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CAPABSECURITIESANDFUTURES(INVESTORCOMPENSATION-LEVY)RULES.doc

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CAPABSECURITIESANDFUTURES(INVESTORCOMPENSATION-LEVY)RULES

CAP 571AB SECURITIES AND FUTURES (INVESTOR COMPENSATION-LEVY) RULES二摘要：本文主要介绍了CAP 571AB SECURITIES AND FUTURES (INVESTOR COMPENSATION-LEVY) RULES的主要内容。　　Cap 571AB s 10 Mini-Hang Seng Index Futures Contracts and Mini-Hang Seng Index Options Contracts 　　For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of a Mini-Hang Seng Index Futures Contract or a Mini-Hang Seng Index Options Contract is- 　　(a) in the case of the seller, in the amount of $0.10; or 　　(b) in the case of the purchaser, in the amount of $0.10. 　　Cap 571AB s 11 Stock futures contracts 　　For the purposes of the compensation fund, the levy payable to the Commission for a sale and purchase of a stock futures contract or an option on such a contract is- 　　(a) in the case of the seller, in the amount of $0.10; or 　　(b) in the case of the purchaser, in the amount of $0.10. 　　Cap 571AB s 12 Payment of levies 　　PART 4 　　MANNER OF PAYMENT AND INCIDENTAL MATTERS 　　(1) A person who is liable to pay a levy under these Rules shall pay the levy to the Exchange Company on behalf of the Commission in such manner as may be specified from time to time in the rules of the Exchange Company. 　　(2) The amount of any levy payable under this section is recoverable as a civil debt due to the Commission. 　　Cap 571AB s 13 Exchange Company to collect and remit levy 　　The Exchange Company shall- 　　(a) collect any levy paid to it under section 12; and 　　(b) subject to section 21, pay the levy by way of remittance to the Commission by paying it into such bank account as may be specified by the Commission, on the 15th day of the month following the month of the collection of the levy, or where the 15th day is not a business day, on the next business day. 　　Cap 571AB s 14 Exchange Company to deposit levies in bank pending remittance 　　Pending remittance to the Commission of any levy in accordance with section 13, the Exchange Company shall- 　　(a) hold the levy on behalf of the C