福建省推行乡镇政务公开暂行办法
中共福建省委办公厅 福建省人民
福建省推行乡镇政务公开暂行办法
中共福建省委办公厅 福建省人民政府办公厅
闽委办(2001)13号
第一章 总则
第一条 为贯彻落实党的十五大关于扩大基层民主、保证人民群众直接行使民主权利的精神，根据有关法律法规及中共中央办公厅、国务院办公厅《关于在全国乡镇政权机关全面推行政务公开制度的通知》（中办发〔2000〕25号），结合我省实际，制定本暂行办法。
第二条 乡镇政务公开，以邓小平理论、党的基本路线和江泽民“三个代表”重要思想为指导，以党和国家的政策、法律法规为依据，围绕加强基层民主政治建设和依法行政，以公正、便民和廉政、勤政为基本要求，切实加强对行政权力的监督，建立廉洁高效、运转协调、行为规范的运行机制。
第三条 乡镇政务公开既包括本级政府机关的政务公开，也包括政府有关部门设在乡镇的基层站所的政务、事务公开。
乡镇政务公开要从人民群众普遍关心和涉及群众切身利益的实际问题入手，对群众反映强烈的问题、容易出现不公平、不公正甚至产生腐败的环节以及本乡镇经济和社会发展的重大问题，都应当公开。其中，重点是财务公开。
政务公开与实行行政执法责任制、促进村民自治、村务公开和乡镇机关效能建设紧密结合，做到公开内容、公开程序、公开时间、公开形式规范，监督机制健全，群众满意。
第四条 推行政务公开制度的基本原则是：
（一）依法公开。乡镇政权机关和派驻站所政务公开工作应当依照国家法律、法规和有关政策规定进行。
（二）真实公正。公开的内容应当真实可信，办事的结果应当公平公正。
（三）注重实效。从实际出发，突出重点，循序渐进，讲求实效，不搞形式主义。
（四）完善监督。要方便群众办事，便于群众知情，有利于人民群众行使监督权。
第五条 推行乡镇政务公开实现以下目标：
（一）方便群众和企业、事业单位办事，机关工作效率得到提高；
（二）强化对权力运行的制约监督，消极腐败现象得到有效遏制；
（三）严格依法管理、审批、收税（费）、处罚，依法行政水平得到提高；
（四）民主决策、民主管理、民主监督制度得到落实，基层民主政治建设进一步加强；
（五）基本形成县、乡、村、组“四级联动”的政务、村务公开格局。
第六条 乡镇政务公开工作由党委统一领导，政府主抓，人大监督实施。纪检、监察机关要协助政府加强督促检查，政府办公厅（室）加强组织协调工作。具体工作由县、乡两级政府组织落实。
第二章 政务公开的内容
第七条 乡镇重大事务和财务公开。包括：乡镇当年的经济和社会发展计划重大决策；重要干部任免；重要项目安排；大额度资金的使用；乡镇年度财务收支、预决算的具体情况；年度预算外资金收入、支出、使用的具体情况；罚没款的回收、使用情况；乡镇的债权债务情况；水电费价格及收缴情况；其他需要公开的项目。
第八条 目标责任制公开。包括：乡镇经济、社会发展年度目标；乡镇长、副乡镇长任期目标、年度目标；乡镇机关及有关部门的年度目标；目标责任制实施、完成情况，检查、考评及奖惩结果。
第九条 履行职责事项公开。乡镇政府工作部门、工作人员和县级政府部门所属的基层站所应当公开与履行职责有关的事项。包括：领导及主要办事人员的权限及行为规范、工作职责、相关法律政策、办事条件、办事依据、办事程序、办事纪律、办事期限、监督办法、办事结果；收费项目、标准、范围、依据、程序、管理和使用情况，其中涉农收费要以公示牌公开明示；处罚依据、标准和执行情况；各项服务承诺及其他。
第十条 机关内部事务公开。包括：领导干部的廉洁自律情况；机关内部的财务收支情况；招待费、电话费、差旅费、医疗费的开支使用情况、公车使用情况；干部交流、考核、奖惩情况；机关干部职工关心的其他重要事项。
第十一条 农民负担情况公开。包括：
（一）各种税收公开：上级下达各种税收的数额；乡镇分解到村委会的税收项目及具体数额；本乡镇粮食定购总额及各村承担数额和完成情况。
（二）非农村税费改革试点地区的乡统筹费公开：上级批准的乡统筹、村提留预算方案、征收办法；农民承担的乡统筹具体数额；各村委会实际完成情况；各村由乡镇代管资金的使用情况。
（三）农村义务工和劳动积累工的用工计划及使用情况。
第十二条 扶贫资金、救灾救济款物、优待抚恤金发放情况及征兵工作情况公开。包括：上级下达的扶贫资金、救灾救济款物数量及发放办法；各村委会上报的扶贫救济对象摸底名单；对各村委会的分配数额和批准享受扶贫救济的对象名单；优待抚恤金的发放及使用情况；征兵工作情况。
第十三条 招标、投标及各业承包、建设公开。包括：乡镇集体企业、经济实体的承包、发包、租赁、拍卖等情况；乡镇工程建设项目招标、投标情况；社会公益事业建设情况。
第十四条 宅基地审核审批情况公开。包括：宅基地审核审批的条件、程序和收费标准；各村委会和乡镇上报申请的户数和对象名单；县级人民政府批准的对象名单、面积、限建时间。
第十五条 计划生育情况公开。包括乡镇委托各村公开的内容和在乡镇公开的内容。乡镇委托各村公开的内容有：本年度符合计划生育政策可安排生育的对象名单，当年落实节育措施情况和上报的出生情况，征收社会抚养费和罚款人员名单。乡镇公开的内容有：计划生育合格村，征收社会抚养费的管理和使用情况，逾期无故不落实节育措施或补救措施人员名单，“双查”二轮未到位人员名单。
第十六条 土地征用公开。包括：国家经济建设、小城镇建设、兴办乡镇企业及其他公益事业等征用的土地，应公布征用的政策依据、征用程序、办法及土地补偿费、安置补助费的发放使用情况。
第十七条 对不属于以上规定的公开范围，群众要求公开的其他事项，凡不属于国家机密、符合本暂行办法总则中规定精神的，都应当公开。
第三章 政务公开的程序和时间
第十八条 乡镇各项政务在公开前，要广泛听取意见，重大事务还应进行民主决策或由乡镇党委、政府集体讨论作出决定并经乡镇人民代表大会审议通过后予以公开。公开后，应及时收集意见，更正公开中不实的内容。对需要长期公开的，应在公开之后，装订成册，放在群众方便查阅之处，供群众随时翻阅。对公开的内容，要有一定的公开时间。
第十九条 根据政务公开内容的性质和要求，公开时间一般分为定期、不定期和按完成任务情况及时公开三种。
第二十条 乡镇政务公开要与村务公开紧密结合，相互促进，相互制约，协调发展。凡是涉及村务的乡镇政务事项要注意与村务公开同步进行。
第二十一条 乡镇重大事务和财务公开。乡镇重大事务公开前，先广泛征求县级有关部门、乡镇各部门、基层站所主要负责人和县、乡、村人大代表的意见，按第十八条规定的程序予以公开；年度财政收支、预决算执行情况，由乡镇政府向同级人代会进行报告，经审议批准后10天内向社会公开；其他财务收支、使用情况，由财会人员提出意见或制成明细表，经乡镇政府办公会议讨论，广泛听取机关干部和各村委会主要干部意见，按照财务管理有关规定，每半年公开一次；乡镇的债权债务情况应每年年底前向社会公开。
第二十二条 目标责任制公开。年初在乡镇政府、各工作部门及个人制定年度目标的基础上，制定乡镇经济、社会发展总目标及年度目标，经乡镇人代会审议批准并报县级人民政府后10日内进行公开；其他责任目标经乡镇党委、政府研究确定后，按干部管理权限签定目标责任书，逐人予以公布；每半年组织机关干部、职工、村党支部书记、村民委员会主任及村民代表，对目标责任完成情况进行民主评议和检查考核，并将评议、考核结果进行公布。
第二十三条 履行职责事项公开。乡镇政府工作部门、工作人员的权限、职责、规范、条件、依据、程序、纪律、期限及监督办法等，经乡镇政府办公会议研究后，由单位提出意见，经县级主管部门和乡镇政府研究后，由各单位分别进行公开；收费项目、标准、范围、依据、程序、管理和使用情况和处罚依据、标准、执行情况及各项服务承诺等也应一并予以公开。
第二十四条 机关内部事务公开。机关内部的财务收支情况和招待费、电话费、差旅费的开支使用情况、公车使用情况应在每年的6月底和12月底予以公开；机关领导干部的廉洁自律情况和干部交流、考核、奖惩情况应在每年的年底前予以公开；机关干部职工关心的其他重要事项报领导审批后随时公开。
第二十五条 农民负担情况公开。
（一）税收公开。农业税和农业特产税要依法据实征收。上级下达的各项税收项目、数额和分配方案要逐项进行公开。完成征收工作后20日内，乡镇应将税收征缴情况进行公开。
（二）非农村税费改革试点地区的乡统筹公开。由乡镇经管站在年初按照不超过1995年村农民人均纯收入5％比例并不得超过1997年预算额的要求，制定提留统筹预算方案，经乡镇人民代表大会审议通过后报上级主管部门审批；上级主管部门批准后，及时将统筹方案、计算方法、统筹数额以及农民人口承担数额分别逐项公开；任务完成后，将实际完成情况以村为单位，一个月内进行公开；由乡镇代管各村资金的使用情况应按照财务管理有关规定，每半年公开一次。
（三）农村义务工和劳动积累工，由乡镇人民政府与村集体经济组织提出用工计划，经乡镇人民代表大会审议通过后执行，“两工”使用情况应随时予以公开。
第二十六条 扶贫资金、救灾救济款物、优待抚恤金发放情况及征兵工作情况公开。在扶贫资金、救灾救济款物及优待抚恤金发放前10日内，公布上级下达的发放数量及发放办法，公布各村委会上报申请享受扶贫资金、救灾救济及优待抚恤金对象名单及最后由乡镇党委、政府研究审定的对象名单，发放结束后，10日内以村为单位公布发放情况；征兵工作情况应根据征兵工作进展情况随时予以公开。
第二十七条 招标、投标及各业承包、建设公开。
（一）工程建设项目招标、投标，先由乡镇经营管理部门在广泛征求意见的基础上制定并公布招标方案，实行公开招标；投标人确定并签定合同后，20日内将招标、投标情况进行公开。
（二）对需要承包、租赁和拍卖的乡镇集体企业、经济实体，应制定承包、租赁和拍卖方案，并公开招标。承包、租赁、拍卖合同签定后20日内，应将合同进行公开。
（三）社会公益事业建设，报上级主管部门审批后由乡镇制定并公布建设方案，并将建设进展情况随时予以公布。
（四）每年将承包合同兑现情况进行公布，接受群众监督，同时接受人大、纪检及审计、税务部门的监督和审计。
第二十八条 宅基地审核审批情况公开。每年初，公布宅基地审批的条件、程序和收费标准；村民申请宅基用地，经村委会或者村民代表会议同意后，公开征询本村村民的意见，在十五日内未提出异议的，经乡镇人民政府审核后，报县级人民政府批准；批准的名单、位置和面积，分别在上报前和批准后20日内进行公布。
第二十九条 计划生育公开。乡镇委托各村公开的内容和乡镇公开的内容第一季度由乡镇计生部门分别整理，经乡镇党委、政府研究后进行公开，接受群众监督。
第三十条 土地征用公开。征用前，应根据县（市）人民政府及其土地管理部门办理的公开情况，及时向群众公开征用的具体事由、政策依据，征用的程序、办法、地价及损失补偿办法；征用期间，及时公布征用的进展情况；征用后20日内，及时公开征用结果。
第三十一条 对群众要求公开的其他事项，由相关部门提出意见，报乡镇党委、政府集体讨论审议，经审议同意后公开，并将公开内容告知有关当事人。
第四章 政务公开形式
第三十二条 政务公开一般采用固定公开栏、召开会议、广播电视、电脑显示屏、印发文件、告知单、便民手册、明白卡等多种形式进行公开，有条件的乡镇可通过电脑互联网站公开。要扩大公开的覆盖面，使公开内容真实可靠，群众能看明白。
第三十三条 政务公开栏。乡镇人民政府应因地制宜建立至少两块总面积不少于20平方米的公开栏，设置于政府驻地或群众易于观看的街道显著位置。基层站所在单位驻地设置两块总面积不少于10平方米的公开栏。
第三十四条 召开会议。凡向群众公开的重要内容，事前应召开乡村干部和部分村民代表联席会议，由乡镇长对公开事项作出说明。乡镇机关内部事务，召开部门负责人或机关干部大会进行公开。
第三十五条 乡镇各工作部门及工作人员、基层站所领导及主要办事人员的权限及行为规范、工作职责、相关法律政策、办事条件、办事依据、办事程序、办事纪律、办事期限、监督办法、收费项目、标准、范围、依据、程序、各项服务承诺等，应装框上墙，悬挂于办公室或便于群众查看之处，也可采取适合本单位特点的其它形式对上述内容进行公开，以方便群众办事。
第五章 政务公开的组织实施与监督
第三十六条 组织机构。各级成立政务公开领导小组，成员由政府办、组织、农办、民政、农业、监察、审计、人事、财政等部门组成；县一级要成立以政府主要负责人为第一责任人的乡镇政务公开领导小组，对村务、政务公开统一安排部署，统一组织实施；乡镇政务公开领导小组由乡镇长任组长，成员还应有基层站所主要负责人。
第三十七条 宣传教育。各乡镇要加大宣传力度，使政务公开政策以及本乡镇政务公开形式、公开栏地点家喻户晓。
第三十八条 监督、审计。乡镇成立政务公开监督小组，由乡镇人大、纪委、村党支部、村民委员会、企业事业单位等方面的人员组成，乡镇人大主席或纪委书记任组长。监督小组定期或不定期地开展民主评议活动，广泛听取群众意见和要求，及时提出工作建议。
乡镇人民政府自觉接受乡镇人民代表大会的监督。政务公开的重要内容向人大报告。
通过设立举报电话、政务监督信箱等渠道，认真收集群众意见，鼓励干部群众积极参与监督，对群众举报的问题，应及时调查处理。
发挥舆论监督的作用。对乡镇政务公开工作的成功经验广泛宣传报道，对消极抵制、弄虚作假的典型事例予以曝光。
县（市）级政府审计机关对乡镇财政预算的执行情况和决算以及政府部门管理和政府委托社会团体代管的各类基金、资金的收支情况，依法进行审计监督，并将审计结果公开。
第三十九条 检查验收。把乡镇政务公开纳入县乡两级岗位目标责任制，由市对县、县对乡镇制定考核办法，定期进行考评。每年年底，在乡镇自查的基础上，由县（市、区）对各乡镇公开情况进行全面检查，省、市进行抽查，分别写出检查报告和工作总结。开展情况作为评先评优的重要内容。每三年由省对成绩突出的乡镇、县（市、区）进行表彰。
第四十条 领导责任。把政务公开作为党风廉政建设责任制和党政领导干部年度工作考核的一项重要内容，并将考核结果作为干部奖惩的重要依据。
对在推行政务公开制度中工作不力或不称职的领导干部进行批评教育，情节严重的要调整其工作岗位或免去其所任职务。
对拒不推行政务公开制度或在政务公开中有弄虚作假、打击报复、侵犯群众民主权利等违纪行为的干部，纪检监察机关要追究其党纪政纪责任。
对政务公开内容不全面、时间不及时、形式不合理的，责令纠正；情节严重的，给予党纪政纪处分。
第六章 附则
第四十一条 在推行乡镇政务公开的同时，县（市）级以上政权机关也要积极探索实行政务公开的有效途径，逐步推行政务公开制度。
第四十二条 城市街道办事处要参照本办法的规定推行政务公开工作。
第四十三条 本办法自发布之日起施行。
2001年3月20日
SECURITIES AND FUTURES COMMISSION ORDINANCE ——附加英文版
Hong Kong
SECURITIES AND FUTURES COMMISSION ORDINANCE
(CHAPTER 24)
ARRANGEMENT OF SECTIONS
ion
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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