{"id":"court_ctb_1409_11","court":"CTB","case_no":"22-50073","doc_number":1409,"sub_number":11,"doc_type":"UNKNOWN","filed_date":null,"title":"| Part II | 2-4 | |-----------|----------|","summary_zh":null,"summary_en":null,"body_en":"| Part II | 2-4 |\n|-----------|----------|\n| Section 5 | Cap. 155 |\n| | |\n\n## **5. Deposit-taking Companies Advisory Committee**\n\n- (1) There is hereby established a Deposit-taking Companies Advisory Committee for the purpose of advising the Chief Executive upon any matter connected with this Ordinance, in particular in relation to deposit-taking companies and restricted licence banks and the carrying on of a business of taking deposits by them, and of advising the Chief Executive in Council and in any case where the advice of the Committee is sought under section 53(2). *(Amended 3 of 1990 s. 2; 94 of 1993 s. 5)*\n- (2) The Deposit-taking Companies Advisory Committee shall consist of the Financial Secretary, who shall be the chairman, the Monetary Authority, and such other persons, not being less than 4 nor more than 12, as the Chief Executive may from time to time appoint.\n- (3) The members of the Deposit-taking Companies Advisory Committee appointed by the Chief Executive shall hold office for such period and upon such terms as the Chief Executive may specify in their appointments.\n- (4) In the absence of the chairman at any meeting of the Deposittaking Companies Advisory Committee, the Financial Secretary may appoint the chairman.\n\n*(Amended 82 of 1992 s. 13; 68 of 1999 s. 3)*\n\n**6.** *(Repealed 82 of 1992 s. 14)*\n\n## **7. Functions of the Monetary Authority**\n\n(1) The principal function of the Monetary Authority under this Ordinance shall be to promote the general stability and effective working of the banking system. *(Amended 82 of 1992 s. 15)*\n\n| Part II | | | | | | | | 2-6 |\n|-----------|---------|----------|-----|------------|----|--------------------------------------------------------------------|----------|-----|\n| Section 7 | | | | | | | Cap. 155 | |\n| (2) | Without | limiting | the | generality | of | subsection
Monetary Authority shall— (Amended 82 of 1992 s. 25) | (1), | the |\n\n- (a) be responsible for supervising compliance with the provisions of this Ordinance;\n- (b) take all reasonable steps to ensure that the principal places of business, local branches, local offices, overseas branches and overseas representative offices of all authorized institutions and local representative offices are operated in a responsible, honest and business-like manner; *(Amended 32 of 2001 s. 3)*\n- (c) promote and encourage proper standards of conduct and sound and prudent business practices amongst authorized institutions and money brokers; *(Amended 4 of 1997 s. 4)*\n- (d) suppress or aid in suppressing illegal, dishonourable or improper practices in relation to the business practices of authorized institutions;\n- (e) co-operate with and assist recognized financial services supervisory authorities of Hong Kong or of any place outside Hong Kong, whenever appropriate, to the extent permitted by this or any other Ordinance; *(Amended 95 of 1991 s. 4; 6 of 2002 s. 3)*\n- (f) consider and propose reforms of the law relating to banking business and the business of taking deposits; and *(Amended 6 of 2002 s. 3)*\n- (g) take all reasonable steps to ensure that any banking business, any business of taking deposits, or any other business, carried on by an authorized institution is carried on—\n\t- (i) with integrity, prudence and the appropriate degree of professional competence; and\n\n| Part XXI | 21-6 |\n|-------------|----------|\n| Section 120 | Cap. 155 |\n\n- (5) Every director, every chief executive and every manager of an authorized institution that contravenes subsection (2) or (4) commits an offence and is liable—\n\t- (a) on conviction on indictment to a fine at tier 7 and to imprisonment for 2 years and, in the case of a continuing offence, to a further fine at tier 3 for every day during which the offence continues; or\n\t- (b) on summary conviction to a fine at tier 5 and to imprisonment for 6 months and, in the case of a continuing offence, to a further fine at tier 2 for every day during which the offence continues.\n- (6) A notice made under section 106(2) and in force immediately before the commencement date\\* of section 14 of the Banking (Amendment) Ordinance 2012 (3 of 2012) is, on and after that date\\*, deemed to have been made under subsection (3) and, accordingly, may be amended by a notice made under that subsection.\n\n*(Added 3 of 2012 s. 14)*\n\nEditorial Note:\n\n\\* Commencement date : 1 January 2015.\n\n## **120. Official secrecy**\n\n- (1) Except as may be necessary for the exercise of any function under this Ordinance or for carrying into effect the provisions of this Ordinance, every person to whom this subsection applies— *(Amended 64 of 1987 s. 26)*\n\t- (a) shall preserve and aid in preserving secrecy with regard to all matters relating to the affairs of any person that may come to his knowledge in the exercise of any function under this Ordinance;\n\n| Part XXI | 21-8 |\n|-------------|----------|\n| Section 120 | Cap. 155 |\n| | |\n\n- (b) shall not communicate any such matter to any person other than the person to whom such matter relates; and\n- (c) shall not suffer or permit any person to have access to any records in the possession, custody or control of any person to whom this subsection applies.\n- (2) Subsection (1) shall apply to any person who is or has been—\n\t- (a) a public officer;\n\t- (b) a person authorized by the Monetary Authority;\n\t- (c) the Advisor of an authorized institution; *(Replaced 49 of 1995 s. 36)*\n\t- (d) the Manager of an authorized institution; *(Replaced 49 of 1995 s. 36)*\n\t- (da) a person appointed under section 53G(5); *(Added 49 of 1995 s. 36)*\n\t\t- (e) a person appointed under section 117(2); and\n\t\t- (f) a person employed by or assisting a person to whom this subsection applies by virtue of paragraph (b), (c), (d), or (e),\n\nwho exercises or has exercised any function under this Ordinance.\n\n- (3) Subsection (1) shall not apply if the Manager of an authorized institution is required to comply with a notice to furnish returns and information under section 51 of the Inland Revenue Ordinance (Cap. 112). *(Replaced 49 of 1995 s. 36)*\n- (4) No person who exercises any function in the course of an examination or investigation under section 47, 50, 55 or 117 or who receives reports, returns or information submitted under section 47, 50, 55, 56, 59, 63 or 64 shall be required to produce in any court any book, account or other document whatsoever or to divulge or communicate to any court any\n\n| Part XXI | 21-10 |\n|-------------|----------|\n| Section 120 | Cap. 155 |\n| | |\n\nmatter or thing coming under his notice in the exercise of his functions under this Ordinance, except as may be necessary in the course of a prosecution for any offence or of a windingup by the Court of First Instance under section 122. *(Amended 67 of 1992 s. 9; 25 of 1998 s. 2)*\n\n- (5) Subsection (1) shall not apply—\n\t- (a) to the disclosure of information in the form of a summary of similar information provided by a number of authorized institutions if the summary is so framed as to prevent particulars relating to the business of any particular authorized institution being ascertained from it;\n\t- (b) to the disclosure of information with a view to the institution of, or otherwise for the purposes of, any criminal proceedings, whether under this Ordinance or otherwise;\n\t- (c) in connection with any other legal proceedings arising out of this Ordinance;\n\t- (d) to the disclosure of information to the police or the Independent Commission Against Corruption, at the request of the Secretary for Justice, relevant to the proper investigation of any criminal complaint; *(Amended L.N. 362 of 1997)*\n\t- (da) to the disclosure of information to the Review Tribunal; *(Added 19 of 2005 s. 7)*\n\t- (db) to the disclosure of information to the Anti-Money Laundering and Counter-Terrorist Financing Review Tribunal established under section 55 of the Anti-Money Laundering and Counter-Terrorist Financing Ordinance (Cap. 615); *(Added 15 of 2011 s. 86. Amended 4 of 2018 s. 42)*\n\n| Part XXI | 21-12 |\n|-------------|----------|\n| Section 120 | Cap. 155 |\n| | |\n\n- (dc) to the disclosure of information to the Resolution Compensation Tribunal; *(Added 23 of 2016 s. 210)*\n- (dd) to the disclosure of information to the Resolvability Review Tribunal; *(Added 23 of 2016 s. 210)*\n- (de) to the disclosure of information by the Monetary Authority to a resolution authority for the purpose of enabling or assisting the resolution authority to exercise its functions under the Financial Institutions (Resolution) Ordinance (Cap. 628); *(Added 23 of 2016 s. 210. Amended E.R. 2 of 2017)*\n\t- (e) to the disclosure of information by the Monetary Authority with a view to the institution of, or otherwise for the purposes of, any disciplinary proceedings relating to the exercise of his professional duties by an auditor or former auditor of an authorized institution or former authorized institution, whether or not the auditor or former auditor, as the case may be, was appointed under section 50, 59 or 63; *(Replaced 43 of 1990 s. 9. Amended 67 of 1992 s. 9)*\n\t- (f) to the disclosure of information by the Monetary Authority to the Chief Executive, the Financial Secretary, an inspector appointed by the Financial Secretary to investigate the affairs of a company, a person holding an authorized statutory office or any public officer authorized by the Financial Secretary for the purposes of this paragraph where, in the opinion of the Monetary Authority— *(Amended L.N. 96 of 1993; 68 of 1999 s. 3; L.N. 106 of 2002)*\n\t\t- (i) it is desirable or expedient that information should be so disclosed in the interests of depositors or potential depositors or the public interest; or\n\nPart XXI 21-14 Section 120 Cap. 155\n\n- (ii) such disclosure will enable or assist the recipient of the information to exercise his functions and it is not contrary to the interests of depositors or potential depositors or the public interest that the information should be so disclosed; *(Replaced 95 of 1991 s. 40)*\n- (fa) to the disclosure of information by the Monetary Authority to the Securities and Futures Commission relating to—\n\t- (i) the carrying on of a regulated activity by a registered institution; or\n\t- (ii) the carrying on by an authorized institution of the business of receiving or holding client assets, within the meaning of Schedule 1 to the Securities and Futures Ordinance (Cap. 571), of intermediaries, within the meaning of Schedule 1 to that Ordinance, of which the institution is an associated entity within the meaning of Schedule 1 to that Ordinance; *(Added 6 of 2002 s. 12)*\n- (g) to the disclosure of information by the Monetary Authority to an auditor of an authorized institution or former authorized institution, or to a former auditor, for the purpose of enabling or assisting the Monetary Authority to discharge his functions under this Ordinance; *(Replaced 43 of 1990 s. 9. Amended L.N. 276 of 1990; 95 of 1991 s. 40)*\n- (gaa) to the disclosure of information by the Monetary Authority to the Hong Kong Deposit Protection Board established by section 3 of the Deposit Protection Scheme Ordinance (Cap. 581) for the purpose of enabling or assisting the Board to exercise its functions under that Ordinance; *(Added 7 of 2004 s. 55)*\n\n| Part XXI | | 21-16 |\n|-------------|------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Section 120 | | Cap. 155 |\n| | (ga) | to the disclosure of information— |\n| | | (i)
to any person appointed under section 5A(3) of the
Exchange Fund Ordinance (Cap. 66); and |\n| | | (ii)
where such disclosure will enable or assist such
person to assist the Monetary Authority in the
performance of any of the functions referred to in
that section; (Added 49 of 1995 s. 36) |\n| | (h) | subject
to
subsection
(5D),
to
the
disclosure
of
information by the Monetary Authority with the consent
of— |\n| | | (i)
the
person
from
whom
the
information
was
obtained or received; and |\n| | | (ii)
where
the
information
does
not
relate
to
such
person, the person to whom it relates; or (Added 95
of 1991 s. 40) |\n| | (i) | to the disclosure of information which has been made
available to the public by virtue of being disclosed in
any circumstances in which, or for any purpose for
which, disclosure is not precluded by this section or
section 121. (Added 95 of 1991 s. 40) |\n| (5A) | | For the purposes of subsection (5)(f), authorized statutory
office (認可法定職位) means— |\n| | (a) | the Insurance Authority established under section 4AAA
of the Insurance Ordinance (Cap. 41);
(Replaced 12 of
2015 s. 105) |\n| | (b) | the Securities and Futures Commission; (Replaced 10 of
1989 s. 65. Amended 18 of 2006 s. 78) |\n| | (c) | the
Mandatory
Provident
Fund
Schemes
Authority
established by section 6 of the Mandatory Provident
Fund Schemes Ordinance (Cap. 485); or (Repealed 10 of |\n| | | |\n\nPart XXI 21-18 Section 120 Cap. 155\n\n*1989 s. 65. Added 4 of 1998 s. 7. Amended 18 of 2006 s. 78)*\n\n- (d) *(Repealed 10 of 1989 s. 65)*\n- (e) the Accounting and Financial Reporting Council continued under section 6 of the Accounting and Financial Reporting Council Ordinance (Cap. 588). *(Added 18 of 2006 s. 78. Amended L.N. 66 of 2022)*\n\n*(Added 68 of 1988 s. 2. Amended 4 of 1998 s. 7)*\n\n- (5B) The Legislative Council may, by resolution, amend subsection (5A). *(Added 68 of 1988 s. 2)*\n- (5C) The Monetary Authority may attach a condition to any disclosure of information made pursuant to subsection (5)(b), (c), (d), (e), (f), (fa), (gaa) or (ga), and shall attach a condition to any disclosure of information made pursuant to subsection (5)(g), that neither— *(Amended 49 of 1995 s. 36; 6 of 2002 s. 12; 7 of 2004 s. 55)*\n\t- (a) the person to whom the information has been disclosed; nor\n\t- (b) any person obtaining or receiving the information (whether directly or indirectly) from the person referred to in paragraph (a),\n\nshall disclose that information to any other person without the consent of the Monetary Authority. *(Added 95 of 1991 s. 40)*\n\n- (5D) Subsection (5)(h) shall not operate to require the Monetary Authority to disclose in or in relation to any civil proceedings any information which he may disclose, or has disclosed, pursuant to that subsection. *(Added 95 of 1991 s. 40. Amended 94 of 1993 s. 28)*\n\t- (6) Any person who—\n\t\t- (a) contravenes subsection (1);\n\n| Part XXI | 21-20 |\n|-------------|----------|\n| Section 121 | Cap. 155 |\n\n- (b) aids, abets, counsels or procures any person to contravene subsection (1); or\n- (c) knowing that the condition referred to in subsection (5C) has been attached to a disclosure of information made pursuant to subsection (5), contravenes, or aids, abets, counsels or procures any person to contravene, that condition, *(Added 95 of 1991 s. 40)*\n\ncommits an offence and is liable—\n\n- (i) on conviction upon indictment to a fine at tier 8 and to imprisonment for 2 years; or\n- (ii) on summary conviction to a fine at tier 5 and to imprisonment for 6 months. *(Amended 4 of 1997 s. 27)*\n- (7) Subsection (5)(a), (e) and (g) shall apply to and in relation to approved money brokers and former approved money brokers as it applies to and in relation to authorized institutions and former authorized institutions respectively, and the other provisions of this Ordinance shall be construed accordingly. *(Added 4 of 1997 s. 17)*\n\n*(Amended 3 of 1990 s. 46; 82 of 1992 s. 20)*\n\n## **121. Disclosure of information relating to authorized institutions**\n\n- (1) Subject to subsection (3), and notwithstanding section 120, the Monetary Authority may disclose information to an authority in a place outside Hong Kong where—\n\t- (a) that authority exercises functions in that place corresponding to the functions of—\n\t\t- (i) the Monetary Authority; or\n\t\t- (ii) an authorized statutory office within the meaning of section 120(5A); and\n\t- (b) in the opinion of the Monetary Authority—","body_zh":"第 II 部 2-4\n\n第 5 条 第 155 章\n\n5. 接受存款公司咨询委员会\n\n- (1) 现设立 Deposit-taking Companies Advisory Committee（接受存款公司咨询委员会），旨在就与本条例相关的任何事宜向 Chief Executive（行政长官）提供意见，特别是关于接受存款公司及有限制牌照银行以及其经营接受存款业务的事宜，并向 Chief Executive in Council（行政长官会同行政会议）以及在根据第 53(2) 条征询该委员会意见的任何情况下提供意见。（由 1990 年第 3 号第 2 条修订；由 1993 年第 94 号第 5 条修订）\n- (2) 接受存款公司咨询委员会须由 Financial Secretary（财政司司长）（担任主席）、Monetary Authority（金融管理专员），以及由行政长官不时委任的不少于 4 名且不多于 12 名的其他人士组成。\n- (3) 由行政长官委任的接受存款公司咨询委员会成员，其任期及任职条款须遵照行政长官在其委任书中指明的内容。\n- (4) 在接受存款公司咨询委员会的任何会议上，如主席缺席，财政司司长可委任主席。\n\n（由 1992 年第 82 号第 13 条修订；由 1999 年第 68 号第 3 条修订）\n\n6. （由 1992 年第 82 号第 14 条废除）\n7. 金融管理专员的职能\n\n(1) 金融管理专员根据本条例的主要职能，须为促进银行业系统的整体稳定及有效运作。（由 1992 年第 82 号第 15 条修订）\n\n第 II 部 2-6\n\n第 7 条 第 155 章\n(2) 在不限制第 (1) 款的一般性的原则下，金融管理专员须——（由 1992 年第 82 号第 25 条修订）\n\n- (a) 负责监督对本条例条文的遵守情况；\n- (b) 采取一切合理步骤，以确保所有认可机构的主要营业地点、本地分行、本地办事处、境外分行及境外代表办事处以及本地代表办事处均以负责任、诚实及符合商业常规的方式运作；（由 2001 年第 32 号第 3 条修订）\n- (c) 促进并鼓励认可机构及货币经纪商遵循适当的行为标准以及稳健和审慎的业务常规；（由 1997 年第 4 号第 4 条修订）\n- (d) 制止或协助制止与认可机构的业务常规有关的非法、不名誉或不当做法；\n- (e) 在适当情况下，在符合本条例或任何其他条例允许的范围内，与香港或香港以外任何地方获认可的金融服务监管机构合作并向其提供协助；（由 1991 年第 95 号第 4 条修订；由 2002 年第 6 号第 3 条修订）\n- (f) 考虑并提出有关银行业务及接受存款业务的法律改革建议；及（由 2002 年第 6 号第 3 条修订）\n- (g) 采取一切合理步骤，以确保认可机构经营的任何银行业务、任何接受存款业务或任何其他业务在经营时——\n\t- (i) 具备诚信、审慎态度及适当程度的专业能力；及\n\n第 XXI 部 21-6\n\n第 120 条 第 155 章\n\n- (5) 凡任何认可机构违反第 (2) 或 (4) 款，其每名董事、每名最高行政人员及每名经理均属犯罪，并——\n\t- (a) 一经循公诉程序定罪，可处第 7 级罚款及监禁 2 年；如属持续罪行，在该罪行持续期间，每天可另处罚款第 3 级；或\n\t- (b) 一经循简易程序定罪，可处第 5 级罚款及监禁 6 个月；如属持续罪行，在该罪行持续期间，每天可另处罚款第 2 级。\n- (6) 紧接《2012 年银行业（修订）条例》（2012 年第 3 号）第 14 条的生效日期\\*前根据第 106(2) 条作出且有效的公告，在该日期\\*及之后，被视为已根据第 (3) 款作出，并可相应地由根据该款作出的公告予以修订。\n\n（由 2012 年第 3 号第 14 条增补）\n\n编者注：\n\n\\* 生效日期：2015 年 1 月 1 日。\n120. 官方保密\n\n- (1) 除为行使本条例下的任何职能或为实施本条例的条文所必需外，本款所适用的每名人士——（由 1987 年第 64 号第 26 条修订）\n\t- (a) 须对其在行使本条例下的任何职能时获悉的与任何人士的事务有关的一切事宜，予以保密并协助保密；\n\n第 XXI 部 21-8\n\n第 120 条 第 155 章\n\n- (b) 不得向该事宜所涉及的人士以外的任何人士传达任何该等事宜；及\n- (c) 不得容许或准许任何人查阅本款所适用之人士所占有、保管或控制的任何记录。\n- (2) 第 (1) 款须适用于属于或曾属于以下身份并正在行使或曾经行使本条例下的任何职能的任何人士——\n\t- (a) 公职人员；\n\t- (b) 获金融管理专员授权的人士；\n\t- (c) 认可机构的顾问；（由 1995 年第 49 号第 36 条替代）\n\t- (d) 认可机构的经理；（由 1995 年第 49 号第 36 条替代）\n\t- (da) 根据第 53G(5) 条委任的人士；（由 1995 年第 49 号第 36 条增补）\n\t\t- (e) 根据第 117(2) 条委任的人士；及\n\t\t- (f) 凭借 (b)、(c)、(d) 或 (e) 段受雇于本款所适用人士或协助该人士的人士。\n\n- (3) 如认可机构的经理须遵从根据《Inland Revenue Ordinance（税务条例）》（第 112 章）第 51 条发出的提交报税表及资料的通知，则第 (1) 款不适用。（由 1995 年第 49 号第 36 条替代）\n- (4) 任何在根据第 47、50、55 或 117 条进行的审查或调查过程中行使任何职能的人士，或接收根据第 47、50、55、56、59、63 或 64 条呈交的报告、报表或资料的人士，均无须在任何法院出示任何账簿、账目或任何其他文件，亦无须向任何法院泄露或传达其在行使本条例下的职能时注意到的任何\n\n第 XXI 部 21-10\n\n第 120 条 第 155 章\n\n事宜或事物，但如在针对任何罪行的检控过程中或在 Court of First Instance（原讼法庭）根据第 122 条进行的清盘过程中确有需要，则属例外。（由 1992 年第 67 号第 9 条修订；由 1998 年第 25 号第 2 条修订）\n\n- (5) 第 (1) 款不适用于——\n\t- (a) 以多间认可机构提供的类似资料的摘要形式披露资料，而该摘要的编制方式使得无法从中确定与任何特定认可机构的业务有关的详情；\n\t- (b) 为提起任何刑事诉讼（不论是否根据本条例）或为该等刑事诉讼之目的而披露资料；\n\t- (c) 与因本条例引起的任何其他法律诉讼有关的披露；\n\t- (d) 应 Secretary for Justice（律政司司长）的要求，向警务处或 Independent Commission Against Corruption（廉政公署）披露与妥善调查任何刑事投诉有关的资料；（由 1997 年第 362 号法律公告修订）\n\t- (da) 向 Review Tribunal（复核审裁处）披露资料；（由 2005 年第 19 号第 7 条增补）\n\t- (db) 向根据《Anti-Money Laundering and Counter-Terrorist Financing Ordinance（打击洗钱及恐怖分子资金筹集条例）》（第 615 章）第 55 条设立的 Anti-Money Laundering and Counter-Terrorist Financing Review Tribunal（打击洗钱及恐怖分子资金筹集复核审裁处）披露资料；（由 2011 年第 15 号第 86 条增补。由 2018 年第 4 号第 42 条修订）\n\n第 XXI 部 21-12\n\n第 120 条 第 155 章\n\n- (dc) 向 Resolution Compensation Tribunal（处置补偿审裁处）披露资料；（由 2016 年第 23 号第 210 条增补）\n- (dd) 向 Resolvability Review Tribunal（可处置性复核审裁处）披露资料；（由 2016 年第 23 号第 210 条增补）\n- (de) 金融管理专员为使处置机制当局能够行使其在《Financial Institutions (Resolution) Ordinance（金融机构（处置机制）条例）》（第 628 章）下的职能或协助其行使该等职能，而向该处置机制当局披露资料；（由 2016 年第 23 号第 210 条增补。由 2017 年第 2 号编纂修订）\n\t- (e) 金融管理专员为就认可机构或前认可机构的核数师或前核数师行使其专业职责而提起任何纪律程序或为该等纪律程序之目的而披露资料，不论该核数师或前核数师（视属何情况而定）是否根据第 50、59 或 63 条获委任；（由 1990 年第 43 号第 9 条替代。由 1992 年第 67 号第 9 条修订）\n\t- (f) 金融管理专员在认为出现以下情况时，向行政长官、财政司司长、由财政司司长委任以调查某公司事务的审查员、担任法定获授权职位的人士或由财政司司长为本段之目的而授权的任何公职人员披露资料——（由 1993 年第 96 号法律公告修订；由 1999 年第 68 号第 3 条修订；由 2002 年第 106 号法律公告修订）\n\t\t- (i) 为了存款人或潜在存款人的利益或公众利益，如此披露资料是适宜或合宜的；或\n\n第 XXI 部 21-14 第 120 条 第 155 章\n\n- (ii) 该等披露将使资料接收人能够行使其职能或协助其行使职能，且如此披露资料并不违背存款人或潜在存款人的利益或公众利益；（由 1991 年第 95 号第 40 条替代）\n- (fa) 金融管理专员向 Securities and Futures Commission（证券及期货事务监察委员会）披露有关以下事项的资料——\n\t- (i) 注册机构进行受规管活动；或\n\t- (ii) 认可机构经营接收或持有中介人（属《Securities and Futures Ordinance（证券及期货条例）》（第 571 章）附表 1 所指者）的客户资产（属该条例附表 1 所指者）的业务，而该机构是该中介人的相联实体（属该条例附表 1 所指者）；（由 2002 年第 6 号第 12 条增补）\n- (g) 金融管理专员为使其能够履行其在本条例下的职能或协助其履行该等职能，而向认可机构或前认可机构的核数师或前核数师披露资料；（由 1990 年第 43 号第 9 条替代。由 1990 年第 276 号法律公告修订；由 1991 年第 95 号第 40 条修订）\n- (gaa) 金融管理专员为使根据《Deposit Protection Scheme Ordinance（存款保障计划条例）》（第 581 章）第 3 条设立的 Hong Kong Deposit Protection Board（香港存款保障委员会）能够行使其在该条例下的职能或协助其行使该等职能，而向该委员会披露资料；（由 2004 年第 7 号第 55 条增补）\n\n第 XXI 部 21-16\n\n第120条 第155章\n(ga) 披露给以下人士的信息——\n(i) 根据《Exchange Fund Ordinance（外汇基金条例）》（第66章）第5A(3)条获委任的任何人士；以及\n(ii) 此类披露将使该人士能够或协助该人士协助Monetary Authority（金融管理专员）行使该条所述的任何职能；（1995年第49号第36条增补）\n(h) 在符合第(5D)款的规定下，由金融管理专员经以下人士同意而披露的信息——\n(i) 获取或接收该信息所来源的人士；以及\n(ii) 凡该信息与该人士无关，与该信息相关的人士；或（1991年第95号第40条增补）\n(i) 披露已向公众公开的信息，由于该信息是在本条或第121条不禁止披露的任何情况或出于本条或第121条不禁止披露的任何目的而被披露。（1991年第95号第40条增补）\n(5A) 就第(5)(f)款而言，authorized statutory office（认可法定职位）指——\n(a) 根据《Insurance Ordinance（保险业条例）》（第41章）第4AAA条设立的Insurance Authority（保险业监管局）；（2015年第12号第105条代替）\n(b) Securities and Futures Commission（证券及期货事务监察委员会）；（1989年第10号第65条代替。2006年第18号第78条修订）\n(c) 由《Mandatory Provident Fund Schemes Ordinance（强制性公积金计划条例）》（第485章）第6条设立的Mandatory Provident Fund Schemes Authority（强制性公积金计划管理局）；或（1989年第10号第65条废除\n\n第XXI部 21-18 第120条 第155章\n\n1989年第10号第65条。1998年第4号第7条增补。2006年第18号第78条修订）\n\n- (d)（1989年第10号第65条废除）\n- (e) 根据《Accounting and Financial Reporting Council Ordinance（会计及财务汇报局条例）》（第588章）第6条延续的Accounting and Financial Reporting Council（会计及财务汇报局）。（2006年第18号第78条增补。2022年第66号法律公告修订）\n\n（1988年第68号第2条增补。1998年第4号第7条修订）\n\n- (5B) Legislative Council（立法会）可藉决议修订第(5A)款。（1988年第68号第2条增补）\n- (5C) 金融管理专员可就依据第(5)(b)、(c)、(d)、(e)、(f)、(fa)、(gaa)或(ga)款作出的任何信息披露附加条件，并须就依据第(5)(g)款作出的任何信息披露附加条件，规定无论——（1995年第49号第36条修订；2002年第6号第12条修订；2004年第7号第55条修订）\n\t- (a) 信息被披露予的人士；抑或\n\t- (b)（直接或间接）从(a)段所述人士处获取或接收该信息的任何人士，\n\n未经金融管理专员同意，均不得向任何其他人士披露该信息。（1991年第95号第40条增补）\n\n- (5D) 第(5)(h)款的施行，不得要求金融管理专员在任何民事诉讼中或就任何民事诉讼披露其可依据或已依据该款披露的任何信息。（1991年第95号第40条增补。1993年第94号第28条修订）\n\t- (6) 任何人士凡——\n\t\t- (a) 违反第(1)款；\n\n第XXI部 21-20\n\n第121条 第155章\n\n- (b) 协助、教唆、怂恿或促使任何人士违反第(1)款；或\n- (c) 明知依据第(5)款作出的信息披露已附加第(5C)款所述的条件，仍违反或协助、教唆、怂恿或促使任何人士违反该条件，（1991年第95号第40条增补）\n\n即属犯罪，一经定罪——\n\n- (i) 循起诉书定罪，可处第8级罚款及监禁2年；或\n- (ii) 循简易程序定罪，可处第5级罚款及监禁6个月。（1997年第4号第27条修订）\n- (7) 第(5)(a)、(e)及(g)款适用于获批准货币经纪及前获批准货币经纪，以及与其相关的事宜，正如其分别适用于认可机构及前认可机构以及与其相关的事宜一样，本条例的其他条文亦须据此解释。（1997年第4号第17条增补）\n\n（1990年第3号第46条修订；1992年第82号第20条修订）\n121. 与认可机构相关信息的披露\n\n- (1) 在符合第(3)款的规定下，且即使有第120条的规定，金融管理专员可在以下情况下向Hong Kong（香港）以外地方的主管当局披露信息——\n\t- (a) 该主管当局在该地方行使与以下机构或职位的职能相对应的职能——\n\t\t- (i) 金融管理专员；或\n\t\t- (ii) 第120(5A)条所指的认可法定职位；以及\n\t- (b) 金融管理专员认为——","key_entities":["Je","CIPA"],"ecf_references":[],"word_count":2679,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:29:44"}