{"id":"court_ctb_1409_12","court":"CTB","case_no":"22-50073","doc_number":1409,"sub_number":12,"doc_type":"TRANSCRIPT","filed_date":null,"title":"Part XVI—Division 1 16-2 Section 378 Cap. 571 Part XVI","summary_zh":null,"summary_en":null,"body_en":"Part XVI—Division 1 16-2 Section 378 Cap. 571\n\n## **Part XVI**\n\n# **Miscellaneous**\n\n*(Format changes—E.R. 2 of 2012)*\n\n## **Division 1—Secrecy(general), conflict of interests, and immunity**\n\n*(Amended 6 of 2014 s. 38)*\n\n### **378. Preservation of secrecy, etc.**\n\n- (1) Subject to subsection (13A), except in the performance of a function under, or for the purpose of carrying into effect or doing anything required or authorized under, any of the relevant provisions, a specified person— *(Amended 6 of 2014 s. 39)*\n\t- (a) shall preserve and aid in preserving secrecy with regard to any matter coming to his knowledge by virtue of his appointment under any of the relevant provisions, or in the performance of any function under or in carrying into effect any of the relevant provisions, or in the course of assisting any other person in the performance of any function under or in carrying into effect any of the relevant provisions;\n\t- (b) shall not communicate any such matter to any other person; and\n\t- (c) shall not suffer or permit any other person to have access to any record or document which is in his possession by virtue of the appointment, or the performance of any such function under or the carrying into effect of any such provisions, or the assistance to the other person\n\n| Part XVI—Division 1 | 16-4     |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n|                     |          |\n\nin the performance of any such function under or in carrying into effect any such provisions.\n\n- (2) Nothing in subsection (1) applies to—\n\t- (a) the disclosure of information which has already been made available to the public;\n\t- (b) the disclosure of information with a view to the institution of, or otherwise for the purposes of, any criminal proceedings, or any investigation carried out under the relevant provisions or otherwise, in Hong Kong; *(Amended 6 of 2014 s. 39)*\n\t- (c) the disclosure of information for the purpose of seeking advice from, or giving advice by, counsel or a solicitor or other professional adviser acting or proposing to act in a professional capacity in connection with any matter arising under any of the relevant provisions;\n\t- (d) the disclosure of information by a person in connection with any judicial or other proceedings to which the person is a party;\n\t- (e) the disclosure of information in accordance with an order of a court, or in accordance with a law or a requirement made under a law;\n\t- (ea) the disclosure of information 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 perform its functions under section 5(a), (d) and (e) of that Ordinance; *(Added 7 of 2004 s. 55)*\n\t\t- (f) the communication of any information or opinion to which section 381(1) applies (whether with or without reference to section 381(2))—\n\n| Part XVI—Division 1 | 16-6     |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n|                     |          |\n\n- (i) to the Commission in the manner described in section 381(1);\n- (ii) where section 381(4) applies, to the Insurance Authority or the Monetary Authority (as the case may be) in the manner described in section 381(4).\n- (3) Notwithstanding subsection (1), the Commission may disclose information—\n\t- (a) in the form of a summary compiled from any information in the possession of the Commission, including information provided by persons under any of the relevant provisions, if the summary is so compiled as to prevent particulars relating to the business or identity, or the trading particulars, of any person from being ascertained from it;\n\t- (b) to a person who is a liquidator appointed under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32); *(Amended 28 of 2012 ss. 912 & 920)*\n\t- (ba) to a person who is a liquidator appointed under the OFC rules; *(Added 16 of 2016 s. 16)*\n\t- (c) to the Market Misconduct Tribunal;\n\t- (d) to the Securities and Futures Appeals Tribunal;\n\t- (ea) 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. 90. Amended 4 of 2018 s. 45)*\n\t- (eb) to the Resolution Compensation Tribunal; *(Added 23 of 2016 s. 219)*\n\t- (ec) to the Resolvability Review Tribunal; *(Added 23 of 2016 s. 219)*\n\n| Part XVI—Division 1 | 16-8     |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n\n- (ed) to a resolution authority, for the purpose of enabling or assisting the resolution authority to perform its functions under the Financial Institutions (Resolution) Ordinance (Cap. 628); *(Added 23 of 2016 s. 219. Amended E.R. 2 of 2017)*\n\t- (e) to the Monetary Authority, if—\n\t\t- (i) the information relates to—\n\t\t\t- (A) any business of a registered institution which constitutes a regulated activity for which the registered institution is registered; or\n\t\t\t- (B) any business of an associated entity that is an authorized financial institution, which is that of receiving or holding client assets of the intermediary of which the associated entity is an associated entity; or\n\t\t- (ii) in the opinion of the Commission the condition specified in subsection (5) is satisfied;\n\t- (f) if in the opinion of the Commission the condition specified in subsection (5) is satisfied, to—\n\t\t- (i) the Chief Executive;\n\t\t- (ii) the Financial Secretary;\n\t\t- (iii) the Secretary for Justice;\n\t\t- (iv) *(Repealed L.N. 106 of 2002)*;\n\t\t- (v) the Insurance Authority;\n\t\t- (vi) the Registrar of Companies;\n\t\t- (vii) the Official Receiver;\n\t\t- (viii) the Mandatory Provident Fund Schemes Authority;\n\t\t\t- (ix) the Privacy Commissioner for Personal Data;\n\t\t\t- (x) the Ombudsman;\n\n| Part XVI—Division 1 | 16-10                                                                                                                                                                                                          |\n|---------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Section 378         | Cap. 571                                                                                                                                                                                                       |\n| (xi)                | a<br>public<br>officer<br>authorized<br>by<br>the<br>Financial<br>Secretary under subsection (12);                                                                                                             |\n| (xia)               | the Accounting and Financial Reporting Council<br>continued under section 6 of the Accounting and<br>Financial Reporting Council Ordinance (Cap. 588);<br>(Added 18 of 2006 s. 86. Amended L.N. 66 of<br>2022) |\n| (xii)               | an inspector appointed by the Financial Secretary<br>to investigate the affairs of a corporation;                                                                                                              |\n| (xiii)              | a recognized exchange company;                                                                                                                                                                                 |\n| (xiv)               | a recognized clearing house;                                                                                                                                                                                   |\n| (xv)                | a recognized exchange controller;                                                                                                                                                                              |\n| (xvi)               | a recognized investor compensation company;                                                                                                                                                                    |\n| (xvii)              | a<br>person<br>authorized<br>to<br>provide<br>authorized<br>automated trading services under section 95(2);                                                                                                    |\n| (g)<br>if<br>in     | the<br>opinion<br>of<br>the<br>Commission<br>the<br>condition<br>specified in subsection (5) is satisfied—                                                                                                     |\n| (i)                 | to an authority or regulatory organization outside<br>Hong Kong which, or to a companies inspector<br>outside Hong Kong who, in the opinion of the                                                             |\n\n(ii) to any body prescribed by rules made under section 397 for the purposes of this subparagraph, with a view to its taking of, or otherwise for the purposes of, any disciplinary action against any of its members or regulatees; *(Replaced L.N. 66 of 2022)*\n\nCommission satisfies the requirements referred to\n\n(ga) to an authority in a place outside Hong Kong, if—\n\nin subsection (6)(a) and (b);\n\n| Part XVI—Division 1 | 16-12    |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n|                     |          |\n\n- (i) that authority performs functions in that place broadly comparable to those of a resolution authority in Hong Kong; and\n- (ii) in the opinion of the Commission—\n\t- (A) that authority is subject to adequate secrecy provisions in that place; and\n\t- (B) the information is necessary to enable or assist that authority to perform functions in that place broadly comparable to those of a resolution authority in Hong Kong; *(Added 23 of 2016 s. 219)*\n- (h) to a person who is or was an auditor appointed under any provision of this Ordinance, for the purpose of enabling or assisting the Commission to perform its functions under any of the relevant provisions;\n- (i) where the information is obtained by an investigator under section 183, to—\n\t- (i) the Financial Secretary;\n\t- (ii) the Secretary for Justice;\n\t- (iia) the Resolution Compensation Tribunal; *(Added 23 of 2016 s. 219)*\n\t- (iib) the Resolvability Review Tribunal; *(Added 23 of 2016 s. 219)*\n\t- (iic) a resolution authority, for the purpose of enabling or assisting the resolution authority to perform its functions under the Financial Institutions (Resolution) Ordinance (Cap. 628); *(Added 23 of 2016 s. 219. Amended E.R. 2 of 2017)*\n\t- (iii) the Commissioner of Police;\n\n| Part XVI—Division 1 | 16-14    |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n\n- (iv) the Commissioner of the Independent Commission Against Corruption;\n- (v) the Market Misconduct Tribunal;\n- (vi) the Securities and Futures Appeals Tribunal;\n- (j) for the purpose of, or otherwise in connection with, an audit required by section 16;\n- (k) with the consent of the person from whom the information was obtained or received and, if the information relates to a different person, also with the consent of the person to whom the information relates.\n- (4) Notwithstanding subsection (1), a person who is or was an auditor appointed in relation to a licensed corporation or an associated entity of a licensed corporation under section 159 or 160, and a person who is or was an employee or agent of such auditor, may disclose information obtained or received by him in the course of performing his duties as such auditor or as an employee or agent of such auditor (as the case may be)—\n\t- (a) for the purposes of any judicial or other proceedings arising out of the performance of his duties as such auditor or as an employee or agent of such auditor (as the case may be);\n\t- (b) in the case of a person who is or was an employee or agent of an auditor, to the auditor.\n- (5) The condition referred to in subsection (3)(e), (f) and (g) is that—\n\t- (a) it is desirable or expedient that the information should be disclosed pursuant to subsection (3)(e), (f) or (g) (as the case may be) in the interest of the investing public or in the public interest; or\n\nPart XVI—Division 1 16-16 Section 378 Cap. 571\n\n- (b) the disclosure will enable or assist the recipient of the information to perform its or his functions and it is not contrary to the interest of the investing public or to the public interest that the information should be so disclosed.\n- (6) Where the Commission is satisfied, for the purposes of subsection (3)(g)(i), that an authority, regulatory organization or companies inspector outside Hong Kong—\n\t- (a) performs any function similar to a function of the Commission or the Registrar of Companies, or regulates, supervises or investigates banking, insurance or other financial services or the affairs of corporations; and\n\t- (b) is subject to adequate secrecy provisions,\n\nthe Commission shall as soon as reasonably practicable thereafter cause the name of the authority, regulatory organization or companies inspector (as the case may be) to be published in the Gazette.\n\n- (7) Where information is disclosed by a specified person pursuant to subsection (1), or in any of the circumstances described in subsection (2), (3) or (4) (other than subsections (2)(a), (3)(a), (g)(i), (ga) and (k) and (4)(b))— *(Amended 19 of 2015 s. 27; 23 of 2016 s. 219)*\n\t- (a) the person to whom that information is so disclosed; or\n\t- (b) any other person obtaining or receiving the information, whether directly or indirectly, from the person referred to in paragraph (a),\n\nshall not disclose the information, or any part thereof, to any other person, unless—\n\n- (i) the Commission consents to the disclosure;\n- (ia) if the specified person is a recognized exchange company, the Commission or the recognized exchange\n\n| Part XVI—Division 1 | 16-18    |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n\ncompany consents to the disclosure; *(Added 19 of 2015 s. 27)*\n\n- (ii) the information or the part thereof (as the case may be) has already been made available to the public;\n- (iii) the disclosure is for the purpose of seeking advice from, or giving advice by, counsel or a solicitor or other professional adviser acting or proposing to act in a professional capacity in connection with any matter arising under any of the relevant provisions;\n- (iv) the disclosure is in connection with any judicial or other proceedings to which the person or the other person referred to in paragraph (a) or (b) (as the case may be) is a party; or\n- (v) the disclosure is in accordance with an order of a court, or in accordance with a law or a requirement made under a law.\n- (8) Where information is disclosed to an auditor in the circumstances described in subsection (4)(b)—\n\t- (a) the auditor; or\n\t- (b) any other person obtaining or receiving the information, whether directly or indirectly, from the auditor,\n\nshall not disclose the information, or any part thereof, to any other person, unless—\n\n- (i) in the case of the auditor, the disclosure is for the purpose described in subsection (4)(a);\n- (ii) the Commission consents to the disclosure;\n- (iii) the information or the part thereof (as the case may be) has already been made available to the public;\n- (iv) the disclosure is for the purpose of seeking advice from, or giving advice by, counsel or a solicitor or\n\n| Part XVI—Division 1 | 16-20    |\n|---------------------|----------|\n| Section 378         | Cap. 571 |\n\nother professional adviser acting or proposing to act in a professional capacity in connection with any matter arising under any of the relevant provisions;\n\n- (v) the disclosure is in connection with any judicial or other proceedings to which the auditor or the other person referred to in paragraph (a) or (b) (as the case may be) is a party; or\n- (vi) the disclosure is in accordance with an order of a court, or in accordance with a law or a requirement made under a law.\n- (9) The Commission, in disclosing any information in any of the circumstances described in subsection (3) or in granting any consent pursuant to subsection (7)(i) or (ia) or (8)(ii), may impose such conditions as it considers appropriate. *(Amended 19 of 2015 s. 27)*\n- (9A) A recognized exchange company, in granting a consent pursuant to subsection (7)(ia), may impose any condition that it considers appropriate. *(Added 19 of 2015 s. 27)*\n- (10) A person who contravenes subsection (1) commits an offence and is liable—\n\t- (a) on conviction on indictment to a fine of \\$1,000,000 and to imprisonment for 2 years; or\n\t- (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months.\n- (11) Where a person discloses any information in contravention of subsection (7) or (8) and, at the time of disclosure— *(Amended 6 of 2014 s. 39 and E.R. 2 of 2015)*\n\t- (a) in the case of a contravention of subsection (7), the person knew or ought reasonably to have known that the information was previously disclosed to the person or to any other person (as the case may be) pursuant to\n\nPart XVI—Division 1 16-22\n\nsubsection (1) or in any of the circumstances described in subsection (2), (3) or (4) (other than subsections (2)(a), (3)(a), (g)(i), (ga) and (k) and (4)(b)), unless the person proves that the person had reasonable grounds to believe that subsection (7)(i), (ia), (ii), (iii), (iv) or (v) applied to the disclosure of the information by the person; or *(Amended 19 of 2015 s. 27; 23 of 2016 s. 219)*\n\n(b) in the case of a contravention of subsection (8), the person knew or ought reasonably to have known that the information was previously disclosed to the person or an auditor (as the case may be) in the circumstances described in subsection (4)(b), unless the person proves that the person had reasonable grounds to believe that subsection (8)(i), (ii), (iii), (iv), (v) or (vi) applied to the disclosure of the information by the person,\n\nthe person commits an offence and is liable— *(Amended 6 of 2014 s. 39 and E.R. 2 of 2015)*\n\n- (i) on conviction on indictment to a fine of \\$1,000,000 and to imprisonment for 2 years; or\n- (ii) on summary conviction to a fine at level 6 and to imprisonment for 6 months.\n- (12) The Financial Secretary may authorize any public officer as a person to whom information may be disclosed under subsection (3)(f)(xi).\n- (13) Any matter published under subsection (6) is not subsidiary legislation.\n- (13A) This section does not apply to a person referred to in section 381A(1) in respect of—\n\t- (a) a matter that comes to the person's knowledge—\n\t\t- (i) because of a reason referred to in section 381A(2)(a)(i); or\n\n| Part XVI—Division 1 | 16-24    |\n|---------------------|----------|\n| Section 379         | Cap. 571 |\n\n- (ii) as described in section 381A(2)(a)(ii) or (iii); or\n- (b) a record or document that is in the person's possession because of a reason referred to in section 381A(2)(c)(i), (ii) or (iii). *(Added 6 of 2014 s. 39)*\n- (14) *(Repealed 9 of 2012 s. 44)*\n- (15) In this section\n\t- *companies inspector* (公司審查員), in relation to a place outside Hong Kong, means a person whose functions under the laws of that place include the investigation of the affairs of a corporation carrying on business in that place;\n\n*specified person* (指明人士) means—\n\n- (a) the Commission;\n- (b) any person who is or was a member, an employee, or a consultant, agent or adviser, of the Commission; or\n- (c) any person who is or was—\n\t- (i) a person appointed under any of the relevant provisions;\n\t- (ii) a person performing any function under or carrying into effect any of the relevant provisions; or\n\t- (iii) a person assisting any other person in the performance of any function under or in carrying into effect any of the relevant provisions.\n\n### **379. Avoidance of conflict of interests**\n\n(1) Subject to subsection (2), any member of the Commission or any person performing any function under any of the relevant provisions shall not directly or indirectly effect or cause to be effected, on his own account or for the benefit of any other person, a transaction regarding any securities, structured product, futures contract, leveraged foreign exchange contract,","body_zh":"第XVI部—第1分部 16-2 第378条 Cap. 571\n第XVI部\n杂项\n\n（格式变更—E.R. 2 of 2012）\n第1分部—保密（一般规定）、利益冲突及豁免权\n\n（2014年第6号第38条修订）\n378. 保密等\n\n- (1) 在符合第(13A)款的规定下，除在履行任何有关条文下的职能时，或为使任何有关条文得以生效或施行，或为进行任何有关条文所规定或授权进行的事宜外，指明人士—（2014年第6号第39条修订）\n\t- (a) 须对因根据任何有关条文获委任，或在履行任何有关条文下的任何职能，或在使任何有关条文得以生效或施行时，或在协助任何其他人履行任何有关条文下的任何职能或使任何有关条文得以生效或施行的过程中，获悉的任何事宜予以保密，并协助保密；\n\t- (b) 不得向任何其他人传达任何该等事宜；以及\n\t- (c) 不得容受或准许任何其他人查阅因上述委任、或在履行任何该等条文下的任何该等职能或使任何该等条文得以生效或施行、或在协助其他人\n\n第XVI部—第1分部 16-4\n\n第378条 Cap. 571\n\n履行任何该等条文下的任何该等职能或使任何该等条文得以生效或施行的过程中而由其占有的任何纪录或文件。\n\n- (2) 第(1)款不适用于以下各项—\n\t- (a) 披露已向公众提供的资料；\n\t- (b) 为在香港提起任何刑事诉讼，或为在香港进行该等诉讼的目的，或为根据有关条文或以其他方式在香港进行任何调查的目的而披露资料；（2014年第6号第39条修订）\n\t- (c) 为向大律师、事务律师或其他专业顾问寻求意见，或由以专业身份就任何有关条文下产生的任何事宜行事或拟行事的大律师、事务律师或其他专业顾问提供意见的目的而披露资料；\n\t- (d) 某人就其作为当事人的任何司法或其他程序而披露资料；\n\t- (e) 按照法院命令，或按照法律或根据法律作出的规定而披露资料；\n\t- (ea) 为使根据《存款保障计划条例》（Cap. 581）第3条设立的香港存款保障委员会（Hong Kong Deposit Protection Board）能够履行或协助其履行该条例第5(a)、(d)及(e)条下的职能，而向该委员会披露资料；（2004年第7号第55条增补）\n\t\t- (f) 传达第381(1)条适用的任何资料或意见（不论是否提述第381(2)条）—\n\n第XVI部—第1分部 16-6\n\n第378条 Cap. 571\n\n- (i) 以第381(1)条所述方式向证券及期货事务监察委员会（Securities and Futures Commission，下称“SFC（证监会）”）传达；\n- (ii) 在第381(4)条适用的情况下，以第381(4)条所述方式向Insurance Authority（保险业监管局）或Monetary Authority（金融管理专员）（视属何情况而定）传达。\n- (3) 即使有第(1)款的规定，证监会可在以下情况下披露资料—\n\t- (a) 以证监会所管有的任何资料（包括任何人士根据任何有关条文提供的资料）汇编而成的摘要形式披露，但该摘要的汇编方式须使人无法从中确定关乎任何人的业务或身份的详情，或其交易详情；\n\t- (b) 向根据《公司（清盘及杂项条文）条例》（Companies (Winding Up and Miscellaneous Provisions) Ordinance，Cap. 32）委任的清盘人披露；（2012年第28号第912及920条修订）\n\t- (ba) 向根据开放式基金型公司规则（OFC rules）委任的清盘人披露；（2016年第16号第16条增补）\n\t- (c) 向市场失当行为审裁处（Market Misconduct Tribunal）披露；\n\t- (d) 向证券及期货事务上诉审裁处（Securities and Futures Appeals Tribunal）披露；\n\t- (ea) 向根据《打击洗钱及恐怖分子资金筹集条例》（Anti-Money Laundering and Counter-Terrorist Financing Ordinance，Cap. 615）第55条设立的打击洗钱及恐怖分子资金筹集复核审裁处（Anti-Money Laundering and Counter-Terrorist Financing Review Tribunal）披露；（2011年第15号第90条增补。2018年第4号第45条修订）\n\t- (eb) 向处置补偿审裁处（Resolution Compensation Tribunal）披露；（2016年第23号第219条增补）\n\t- (ec) 向处置可行性复核审裁处（Resolvability Review Tribunal）披露；（2016年第23号第219条增补）\n\n第XVI部—第1分部 16-8\n\n第378条 Cap. 571\n\n- (ed) 为使处置机制当局（resolution authority）能够履行或协助其履行《金融机构（处置机制）条例》（Financial Institutions (Resolution) Ordinance，Cap. 628）下的职能，而向该处置机制当局披露；（2016年第23号第219条增补。E.R. 2 of 2017修订）\n\t- (e) 在以下情况下向金融管理专员披露—\n\t\t- (i) 该资料关乎—\n\t\t\t- (A) 注册机构的任何构成该注册机构获注册进行的受规管活动的业务；或\n\t\t\t- (B) 属认可财务机构的联属实体的任何业务，而该业务是接收或持有作为该联属实体之联属实体的中介人的客户资产的业务；或\n\t\t- (ii) 证监会认为第(5)款指明的条件已获符合；\n\t- (f) 如证监会认为第(5)款指明的条件已获符合，向以下人士披露—\n\t\t- (i) 行政长官（Chief Executive）；\n\t\t- (ii) 财政司司长（Financial Secretary）；\n\t\t- (iii) 律政司司长（Secretary for Justice）；\n\t\t- (iv) （由2002年第106号法律公告废除）；\n\t\t- (v) 保险业监管局；\n\t\t- (vi) 公司注册处处长（Registrar of Companies）；\n\t\t- (vii) 破产管理署署长（Official Receiver）；\n\t\t- (viii) 强制性公积金计划管理局（Mandatory Provident Fund Schemes Authority）；\n\t\t\t- (ix) 个人资料私隐专员（Privacy Commissioner for Personal Data）；\n\t\t\t- (x) 申诉专员（The Ombudsman）；\n\n第XVI部—第1分部 16-10\n\n第378条 Cap. 571\n(xi) 获财政司司长根据第(12)款授权的公职人员；\n(xia) 根据《会计及财务汇报局条例》（Accounting and Financial Reporting Council Ordinance，Cap. 588）第6条继续设立的会计及财务汇报局（Accounting and Financial Reporting Council）；（2006年第18号第86条增补。2022年第66号法律公告修订）\n(xii) 获财政司司长委任以调查某法团事务的审查员；\n(xiii) 认可交易所（recognized exchange company）；\n(xiv) 认可结算所（recognized clearing house）；\n(xv) 认可交易所控制人（recognized exchange controller）；\n(xvi) 认可投资者赔偿公司（recognized investor compensation company）；\n(xvii) 获授权根据第95(2)条提供认可自动化交易服务的人；\n(g) 如证监会认为第(5)款指明的条件已获符合—\n(i) 向香港以外的当局或监管组织，或向香港以外的公司审查员披露，而证监会认为该当局、组织或审查员符合第(6)(a)及(b)款所指的规定；\n(ii) 为向任何为本节目的而由根据第397条订立的规则所订明的团体采取纪律行动，或为该等纪律行动的目的，向该团体披露，以对其任何成员或受规管人士采取纪律行动；（2022年第66号法律公告取代）\n(ga) 在以下情况下向香港以外地方的当局披露—\n\n第XVI部—第1分部 16-12\n\n第378条 Cap. 571\n\n- (i) 该当局在当地履行的职能，大致上可与香港的处置机制当局的职能相提并论；以及\n- (ii) 证监会认为—\n\t- (A) 该当局在当地受充分的保密条文约束；并且\n\t- (B) 该资料对于使该当局能够履行或协助其在当地履行大致上可与香港的处置机制当局相提并论的职能是必需的；（2016年第23号第219条增补）\n- (h) 为使证监会能够履行或协助其履行任何有关条文下的职能，向根据本条例任何条文获委任或曾获委任为核数师的人披露；\n- (i) 在资料是由调查员根据第183条取得的情况下，向以下人士披露—\n\t- (i) 财政司司长；\n\t- (ii) 律政司司长；\n\t- (iia) 处置补偿审裁处；（2016年第23号第219条增补）\n\t- (iib) 处置可行性复核审裁处；（2016年第23号第219条增补）\n\t- (iic) 处置机制当局，以为使处置机制当局能够履行或协助其履行《金融机构（处置机制）条例》（Cap. 628）下的职能；（2016年第23号第219条增补。E.R. 2 of 2017修订）\n\t- (iii) 警务处处长（Commissioner of Police）；\n\n第XVI部—第1分部 16-14\n\n第378条 Cap. 571\n\n- (iv) 廉政专员（Commissioner of the Independent Commission Against Corruption）；\n- (v) 市场失当行为审裁处；\n- (vi) 证券及期货事务上诉审裁处；\n- (j) 为第16条所规定的审计目的或就该审计而披露；\n- (k) 在获得自其取得或接收资料的人的同意下披露；如该资料关乎另一人，则亦须在获得该资料所关乎的人的同意下披露。\n- (4) 即使有第(1)款的规定，根据第159或160条就持牌法团或持牌法团的联属实体获委任或曾获委任为核数师的人，以及该核数师的雇员或代理人或曾任该核数师雇员或代理人的人，可披露其在以该核数师或该核数师的雇员或代理人（视属何情况而定）身份履行职责的过程中取得或接收的资料—\n\t- (a) 为因其以该核数师或该核数师的雇员或代理人（视属何情况而定）身份履行职责而引起的任何司法或其他程序的目的而披露；\n\t- (b) 在属核数师的雇员或代理人或曾任核数师雇员或代理人的情况下，向该核数师披露。\n- (5) 第(3)(e)、(f)及(g)款所指的条件是—\n\t- (a) 为投资大众的利益或为了公众利益，根据第(3)(e)、(f)或(g)款（视属何情况而定）披露该资料是合宜或适当的；或\n\n第XVI部—第1分部 16-16 第378条 Cap. 571\n\n- (b) 该项披露将使资料接收人能够履行或协助其履行其职能，且如此披露该资料并不违反投资大众的利益或公众利益。\n- (6) 凡证监会为第(3)(g)(i)款的目的而信纳香港以外的某当局、监管组织或公司审查员—\n\t- (a) 履行与证监会或公司注册处处长的职能相类似的任何职能，或对银行业、保险业或其他金融服务或法团的事务进行规管、监管或调查；以及\n\t- (b) 受充分的保密条文约束，\n\n证监会须在并在其后在合理切实可行范围内尽快安排将该当局、监管组织或公司审查员（视属何情况而定）的名称在宪报（Gazette）刊登。\n\n- (7) 凡指明人士依据第(1)款披露资料，或在第(2)、(3)或(4)款（第(2)(a)、(3)(a)、(g)(i)、(ga)及(k)款以及第(4)(b)款除外）所述的任何情况中披露资料—（2015年第19号第27条修订；2016年第23号第219条修订）\n\t- (a) 获如此披露该资料的人；或\n\t- (b) 直接或间接从(a)段所指的人取得或接收该资料的任何其他人，\n\n均不得向任何其他人披露该资料或其任何部分，除非—\n\n- (i) 证监会同意该项披露；\n- (ia) 如该指明人士为认可交易所，则证监会或该认可交易所\n\n第XVI部—第1分部 16-18\n\n第378条 Cap. 571\n\n同意该项披露；（2015年第19号第27条增补）\n\n- (ii) 该信息或其部分（视具体情况而定）已向公众公开；\n\n- (iii) 该披露是出于向大律师、事务律师或其他以专业身份行事或拟以专业身份行事并就相关条文下产生的任何事宜提供意见的专业顾问征求意见，或由其提供意见的目的；\n\n- (iv) 该披露与该人或 (a) 或 (b) 款所指的其他人（视具体情况而定）作为一方当事人的任何司法或其他程序有关；或\n\n- (v) 该披露符合法院命令，或符合法律或根据法律作出的要求。\n\n- (8) 凡信息是在第 (4)(b) 款所述情况下向核数师披露的——\n\t- (a) 该核数师；或\n\t- (b) 直接或间接从该核数师处获取或接收该信息的任何其他人，\n\n均不得向任何其他人披露该信息或其任何部分，除非——\n\n- (i) 就核数师而言，该披露是出于第 (4)(a) 款所述的目的；\n- (ii) Commission（证券及期货事务监察委员会）同意该披露；\n- (iii) 该信息或其部分（视具体情况而定）已向公众公开；\n- (iv) 该披露是出于向大律师、事务律师或\n\n第 XVI 部—第 1 分部 16-20\n\n第 378 条 第 571 章\n\n其他以专业身份行事或拟以专业身份行事并就相关条文下产生的任何事宜提供意见的专业顾问征求意见，或由其提供意见的目的；\n\n- (v) 该披露与该核数师或 (a) 或 (b) 款所指的其他人（视具体情况而定）作为一方当事人的任何司法或其他程序有关；或\n- (vi) 该披露符合法院命令，或符合法律或根据法律作出的要求。\n\n- (9) 证券及期货事务监察委员会在第 (3) 款所述的任何情况下披露任何信息，或依据第 (7)(i) 或 (ia) 或 (8)(ii) 款给予任何同意时，可施加其认为适当的条件。（2015 年第 19 号第 27 条修订）\n\n- (9A) 认可交易所依据第 (7)(ia) 款给予同意时，可施加其认为适当的任何条件。（2015 年第 19 号第 27 条增补）\n\n- (10) 违反第 (1) 款的人即属犯罪，且——\n\t- (a) 一经公诉程序定罪，可处罚款 $1,000,000 及监禁 2 年；或\n\t- (b) 一经循简易程序定罪，可处第 6 级罚款及监禁 6 个月。\n\n- (11) 凡任何人违反第 (7) 或 (8) 款披露任何信息，且在披露时——（2014 年第 6 号第 39 条及 2015 年第 2 号法律编辑修订）\n\t- (a) 就违反第 (7) 款而言，该人知道或理应知道该信息先前是依据\n\n第 XVI 部—第 1 分部 16-22\n\n第 (1) 款或在第 (2)、(3) 或 (4) 款所述的任何情况下（第 (2)(a)、(3)(a)、(g)(i)、(ga) 及 (k) 以及 (4)(b) 款除外）披露给该人或任何其他人（视具体情况而定）的，除非该人证明其有合理理由相信第 (7)(i)、(ia)、(ii)、(iii)、(iv) 或 (v) 款适用于其对该信息的披露；或（2015 年第 19 号第 27 条；2016 年第 23 号第 219 条修订）\n\n(b) 就违反第 (8) 款而言，该人知道或理应知道该信息先前是在第 (4)(b) 款所述情况下披露给该人或核数师（视具体情况而定）的，除非该人证明其有合理理由相信第 (8)(i)、(ii)、(iii)、(iv)、(v) 或 (vi) 款适用于其对该信息的披露，\n\n该人即属犯罪，且——（2014 年第 6 号第 39 条及 2015 年第 2 号法律编辑修订）\n\n- (i) 一经公诉程序定罪，可处罚款 $1,000,000 及监禁 2 年；或\n- (ii) 一经循简易程序定罪，可处第 6 级罚款及监禁 6 个月。\n\n- (12) 财政司司长可授权任何公职人员作为根据第 (3)(f)(xi) 款可向其披露信息的人。\n\n- (13) 根据第 (6) 款公布的任何事宜不属于附属法例。\n\n- (13A) 本条不适用于第 381A(1) 条所指的人就以下各项而言的情况——\n\t- (a) 该人获悉的事项——\n\t\t- (i) 因第 381A(2)(a)(i) 条所指的原因而获悉；或\n\n第 XVI 部—第 1 分部 16-24\n\n第 379 条 第 571 章\n\n- (ii) 如第 381A(2)(a)(ii) 或 (iii) 条所述；或\n- (b) 因第 381A(2)(c)(i)、(ii) 或 (iii) 条所指的原因而由该人占有的记录或文件。（2014 年第 6 号第 39 条增补）\n\n- (14) （由 2012 年第 9 号第 44 条废除）\n\n- (15) 在本条中——\n\t- companies inspector（公司审查员），就香港以外的地方而言，指根据该地方的法律其职能包括调查在该地方开展业务的法团的事务的人；\n\nspecified person（指明人士）指——\n\n- (a) 证券及期货事务监察委员会；\n- (b) 现任或曾任证券及期货事务监察委员会成员、雇员，或其顾问、代理人或咨询人的人；或\n- (c) 现任或曾任——\n\t- (i) 根据任何相关条文获委任的人；\n\t- (ii) 根据任何相关条文履行任何职能或贯彻实施任何相关条文的人；或\n\t- (iii) 协助任何其他人根据任何相关条文履行任何职能或贯彻实施任何相关条文的人。\n\n379. 避免利益冲突\n\n(1) 在符合第 (2) 款的规定下，证券及期货事务监察委员会的任何成员或根据任何相关条文履行任何职能的任何人，均不得直接或间接为其自身利益或为任何其他人的利益，就任何证券、结构性产品、期货合约、杠杆式外汇交易合约，进行或促成进行任何交易，","key_entities":["Je"],"ecf_references":[],"word_count":3062,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:35:28"}