Companies Ordinance (Cap 32).(2) In subsection (1), "relevant corporation" (相关法团) means a corporation to which any direction has been or may be given under section 179(1)(i) or (ii) of the Ordinance.