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Laws of Hong Kong SAR China

Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022

Text as of 2026-09-28

Public law and official guidance, published as research. Not legal, tax or financial advice.

About this law

Kind
Regulation
Number
Ord. No. 15 of 2022 (Gazette pages A784 onwards, bilingual)
Issued by
Legislative Council of the HKSAR
Country
Hong Kong SAR China

Where to read it

Text

The law's own text, section by section, as held. Each section has its own link.

  1. 53ZRG — Offence to fraudulently or recklessly induce

    53ZRG. Offence to fraudulently or recklessly induce others to invest in virtual assets ............................. A867 第 3 分部 ——登記冊以及申請及批給虛擬資產服務牌照 Division 3—Register and Application for, and Grant of, Licences for VA Service 第 1 次分部 ——登記冊 Subdivision 1—Register 53ZRH. 持牌人登記冊 ....................................................... A870 53ZRH. Register of licensed persons ................................... A871 53ZRI. 登記冊的核證複本 ............................................... A874 53ZRI. Certified copy of register ....................................... A875 第 2 次分部 ——適當人選的評定準則 Subdivision 2—Fit and Proper Test 53ZRJ. 適當人選的評定準則 ............................................ A876 53ZRJ. Fit and proper test ................................................. A877 第 3 次分部 ——持牌提供者 Subdivision 3—Licensed Provider 53ZRK. 申請及批給牌照 ................................................... A882 53ZRK. Application for and grant of licence ...................... A883 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A788 A789 條次 頁次 Section Page 第 4 次分部 ——持牌代表及對主事人的隸屬關係 Subdivision 4—Licensed Representative and Accreditation to 53ZRL. 申請擔任持牌代表 ............................................... A888 Principal 53ZRM. 隸屬關係的批准及轉移 ........................................ A892 53ZRL. Application to be licensed representatives ������������� A889

  2. 53ZRM — Approval and transfer of accreditation .................. A893

    53ZRM. Approval and transfer of accreditation .................. A893 第 5 次分部 ——更改獲發牌從事的虛擬資產服務 Subdivision 5—Variation of Licensed VA Service 53ZRN. 更改獲發牌從事的虛擬資產服務 ........................ A894 53ZRN. Variation of licensed VA service ............................ A895 第 4 分部 ——證監會的批准 Division 4—Approvals by Commission 53ZRO. 對負責人員的規定 ............................................... A896 53ZRO. Requirements for responsible officers ..................... A897 53ZRP. 負責人員的批准 ................................................... A898 53ZRP. Approval of responsible officers ............................ A899 53ZRQ. 最終擁有人 ........................................................... A900 53ZRQ. Ultimate ownership ................................................ A901 53ZRR. 存放紀錄或文件的處所 ........................................ A904 53ZRR. Premises for keeping records or documents ���������� A905 第 5 分部 ——第 3 及 4 分部的補充條文 Division 5—Provisions Supplementary to Divisions 3 and 4 53ZRS. 程序規定 ............................................................... A904 53ZRS. Procedural requirements ........................................ A905 第 6 分部 ——客户資產 Division 6—Client Assets 53ZRT. 由持牌提供者及其有聯繫實體持有的客户資 53ZRT. Client assets held by licensed providers and 產 .......................................................................... A908 their associated entities .......................................... A909 第 7 分部 ——持牌人關於具報、年費及周年申報表的責任 Division 7—Licensed Persons’ Obligations Regarding Notification, 53ZRU. 具報詳情改變 ....................................................... A910 Annual Fees and Annual Returns 53ZRV. 具報擬停業等 ....................................................... A912 53ZRU. Notification of change in particulars ..................... A911

  3. 53ZRV — Notification of intended cessation of business

    53ZRV. Notification of intended cessation of business etc. .......................................................................... A913 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A790 A791 條次 頁次 Section Page 53ZRW. 有聯繫實體：業務的具報及限制 ......................... A912 53ZRW. Associated entities: notification and restriction 53ZRX. 持牌代表終止為主事人行事：後果及通知 ......... A916 on business ............................................................. A913 53ZRY. 年費及周年申報表 ............................................... A918 53ZRX. Licensed representative ceasing to act for principal: consequences and notification ................ A917

  4. 53ZRY — Annual fee and annual return ................................ A919

    53ZRY. Annual fee and annual return ................................ A919 第 8 分部 ——持牌提供者及其有聯繫實體須呈交經審計帳目等 Division 8—Licensed Provider and its Associated Entities Required to 53ZRZ. 第 8 分部的釋義 .................................................... A920 Submit Audited Accounts etc. 53ZS. 須予審計實體須委任訂明核數師 ........................ A922 53ZRZ. Interpretation of Division 8 ................................... A921 53ZSA. 核數師的獲委任資格 ............................................ A924 53ZS. Auditable entity to appoint prescribed auditor ������ A923 53ZSB. 須予審計實體須具報財政年度 ............................ A924 53ZSA. Eligibility of auditor for appointment ................... A925 53ZSC. 須予審計實體須呈交經審計帳目等 ..................... A928 53ZSB. Auditable entity to notify financial year ................ A925 53ZSD. 須予審計實體的訂明核數師須呈報須報告事 53ZSC. Auditable entity to submit audited accounts 項等 ...................................................................... A932 etc. .......................................................................... A929 53ZSE. 須予審計實體須就擬更換訂明核數師作具報 ...... A936 53ZSD. Prescribed auditor of auditable entity to report on reportable matter etc. ............................. A933 53ZSF. 訂明核數師須就辭任作具報 ................................ A938

  5. 53ZSE — Auditable entity to notify proposed change of

    53ZSE. Auditable entity to notify proposed change of 53ZSG. 訂明核數師職位空缺須予填補 ............................ A940 prescribed auditor .................................................. A937 53ZSH. 證監會為須予審計實體委任核數師的權力 ......... A940

  6. 53ZSF — Prescribed auditor to notify resignation ................. A939

    53ZSF. Prescribed auditor to notify resignation ................. A939 53ZSI. 第 53ZSH 條核數師的權力 ................................... A944

  7. 53ZSG — Vacant office of prescribed auditor must be

    53ZSG. Vacant office of prescribed auditor must be filled ....................................................................... A941

  8. 53ZSH — Power of Commission to appoint auditor for

    53ZSH. Power of Commission to appoint auditor for auditable entity ...................................................... A941

  9. 53ZSI — Powers of section 53ZSH auditors ......................... A945

    53ZSI. Powers of section 53ZSH auditors ......................... A945 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A792 A793 條次 頁次 Section Page 53ZSJ. 不遵從第 53ZSH 條核數師要求的罪行 ............... A950 53ZSJ. Offences for non-compliance with section 53ZSK. 第 53ZSH 條核數師須向證監會提交報告 ............ A954 53ZSH auditor’s requirement ................................. A951 53ZSL. 銷毀、隱藏或更改帳目、紀錄或文件等的罪 53ZSK. Section 53ZSH auditor to report to 行 .......................................................................... A956 Commission ........................................................... A955 53ZSM. 關於訂明核數師與證監會的通訊的豁免 ............. A958 53ZSL. Offences to destroy, conceal, or alter accounts, records, or documents, etc. ..................................... A957 53ZSN. 《公司條例》的施行不受影響 ................................ A960

  10. 53ZSM — Immunity in respect of communication with

    53ZSM. Immunity in respect of communication with Commission by prescribed auditor ........................ A959

  11. 53ZSN — Operation of Companies Ordinance not

    53ZSN. Operation of Companies Ordinance not affected ................................................................... A961 第 9 分部 ——紀律、干預及其他權力 Division 9—Discipline, Intervention and Other Powers 第 1 次分部 ——紀律處分權力等 Subdivision 1—Disciplinary Powers etc. 53ZSO. 第 1 次分部的釋義 ................................................ A962 53ZSO. Interpretation of Subdivision 1 .............................. A963 53ZSP. 證監會的紀律處分行動 ........................................ A964 53ZSP. Disciplinary action by Commission ....................... A965 53ZSQ. 就持牌人作撤銷或暫時吊銷的其他情況 ............. A970 53ZSQ. Other circumstances for revocation or 53ZSR. 關於失當行為及適當人選的斷定 ........................ A978 suspension in respect of licensed persons etc. ������� A971 53ZSS. 施加罰款的指引 ................................................... A984 53ZSR. Determination concerning misconduct and fit and proper person .................................................. A979 53ZST. 登記施加罰款的命令 ............................................ A984

  12. 53ZSS — Guidelines for imposing pecuniary penalty ����������� A985

    53ZSS. Guidelines for imposing pecuniary penalty ����������� A985 53ZSU. 行 使 紀 律 處 分 權 力 或 第 53ZSQ 條 下 的 權 力 的程序規定 ........................................................... A986 53ZST. Registration of pecuniary penalty order ................ A985

  13. 53ZSU — Procedural requirements for exercising

    53ZSU. Procedural requirements for exercising disciplinary powers or powers under section 53ZSQ .................................................................... A987 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A794 A795 條次 頁次 Section Page 53ZSV. 關 於 行 使 紀 律 處 分 權 力 或 第 53ZSQ 條 下 的 53ZSV. General provisions relating to exercise of 權力的一般條文 ................................................... A988 disciplinary powers or powers under section 53ZSW. 儘管牌照或批准暫時吊銷，持牌人或負責人 53ZSQ .................................................................... A989 員仍以該身分負某些責任 .................................... A992 53ZSW. Licensed person or responsible officer remains subject to obligations as such, despite suspension of licence or approval .......................... A993 第 2 次分部 ——干預權力：限制業務或財產 Subdivision 2—Intervention Powers: Restrictions on Business or 53ZSX. 第 2 次分部的釋義 ................................................ A994 Property 53ZSY. 根據第 53ZSZ、53ZT 或 53ZTA 條施加禁止 53ZSX. Interpretation of Subdivision 2 .............................. A995 或要求的理由 ....................................................... A996 53ZSY. Grounds for imposing prohibition or 53ZSZ. 限制業務 ............................................................... A998 requirement under section 53ZSZ, 53ZT or 53ZTA .................................................................... A997 53ZT. 限制處理財產 ..................................................... A1000

  14. 53ZSZ — Restriction of business ........................................... A999

    53ZSZ. Restriction of business ........................................... A999 53ZTA. 保存財產 ............................................................. A1004

  15. 53ZT — Restriction on dealing with property ................... A1001

    53ZT. Restriction on dealing with property ................... A1001 53ZTB. 撤回、取代或更改禁止或要求 ........................... A1004

  16. 53ZTA — Maintenance of property ..................................... A1005

    53ZTA. Maintenance of property ..................................... A1005 53ZTC. 行使第 2 次分部權力 ——程序要求及對協議 的效力 ................................................................. A1008 53ZTB. Withdrawal, substitution or variation of prohibitions or requirements ................................ A1005 53ZTD. 施加禁止或要求的權力，不受牌照的撤銷或 暫時吊銷影響 ..................................................... A1014 53ZTC. Exercise of Subdivision 2 power—procedural requirements and effect on agreement .................. A1009

  17. 53ZTD — Power to impose prohibition or requirement

    53ZTD. Power to impose prohibition or requirement not affected by revocation or suspension of licence .................................................................. A1015 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A796 A797 條次 頁次 Section Page 53ZTE. 就禁止或要求不獲遵從，向原訟法庭提出申 53ZTE. Application to Court of First Instance 請 ........................................................................ A1020 relating to non-compliance with prohibition or requirement ..................................................... A1021 第 3 次分部 ——清盤令及其他命令 Subdivision 3—Winding Up and Other Orders 53ZTF. 清盤令 ................................................................. A1024 53ZTF. Winding up orders ............................................... A1025 53ZTG. 破產令 ................................................................. A1024 53ZTG. Bankruptcy orders ............................................... A1025 53ZTH. 禁制令及其他命令 ............................................. A1026 53ZTH. Injunctions and other orders ................................ A1027 第 10 分部 ——雜項條文 Division 10—Miscellaneous 53ZTI. 申請人須提供資料 ............................................. A1032 53ZTI. Applicant to provide information ........................ A1033 53ZTJ. 紀律處分行動的詳情須記入登記冊 ................... A1034 53ZTJ. Particulars of disciplinary actions to be 53ZTK. 第 5B 部事宜的守則或指引 ................................ A1036 entered on register ................................................ A1035 53ZTL. 第 5B 部事宜的規則 ........................................... A1040 53ZTK. Codes or guidelines on matters under Part 5B ���� A1037 53ZTM. 修訂附表 3B 至 3F .............................................. A1046 53ZTL. Rules on matters under Part 5B ........................... A1041 53ZTN. 證監會可寬免或退還費用 .................................. A1046 53ZTM. Amendment of Schedules 3B to 3F ..................... A1047 53ZTO. 在申請的相關情況下，作出虛假或具誤導性 53ZTN. Commission may waive or refund fees ................. A1047 的表述的罪行 ..................................................... A1048 53ZTO. Offence for making false or misleading 53ZTP. 如須根據本條例提供資料，提供虛假或具誤 representation in connection with application ���� A1049 導性資料的罪行 ................................................. A1050 53ZTP. Offence for providing false or misleading 53ZTQ. 在證監會職能的相關情況下，提供虛假或具 information, if information required under 誤導性的文件的罪行 .......................................... A1052 this Ordinance ...................................................... A1051

  18. 53ZTQ — Offence for providing false or misleading

    53ZTQ. Offence for providing false or misleading document, if document required in connection with Commission’s function ................................. A1053 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A798 A799 條次 頁次 Section Page 53ZTR. 禁止作出某些表述 ............................................. A1054 53ZTR. Certain representations prohibited ....................... A1055 53ZTS. 妨礙執行職能的人的罪行 .................................. A1056 53ZTS. Offence for obstructing person in performance 53ZTT. 檢控時限 ............................................................. A1058 of functions .......................................................... A1057 53ZTU. 證監會介入法律程序的權力 .............................. A1058 53ZTT. Time limitation for prosecution ........................... A1059 53ZTV. 證監會提出民事法律程序 .................................. A1062 53ZTU. Power of Commission to intervene in proceedings .......................................................... A1059 53ZTW. 利益衝突 ............................................................. A1062

  19. 53ZTV — Civil proceedings by Commission ........................ A1063

    53ZTV. Civil proceedings by Commission ........................ A1063 53ZTX. 關於證監會的紀錄或文件的證據 ...................... A1070

  20. 53ZTW — Conflict of interest ............................................... A1063

    53ZTW. Conflict of interest ............................................... A1063 53ZTY. 過渡條文 ............................................................. A1070

  21. 53ZTX — Evidence regarding Commission’s records or

    53ZTX. Evidence regarding Commission’s records or documents ............................................................ A1071

  22. 53ZTY — Transitional provisions ......................................... A1071

    53ZTY. Transitional provisions ......................................... A1071 第 5C 部 Part 5C 規管從事貴金屬及寶石交易 Regulation of Dealings in Precious Metals and Stones 第 1 分部 ——導言 Division 1—Preliminary 第 1 次分部 ——釋義及不適用的情況 Subdivision 1—Interpretation and Disapplication 53ZTZ. 第 5C 部的釋義 ................................................... A1070 53ZTZ. Interpretation of Part 5C ..................................... A1071 53ZU. 從事貴金屬及寶石交易 的涵義 .......................... A1082 53ZU. Meaning of dealing in precious metals and 53ZUA. 第 5C 部不適用的情況 ....................................... A1084 stones .................................................................... A1083

  23. 53ZUA — Disapplication of Part 5C .................................... A1085

    53ZUA. Disapplication of Part 5C .................................... A1085 第 2 次分部 ——轉授職能，貴金屬及寶石交易商註冊紀錄冊 Subdivision 2—Delegation of Functions and Register of Precious 53ZUB. 轉授職能 ............................................................. A1086 Metals and Stones Dealers

  24. 53ZUB — Delegation of functions ....................................... A1087

    53ZUB. Delegation of functions ....................................... A1087 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A800 A801 條次 頁次 Section Page 53ZUC. 關長須備存註冊紀錄冊 ...................................... A1088 53ZUC. Commissioner to maintain register ...................... A1089 53ZUD. 註冊紀錄冊的核證複本 ...................................... A1090 53ZUD. Certified copy of register ..................................... A1091 第 2 分部 ——對從事貴金屬及寶石交易的限制 Division 2—Restriction on Dealing in Precious Metals and Stones 53ZUE. 未經註冊而進行某些交易屬罪行 ...................... A1092 53ZUE. Offence of carrying out certain transaction without registration .............................................. A1093 第 3 分部 ——A 類註冊人：申請註冊、批予註冊、取消和暫時吊 Division 3—Category A Registrant: Application for, Grant, 銷註冊 Cancellation and Suspension of, Registration 53ZUF. 申請及批予註冊 ................................................. A1094 53ZUF. Application for and grant of registration ............. A1095 53ZUG. 註冊證明書及分行證明書 .................................. A1098 53ZUG. Certificate of registration and branch 53ZUH. 每年費用 ............................................................. A1100 certificates ............................................................ A1099 53ZUI. 修改註冊條件 ..................................................... A1100 53ZUH. Annual fee ............................................................ A1101 53ZUJ. 第 53ZUF 及 53ZUI 條的補充條文 .................... A1102 53ZUI. Amendment of conditions of registration ........... A1101 53ZUK. 註冊失效 ............................................................. A1104 53ZUJ. Provisions supplementary to sections 53ZUF and 53ZUI ........................................................... A1103 53ZUL. 取消或暫時吊銷註冊 .......................................... A1104

  25. 53ZUK — Cessation of registration ...................................... A1105

    53ZUK. Cessation of registration ...................................... A1105 53ZUM. 在取消或暫時吊銷註冊時適用的補充條文 ....... A1108

  26. 53ZUL — Cancellation or suspension of registration ........... A1105

    53ZUL. Cancellation or suspension of registration ........... A1105

  27. 53ZUM — Supplementary provisions on cancellation or

    53ZUM. Supplementary provisions on cancellation or suspension of registration .................................... A1109 第 4 分部 ——B 類註冊人 Division 4—Category B Registrant 第 1 次分部 ——申請註冊、批予註冊、註冊續期、取消和暫時吊 Subdivision 1—Application for, Grant, Renewal, Cancellation and 銷註冊 Suspension of, Registration 53ZUN. 適當人選的評定準則 .......................................... A1110 53ZUN. Fit and proper test ............................................... A1111 53ZUO. 申請及批予註冊 ................................................. A1114 53ZUO. Application for and grant of registration ............. A1115 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A802 A803 條次 頁次 Section Page 53ZUP. 註冊證明書及分行證明書 .................................. A1118 53ZUP. Certificate of registration and branch

  28. 53ZUQ

    53ZUQ. B 類註冊人的人的註冊續期 ............................... A1118 certificates ............................................................ A1119 53ZUR. 修改註冊條件 ..................................................... A1122 53ZUQ. Renewal of registration as Category B registrant .............................................................. A1119 53ZUS. 第 53ZUO、53ZUQ 及 53ZUR 條 的 補 充 條 文 ........................................................................ A1122 53ZUR. Amendment of conditions of registration ........... A1123 53ZUT. 註冊失效 ............................................................. A1126 53ZUS. Provisions supplementary to sections 53ZUO, 53ZUQ and 53ZUR ............................................. A1123 53ZUU. 取消或暫時吊銷註冊 .......................................... A1128

  29. 53ZUT — Cessation of registration ...................................... A1127

    53ZUT. Cessation of registration ...................................... A1127 53ZUV. 在取消或暫時吊銷註冊時適用的補充條文 ....... A1132

  30. 53ZUU — Cancellation or suspension of registration ........... A1129

    53ZUU. Cancellation or suspension of registration ........... A1129

  31. 53ZUV — Supplementary provisions on cancellation or

    53ZUV. Supplementary provisions on cancellation or suspension of registration .................................... A1133 第 2 次分部 ——關長的批准 Subdivision 2—Approvals by Commissioner 53ZUW. 成為 B 類註冊人的最終擁有人，須獲批准 ....... A1132 53ZUW. Approval required for becoming ultimate 53ZUX. 成為 B 類註冊人的合夥人，須獲批准 ............... A1134 owner of Category B registrant ........................... A1133 53ZUY. 成為 B 類註冊人的董事，須獲批准 ................... A1136 53ZUX. Approval required for becoming partner of Category B registrant ........................................... A1135 53ZUZ. 第 53ZUW、53ZUX 及 53ZUY 條 的 補 充 條 文 ........................................................................ A1136 53ZUY. Approval required for becoming director of Category B registrant ........................................... A1137

  32. 53ZUZ — Provisions supplementary to sections 53ZUW,

    53ZUZ. Provisions supplementary to sections 53ZUW, 53ZUX and 53ZUY ............................................. A1137 第 5 分部 ——註冊人有責任展示證明書和作出具報 Division 5—Registrant’s Duty to Display Certificate and Give 53ZV. 展示註冊證明書 ................................................. A1138 Notifications

  33. 53ZV — Display of certificate of registration .................... A1139

    53ZV. Display of certificate of registration .................... A1139 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A804 A805 條次 頁次 Section Page 53ZVA. 具報詳情改變 ..................................................... A1140 53ZVA. Notification of changes of particulars ................. A1141 53ZVB. 具報擬停業等 ..................................................... A1142 53ZVB. Notification of intended cessation of business 53ZVC. 如何作出具報 ..................................................... A1146 etc. ........................................................................ A1143

  34. 53ZVC — How to give notifications ..................................... A1147

    53ZVC. How to give notifications ..................................... A1147 第 6 分部 ——紀律處分權力 Division 6—Disciplinary Powers 53ZVD. 第 6 分部的釋義 .................................................. A1146 53ZVD. Interpretation of Division 6 ................................. A1147 53ZVE. 針對 A 類註冊人採取的紀律處分行動 .............. A1146 53ZVE. Disciplinary action against Category A 53ZVF. 針對 B 類註冊人採取的紀律處分行動 .............. A1148 registrant .............................................................. A1147 53ZVG. 關於行使紀律處分權力的通知 .......................... A1152 53ZVF. Disciplinary action against Category B registrant .............................................................. A1149 53ZVH. 對 B 類註冊人施加罰款的指引 .......................... A1152

  35. 53ZVG — Notice regarding exercise of disciplinary

    53ZVG. Notice regarding exercise of disciplinary 53ZVI. 登記施加罰款的命令 .......................................... A1154 powers .................................................................. A1153 53ZVJ. 紀律處分權力就 B 類註冊人的董事適用的情

  36. 53ZVH — Guidelines for imposing pecuniary penalty on

    53ZVH. Guidelines for imposing pecuniary penalty on 況 ........................................................................ A1156 Category B registrant ........................................... A1153

  37. 53ZVI — Registration of pecuniary penalty order .............. A1155

    53ZVI. Registration of pecuniary penalty order .............. A1155

  38. 53ZVJ — Application of disciplinary powers in respect

    53ZVJ. Application of disciplinary powers in respect of directors of Category B registrants ................. A1157 第 7 分部 ——非香港貴金屬及寶石交易商 Division 7—Non-Hong Kong Precious Metals and Stones Dealers 53ZVK. 非香港貴金屬及寶石交易商，須將現金交易 53ZVK. Non-Hong Kong precious metals and stones 報告存檔 ............................................................. A1156 dealer must file cash transaction report ............... A1157 第 8 分部 ——強制執行 Division 8—Enforcement 53ZVL. 關長可委任獲授權人員 ...................................... A1158 53ZVL. Commissioner may appoint authorized officers .................................................................. A1159 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A806 A807 條次 頁次 Section Page 53ZVM. 裁判官發出進入處所的手令 .............................. A1160 53ZVM. Magistrate’s warrant to enter premises ................ A1161 53ZVN. 要求交出可閱讀形式材料的權力 ...................... A1162 53ZVN. Power to require production of material in 53ZVO. 獲授權人員拘捕及搜查等的權力 ...................... A1166 legible form .......................................................... A1163

  39. 53ZVO — Authorized officer’s power to arrest and

    53ZVO. Authorized officer’s power to arrest and search etc. ............................................................ A1167 第 9 分部 ——雜項條文 Division 9—Miscellaneous 53ZVP. 本條例如何適用於小販 ...................................... A1170 53ZVP. How this Ordinance applies to hawker ................ A1171 53ZVQ. 修訂附表 3H 至 3K ............................................. A1172 53ZVQ. Amendment of Schedules 3H to 3K .................... A1173 53ZVR. 關長可寬免費用 ................................................. A1172 53ZVR. Commissioner may waive fee ............................... A1173 53ZVS. 規例 .................................................................... A1172 53ZVS. Regulations .......................................................... A1173 53ZVT. 提供虛假或具誤導性資料屬罪行 ...................... A1172 53ZVT. Offence of providing false or misleading 53ZVU. 檢控時限 ............................................................. A1176 information .......................................................... A1173 53ZW. 原有交易商的過渡安排 ...................................... A1176 53ZVU. Time limit for prosecution ................................... A1177 5. 加入附表 3B 至 3K ............................................................... A1182 53ZW. Transitional arrangements for existing dealer ����� A1177 附表 3B 虛擬資產服務 ............................................ A1182 5. Schedules 3B to 3K added ..................................................... A1183 附表 3C 關於第 5B 部的費用 .................................. A1184 Schedule 3B VA Service ................................................... A1183 附表 3D 有聯繫實體：訂明詳情 ............................. A1194 Schedule 3C Fees in relation to Part 5B .......................... A1185 附表 3E 周年申報表：資料 ..................................... A1198 Schedule 3D Associated Entities—Prescribed Particulars ................................................... A1195 附表 3F 須予審計實體：訂明財務報表及其他 訂明文件 .................................................... A1202 Schedule 3E Annual Return—Information ...................... A1199

  40. Schedule 3F Auditable Entities—Prescribed Financial — Auditable Entities—Prescribed Financial

    Schedule 3F Auditable Entities—Prescribed Financial Statements and Other Prescribed Documents .................................................. A1203 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A808 A809 條次 頁次 Section Page 附表 3G 《2022 年打擊洗錢及恐怖分子資金籌集 Schedule 3G Transitional Arrangements for Anti- ( 修訂 ) 條例》的過渡安排 ......................... A1212 Money Laundering and Counter- 附表 3H 就指明現金交易 的定義指明的款額 .......... A1260 Terrorist Financing (Amendment) Ordinance 2022 ........................................... A1213 附表 3I 就指明交易 的定義指明的款額 ................. A1262

  41. Schedule 3H Amount Specified for Definition of — Amount Specified for Definition of

    Schedule 3H Amount Specified for Definition of 附表 3J 現金交易報告中須提供的資料 ................. A1262 specified cash transaction ............................. A1261 附表 3K 關乎第 5C 部的費用 .................................. A1270

  42. Schedule 3I Amount Specified for Definition of — Amount Specified for Definition of

    Schedule 3I Amount Specified for Definition of specified transaction ..................................... A1263

  43. Schedule 3J Information to be Provided in Cash — Information to be Provided in Cash

    Schedule 3J Information to be Provided in Cash Transaction Report ..................................... A1263

  44. Schedule 3K Fees in relation to Part 5C .......................... A1 — Fees in relation to Part 5C .......................... A1271

    Schedule 3K Fees in relation to Part 5C .......................... A1271 第 2 分部 ——就客户作盡職審查的規定及雜項事宜 Division 2—Customer Due Diligence Requirements and Miscellaneous Matters 6. 修訂第 5 條 ( 附表 2 就金融機構而具有效力 ) .................... A1274 6. Section 5 amended (Schedule 2 has effect with respect to 7. 修 訂 第 5A 條 ( 附 表 2 就 指 定 非 金 融 業 人 士 而 具 有 效 financial institutions) ............................................................. A1275 力 ) ........................................................................................ A1276 7. Section 5A amended (Schedule 2 has effect in relation to 8. 加入第 3 部第 1 分部標題 .................................................... A1278 DNFBPs) ............................................................................... A1277 8. Part 3, Division 1 heading added .......................................... A1279 第 1 分部 ——導言 Division 1—Preliminary 9. 修訂第 8 條 ( 第 3 部的釋義 ) ............................................... A1278 9. Section 8 amended (interpretation of Part 3) ........................ A1279 10. 加入第 3 部第 2 分部標題 .................................................... A1282 10. Part 3, Division 2 heading added .......................................... A1283 第 2 分部 ——進入、視察和調查的權力 Division 2—Powers to Enter, Inspect and Investigate 11. 修訂第 9 條 ( 進入業務處所等作例行視察的權力 ) ............ A1282 11. Section 9 amended (power to enter business premises etc. for routine inspection) ........................................................... A1283 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A810 A811 條次 頁次 Section Page 12. 加入第 9A 條 ........................................................................ A1296 12. Section 9A added ................................................................... A1297 9A. 其他監管當局根據第 9 條援引權力時 ............... A1296 9A. When power under section 9 invoked by other 13. 修訂第 10 條 ( 不遵從根據第 9 條施加的要求的罪行 ) ....... A1298 regulatory authority ............................................. A1297 14. 修訂第 11 條 ( 有關當局可委任調查員 ) .............................. A1300 13. Section 10 amended (offences for non-compliance with requirements imposed under section 9) ................................. A1299 15. 修訂第 12 條 ( 調查員要求交出紀錄或文件等的權力 ) ....... A1304 14. Section 11 amended (relevant authorities may appoint 16. 加入第 12A 條 ...................................................................... A1306 investigators) .......................................................................... A1301 12A. 其他監管當局根據第 12 條援引權力時 ............. A1306 15. Section 12 amended (powers of investigators to require 17. 修訂第 13 條 ( 不遵從根據第 12 條施加的要求的罪行 ) ..... A1308 production of records or documents etc.) ............................. A1305 18. 加入第 3 部第 3 分部及第 4 分部標題 ................................. A1312 16. Section 12A added ................................................................. A1307 12A. When power under section 12 invoked by other regulatory authority .................................... A1307 17. Section 13 amended (offences for non-compliance with requirements imposed under section 12) ................................ A1309 18. Part 3, Division 3 and Division 4 heading added .................. A1313 第 3 分部 ——關於虛擬資產活動對非香港規管者的規管協助 Division 3—Regulatory Assistance to Non-Hong Kong Regulator 13A. 第 3 分部的釋義 .................................................. A1312 Concerning VA Activities 13B. 國際執法合作 ..................................................... A1312 13A. Interpretation of Division 3 ................................. A1313 13C. 國際監管合作 ..................................................... A1318 13B. International enforcement cooperation ................ A1313 13D. 關乎規管者的規定 ............................................. A1326 13C. International supervisory cooperation ................. A1319 13E. 投資者及公眾利益條件 ...................................... A1328 13D. Regulator-related requirements ............................ A1327 13E. Investors’ and public interest condition ............... A1329 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A812 A813 條次 頁次 Section Page 第 4 分部 ——雜項強制執行事宜 Division 4—Miscellaneous Enforcement Matters 19. 修訂第 15 條 ( 導致入罪的證據在法律程序中的使用 ) ....... A1330 19. Section 15 amended (use of incriminating evidence in 20. 修訂第 18 條 ( 交出在資訊系統等內的資料 ) ...................... A1330 proceedings) ........................................................................... A1331 21. 加入第 20A 條 ...................................................................... A1330 20. Section 18 amended (production of information in information systems etc.) ....................................................... A1331 20A. 第 4 部不適用於持牌虛擬資產服務提供者 ....... A1332 21. Section 20A added ................................................................. A1331 22. 修訂第 29 條 ( 對經營金錢服務的限制 ) .............................. A1332 20A. Part 4 does not apply to licensed VAS 23. 修訂第 48 條 ( 獲授權人員拘捕及搜查等的權力 ) .............. A1332 provider ................................................................ A1333 24. 廢除第 49 條 ( 保密 ) ............................................................ A1334 22. Section 29 amended (restriction on operating money 25. 修訂第 53A 條 ( 第 5A 部的釋義 ) ........................................ A1334 service) ................................................................................... A1333 26. 廢除第 5A 部第 7 分部 ( 保密的規定 ) ................................. A1334 23. Section 48 amended (authorized officer’s power to arrest 27. 修訂第 54 條 ( 第 6 部的釋義 ) ............................................. A1334 and search, etc.) ..................................................................... A1333 28. 修訂第 62 條 ( 強迫提供的會導致入罪的證據的使用 ) ....... A1340 24. Section 49 repealed (preservation of secrecy) ........................ A1335 29. 加入第 6A 部 ........................................................................ A1342 25. Section 53A amended (interpretation of Part 5A) ................. A1335 26. Part 5A, Division 7 repealed (confidentiality requirements) ......................................................................... A1335 27. Section 54 amended (interpretation of Part 6) ...................... A1335 28. Section 62 amended (use of incriminating evidence given under compulsion) ................................................................. A1341 29. Part 6A added ........................................................................ A1343 第 6A 部 Part 6A 保密的規定 Confidentiality Requirements 76A. 第 6A 部的釋義 ................................................... A1342 76A. Interpretation of Part 6A ..................................... A1343 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 Ord. No. 15 of 2022 A814 A815 條次 頁次 Section Page 76B. 保密 .................................................................... A1344 76B. Confidentiality ..................................................... A1345 76C. 指明人士可作獲准許的披露 .............................. A1346 76C. Permitted disclosures by specified person ............ A1347 76D. 有關當局可作獲准許的披露 .............................. A1348 76D. Permitted disclosures by relevant authority �������� A1349 76E. 受視察、調查或被行使紀律處分行動的人， 76E. Person subject to inspection, investigation or 不得披露資料 ..................................................... A1358 disciplinary action must not disclose 76F. 根據第 76C、76D 或 76E 條披露的資料的收 information .......................................................... A1359 取人，不得向另一人披露該資料 ....................... A1362 76F. Recipient of information disclosed under 76G. 其他成文法則中關於披露資料的條文，不受 section 76C, 76D or 76E must not disclose it 影響 .................................................................... A1368 onwards ................................................................ A1363 30. 修訂第 77 條 ( 行政長官會同行政會議訂立規例 ) .............. A1370 76G. Other enactments on disclosure of information not affected ...................................... A1369 31. 修訂第 80 條 ( 有關當局發出通知 ) ..................................... A1370 30. Section 77 amended (regulations by Chief Executive in 32. 修訂附表 1 ( 釋義 ) ............................................................... A1374 Council) ................................................................................. A1371 33. 修訂附表 2 ( 關於就客户作盡職審查及備存紀錄的規 31. Section 80 amended (giving of notices by relevant 定 ) ........................................................................................ A1380 authorities) ............................................................................. A1371 32. Schedule 1 amended (interpretation) ..................................... A1375 33. Schedule 2 amended (requirements relating to customer due diligence and record-keeping) ......................................... A1381 第3部 Part 3 對《證券及期貨條例》( 第 571 章 ) 的相關修訂 Related Amendment to Securities and Futures Ordinance (Cap. 571) 34. 修訂第 378 條 ( 保密等 ) ........................................................ A1404 34. Section 378 amended (preservation of secrecy, etc.)............... A1405 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第1部 Part 1 Ord. No. 15 of 2022 A816 第1條 Section 1 A817 香港特別行政區 HONG KONG SPECIAL ADMINISTRATIVE REGION 2022 年第 15 號條例 Ordinance No. 15 of 2022 印章位置 L.S. 行政長官 John KC LEE 李家超 Chief Executive 2022 年 12 月 15 日 15 December 2022 本條例旨在修訂《打擊洗錢及恐怖分子資金籌集條例》，以使就客户 An Ordinance to amend the Anti-Money Laundering and Counter- 作盡職審查及備存紀錄的規定，適用於虛擬資產服務提供者， Terrorist Financing Ordinance to apply customer due diligence 並在貴金屬及寶石交易商進行某些交易時，適用於該等交易 and record-keeping requirements to virtual asset service 商；為上述目的，就該等提供者設立一套規管制度，並就該 providers and to dealers of precious metals and precious stones 等交易商設立另一套規管制度；以及作出相關及雜項修訂。 when they conduct certain transactions; for that purpose to establish a regulatory regime for such service providers and another regulatory regime for such dealers; and to make related and miscellaneous amendments. [2023 年 4 月 1 日 ] [1 April 2023] 由立法會制定。 Enacted by the Legislative Council. 第1部 Part 1 導言 Preliminary 1. 簡稱及生效日期 1. Short title and commencement (1) 本條例可引稱為《2022 年打擊洗錢及恐怖分子資金籌集 (1) This Ordinance may be cited as the Anti-Money ( 修訂 ) 條例》。 Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第1部 Part 1 Ord. No. 15 of 2022 A818 第2條 Section 2 A819 (2) 除第 (3) 款另有規定外，本條例自 2023 年 4 月 1 日起實施。 (2) Subject to subsection (3), this Ordinance comes into (3) 以下條文自 2023 年 6 月 1 日起實施 —— operation on 1 April 2023. (a) 第 4 條 ( 但 限 於 該 條 關 乎 新 訂 第 53ZRD、53ZRE (3) The following provisions come into operation on 1 June 及 53ZTY 條的範圍內 )； 2023— (b) 第 5 條 ( 但限於該條關乎新訂附表 3G 的範圍內 )； (a) section 4 (in so far as it relates to the new sections 53ZRD, 53ZRE and 53ZTY); (c) 第 6 條； (b) section 5 (in so far as it relates to the new Schedule (d) 第 27(2) 條 ( 但限於該條關乎指明當局 的定義的新 3G); 訂 (f) 段的範圍內 )； (c) section 6; (e) 第 33(2)、(3) 及 (4) 條； (d) section 27(2) (in so far as it relates to the new (f) 第 33(5) 條 ( 但限於該條關乎新訂先前客户 的定義 paragraph (f) of the definition of specified authority); 的 (b) 段的範圍內 )； (e) section 33(2), (3) and (4); (g) 第 33 ( 8 ) 、 ( 10 ) 、 ( 11 ) 、 ( 12 ) 、 ( 13 ) 、 ( 15 ) 、 ( 16 ) 、 ( 17 ) 、 ( 18 ) 、 ( 19 ) 、 ( 20 ) 、 ( 21 ) 、 ( 22 ) 、 ( 23 ) 、 ( 26 ) 、 (f) section 33(5) (in so far as it relates to paragraph (b) (27) 及 (28) 條。 of the new definition of pre-existing customer); (g) section 33(8), (10), (11), (12), (13), (15), (16), (17), (18), (19), (20), (21), (22), (23), (26), (27) and (28). 2. 修訂成文法則 2. Enactments amended 第 2 及 3 部指明的成文法則現予修訂，修訂方式列於該兩部。 The enactments specified in Parts 2 and 3 are amended as set out in those Parts. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A820 第3條 Section 3 A821 第2部 Part 2 修訂《打擊洗錢及恐怖分子資金籌集條例》( 第 615 章 ) Amendments to Anti-Money Laundering and Counter- Terrorist Financing Ordinance (Cap. 615) 第 1 分部 ——設立新規管制度 Division 1—Establishment of New Regulatory Regimes 3. 修訂詳題 3. Long title amended 詳題，在 “設立” 之前 —— The long title, after “company service providers;”— 加入 Add “就規管涉及虛擬資產的活動及虛擬資產服務提供者及 “to provide for the regulation of activities involving 其代表的領牌事宜，訂定條文；就規管從事貴金屬及寶 virtual assets and the licensing of virtual asset service 石交易及貴金屬及寶石交易商的註冊事宜，訂定條文；”。 providers and their representatives; to provide for the regulation of dealings in precious metals and stones and the registration of dealers in precious metals and stones;”. 4. 加入第 5B 及 5C 部 4. Parts 5B and 5C added 在第 5A 部之後 —— After Part 5A— 加入 Add “第 5B 部 “Part 5B 規管涉及虛擬資產的活動 Regulation of Activities Involving Virtual Assets 第 1 分部 ——釋義 Division 1—Interpretation 53ZR. 第 5B 部的釋義 53ZR. Interpretation of Part 5B 在本部中 —— In this Part— 公眾 、大眾 (public) 指香港的公眾，並包括任何一類公 associated entity (有聯繫實體), in relation to a licensed 眾人士； provider, means a company as defined by section 2(1) of the Companies Ordinance (Cap. 622)— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A822 第4條 Section 4 A823 主事人 (principal) 就某持牌代表而言，指該代表所隸屬 (a) that is a wholly owned subsidiary of the licensed 的持牌提供者； provider; and 全 資 附 屬 公 司 (wholly owned subsidiary) ——參 閱 第 (b) that receives or holds, or is to receive or hold, in 53ZRC 條； Hong Kong client assets of the licensed 有限用途數碼代幣 (limited purpose digital token) 指 —— provider; (a) 客户酬報或獎賞積分； auditor (核數師) means a certified public accountant (practising) as defined by section 2(1) of the (b) 遊戲用資產；或 Accounting and Financial Reporting Council (c) 任何符合以下說明的數碼形式價值 —— Ordinance (Cap. 588); (i) 類似客户酬報或獎賞積分或遊戲用資產； client (客户) means a person for whom a licensed provider 及 provides a service that constitutes a VA service; (ii) 按 其 發 行 人 的 用 意，該 數 碼 形 式 價 值 不 client asset (客户資產) means any client virtual asset or 可轉換為金錢或獲得公眾接受的另一交 client money; 易媒介； client money (客户款項) means any money received or 有連繫法團 (related corporation) ——參閱第 53ZRC 條； held by or on behalf of a licensed provider or an 有聯繫實體 (associated entity) 就某持牌提供者而言，指 associated entity of a licensed provider— 符 合 以 下 說 明 的、《公 司 條 例》( 第 622 章 ) 第 2(1) (a) that is so received or held on behalf of a client 條所界定的公司 —— of the licensed provider; (a) 屬該持牌提供者的全資附屬公司；及 (b) in which a client of the licensed provider has a (b) 在 ( 或將要在 ) 香港收取或持有該持牌提供者 legal or equitable interest; or 的客户資產； (c) that is any accretion to the money referred to in paragraph (a) or (b), whether as capital or income; client virtual asset (客户虛擬資產) means any virtual asset received or held by or on behalf of a licensed provider or an associated entity of a licensed provider— (a) that is so received or held on behalf of a client of the licensed provider; or (b) in which a client of the licensed provider has a legal or equitable interest; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A824 第4條 Section 4 A825 行為 (conduct) 包括任何作為或不作為，以及任何一連 conduct (行為) includes any act or omission, and any 串的作為或不作為； series of acts or omissions; 投 資 大 眾 利 益 (interest of the investing public) 在 考 慮 任 customer loyalty or reward point (客户酬報或獎賞積分) 何利益即屬有損公眾利益或相當可能有損公眾利益 means any digital representation of value (by 的情況下，不包括該利益； whatever name called) that satisfies all of the 受規管職能 (regulated function) ——參閱第 53ZRB 條； following conditions— 附屬公司 (subsidiary) ——參閱第 53ZRC 條； (a) it is not denominated in any currency; 客户 (client) 的涵義如下：凡持牌提供者向某人提供服 (b) it is issued as part of a scheme, the dominant 務，而該項服務構成虛擬資產服務，該人即屬客户； purpose of which is to promote the purchase of goods, or the use of services, provided by its 客户款項 (client money) 指由 ( 或代表 ) 某持牌提供者或 issuer or any merchant specified by its issuer; 其 有 聯 繫 實 體 收 取 或 持 有 的、符 合 以 下 說 明 的 款 項 —— (c) it is issued to a person on the purchase of goods, or the use of services, provided by its (a) 是代表該持牌提供者的客户而如此收取或持有 issuer or any merchant specified by its issuer; 的； (d) it may only be used by the person for the (b) 該持牌提供者的客户，擁有該款項的法律上或 payment or part payment of, or in exchange for, 衡平法上的權益；或 goods or services (or both) provided by its (c) 屬對 (a) 或 (b) 段提述的款項增益的款項 ( 不論 issuer or any merchant specified by its issuer; 屬資本或收入形式 )； director (董事) includes any person occupying the position of director (by whatever name called) and a shadow director; executive director (執行董事), in relation to a licensed provider, means a director of the licensed provider who actively participates in, or is responsible for directly supervising, the business of providing a VA service of the licensed provider; futures contract (期貨合約) has the meaning given by section 1 of Part 1 of Schedule 1 to the Securities and Futures Ordinance (Cap. 571); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A826 第4條 Section 4 A827 客户虛擬資產 (client virtual asset) 指由 ( 或代表 ) 某持牌 hold (持有) has the meaning given by section 1 of Part 1 提供者或其有聯繫實體收取或持有的、符合以下說 of Schedule 1 to the Securities and Futures 明的虛擬資產 —— Ordinance (Cap. 571); (a) 是代表該持牌提供者的客户而如此收取或持有 holding company (控權公司), in relation to a corporation, 的；或 means any other corporation of which it is a (b) 該持牌提供者的客户，擁有該項虛擬資產的法 subsidiary; 律上或衡平法上的權益； information (資訊、資料) includes data, text, images, 客户資產 (client asset) 指客户虛擬資產或客户款項； sound codes, computer programmes, software and databases, and any combination of them; 客 户 酬 報 或 獎 賞 積 分 (customer loyalty or reward point) 指任何符合以下所有條件的數碼形式價值 ( 不論實 in-game asset (遊戲用資產) means any digital 際如何稱述 ) —— representation of value that— (a) 不是以任何貨幣為單位； (a) is purchased or otherwise acquired by a person; (b) 作為某計劃的一部分而發行，該計劃的主要目 (b) is not denominated in any currency; 的，是推廣貨品的購買或服務的使用，而該等 (c) is issued as part of a game; and 貨品或服務，是由有關數碼形式價值的發行人 (d) may only— 或其指明的商户提供的； (i) be used by the person to pay or in (c) 在某人購買貨品或使用服務時發出予該人，而 exchange for virtual objects or virtual 該等貨品或服務，是由有關數碼形式價值的發 services in the game; 行人或其指明的商户提供的； (ii) be used by the person to pay or in (d) 只可由該人用於為有關數碼形式價值的發行人 exchange for any similar thing within or in 或其指明的商户所提供的貨品或服務 ( 或兩者 ) relation to the game; or 作付款或部分付款，或用於換取該等貨品或服 務 ( 或兩者 )； (iii) be used by the person to pay or in exchange for any similar thing that is part 持 有 (hold) 具 有《證 券 及 期 貨 條 例》( 第 571 章 ) 附 表 1 of the game; 第 1 部第 1 條所給予的涵義； interest of the investing public (投資大眾利益) does not 持牌人 (licensed person) 指持牌提供者或持牌代表； include any interest the taking into consideration of which is, or is likely to be, contrary to the public interest; licensed person (持牌人) means a licensed provider or a licensed representative; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A828 第4條 Section 4 A829 持牌代表 (licensed representative) 指根據第 53ZRL 條獲 licensed provider (持牌提供者) means a corporation that is 批給牌照的個人； granted a licence under section 53ZRK; 持牌提供者 (licensed provider) 指根據第 53ZRK 條獲批 licensed representative (持牌代表) means an individual 給牌照的法團； who is granted a licence under section 53ZRL; 指明方式 (specified manner) 除在第 53ZSZ 或 53ZT 條或 limited purpose digital token (有限用途數碼代幣) means— 附表 3G 第 15 條外，指證監會指明的格式、形式及 (a) a customer loyalty or reward point; 方式； (b) an in-game asset; or 指明規定 (specified requirement) 指 —— (c) any digital representation of value that— (a) 本條例任何條文； (i) is similar to a customer loyalty or reward (b) 根據本條例任何條文公布的守則或指引中的任 point or an in-game asset; and 何條文； (ii) is not intended by its issuer to be (c) 根據或依據本條例任何條文給予或施加的任何 convertible into money or another medium 通知、禁止、規定或要求； of exchange accepted by the public; (d) 證監會根據或依據本條例任何條文施加的任何 officer (高級人員)— 牌照條件；或 (a) in relation to a corporation, means a director, (e) 證監會根據或依據本條例任何條文施加的任何 manager or secretary of, or any other person 其他條件； involved in the management of, the corporation; 訂 明 費 用 (prescribed fee) 就 附 表 3C 第 2 欄 指 明 的 事 宜 or 而言，指在該附表第 3 欄與該事宜相對之處指明的 (b) in relation to an unincorporated body, means 費用； any member of the governing body of the 負責人員 (responsible officer) 就獲發牌提供任何虛擬資 unincorporated body; 產 服 務 的 持 牌 提 供 者 而 言，指 獲 證 監 會 根 據 第 possession (管有), in relation to any matter, includes 53ZRP 條，就該項虛擬資產服務或其部分批准擔任 custody, control and power of or over the matter; 該持牌提供者的負責人員的個人； prescribed fee (訂明費用), in relation to a matter specified 核數師 (auditor) 指《會計及財務匯報局條例》( 第 588 章 ) in column 2 of Schedule 3C, means the fee specified 第 2(1) 條所界定的執業會計師； in column 3 of that Schedule opposite the matter; principal (主事人), in relation to a licensed representative, means the licensed provider to which the representative is accredited; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A830 第4條 Section 4 A831 高級人員 (officer) —— public (公眾、大眾) means the public of Hong Kong, and (a) 就某法團而言，指其董事、經理或秘書，或其 includes any class of the public; 他參與該法團管理的人；或 regulated function (受規管職能)—see section 53ZRB; (b) 就 不 是 法 團 的 團 體 而 言，指 其 管 治 團 體 的 成 related corporation (有連繫法團)—see section 53ZRC; 員； responsible officer (負責人員), in relation to a licensed 執 行 董 事 (executive director) 的 涵 義 如 下：凡 某 持 牌 提 provider licensed to provide any VA service, means 供者的某董事積極參與該持牌提供者提供虛擬資產 an individual approved by the Commission as a 服務的業務，或負責直接監管該項業務，該董事即 responsible officer of the licensed provider under 屬該持牌提供者的執行董事； section 53ZRP in relation to the VA service or a part 控 權 公 司 (holding company) 就 某 法 團 而 言，指 以 該 法 of the VA service; 團為附屬公司的其他法團； rules (規則), except in a reference to the Rules of the High 規則 (rules) 指根據第 53ZTL 條訂立的規則 ( 提述《高等 Court (Cap. 4 sub. leg. A), means the rules made 法院規則》( 第 4 章，附屬法例 A) 時除外 )； under section 53ZTL; 最 終 擁 有 人 (ultimate owner) 就 某 法 團 而 言，指 符 合 以 securities (證券) has the meaning given by section 1 of 下說明的個人 —— Part 1 of Schedule 1 to the Securities and Futures Ordinance (Cap. 571); (a) 直接或間接地擁有或控制 ( 包括透過信託或持 票人股份持有 ) 該法團已發行股本的 25% 以上； shadow director (幕後董事) means a person in accordance with whose directions or instructions the directors of (b) 直接或間接地有權行使該法團的成員大會上的 a corporation are accustomed or obliged to act, but 投 票 權 的 25% 以 上，或 支 配 25% 以 上 的 投 票 a person is not to be regarded as a shadow director 權的行使；或 only because of the fact that the directors act on (c) 行使對該法團的管理的最終控制權； advice given by the person in a professional capacity; 期 貨 合 約 (futures contract) 具 有《證 券 及 期 貨 條 例》( 第 specified manner (指明方式), except in section 53ZSZ or 571 章 ) 附表 1 第 1 部第 1 條所給予的涵義； 53ZT or section 15 of Schedule 3G, means the form 虛擬資產 (VA, virtual asset) ——參閱第 53ZRA 條； and way specified by the Commission; 虛擬資產服務 (VA service) 指附表 3B 指明的任何服務； specified requirement (指明規定) means— (a) any provision of this Ordinance; (b) any provision in any code or guideline published under any provision of this Ordinance; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A832 第4條 Section 4 A833 董事 (director) 包括任何擔任董事職位的人 ( 不論職稱為 (c) any notice, prohibition or requirement given or 何 )，以及幕後董事； imposed under or pursuant to any provision of 資訊 、資料 (information) 包括數據、文字、影像、聲音 this Ordinance; 編碼、電腦程式、軟件及數據庫，以及上述各項的 (d) any conditions of licence imposed by the 任何組合； Commission under or pursuant to any provision 遊戲用資產 (in-game asset) 指任何符合以下說明的數碼 of this Ordinance; or 形式價值 —— (e) any other condition imposed by the Commission (a) 由某人購買或以其他方式取得； under or pursuant to any provision of this Ordinance; (b) 不是以任何貨幣為單位； subsidiary (附屬公司)—see section 53ZRC; (c) 作為遊戲的一部分而發行；及 ultimate owner (最終擁有人), in relation to a corporation, (d) 只可 —— means an individual who— (i) 由該人用於為該遊戲中的虛擬物件或虛 (a) owns or controls, directly or indirectly, including 擬 服 務 作 付 款，或 用 於 換 取 該 等 物 件 或 through a trust or bearer share holding, more 服務； than 25% of the issued share capital of the (ii) 由該人用於為該遊戲內或關於該遊戲的 corporation; 任 何 類 似 事 物 作 付 款，或 用 於 換 取 該 等 (b) is, directly or indirectly, entitled to exercise or 事物；或 control the exercise of more than 25% of the (iii) 由該人用於為屬該遊戲一部分的任何類 voting rights at general meetings of the 似事物作付款，或用於換取該等事物； corporation; or 幕後董事 (shadow director) 在法團董事慣於或有義務按 (c) exercises ultimate control over the management 照某人的指示或指令行事的情況下，指該人，但如 of the corporation; 某人以專業身分提供意見而董事按該等意見行事， VA or virtual asset (虛擬資產)—see section 53ZRA; 則該人不得僅因此而視為幕後董事； VA service (虛擬資產服務) means any of the services 管有 (possession) 就 任 何 事 物 而 言，包 括 保 管 和 控 制 該 specified in Schedule 3B; 事物，以及對該事物具有權力； wholly owned subsidiary (全資附屬公司)—see section 證 券 (securities) 具 有《證 券 及 期 貨 條 例》( 第 571 章 ) 附 53ZRC. 表 1 第 1 部第 1 條所給予的涵義。 53ZRA. 虛擬資產 的涵義 53ZRA. Meaning of VA or virtual asset (1) 在本條例中 —— (1) In this Ordinance— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A834 第4條 Section 4 A835 虛 擬 資 產 (VA, virtual asset) 除 第 (2) 款 另 有 規 定 外， VA or virtual asset (虛擬資產), subject to subsection (2), 指 —— means— (a) 符合以下說明的加密保護數碼形式價值 —— (a) a cryptographically secured digital (i) 以計算單位或經濟價值的儲存形式表述； representation of value that— (ii) 符合以下其中一項 —— (i) is expressed as a unit of account or a store of economic value; (A) 作為或擬作為公眾接受的交易媒介， 用於一個或多於一個以下目的 —— (ii) either— (I) 為貨品或服務付款； (A) is used, or is intended to be used, as a medium of exchange accepted by the (II) 清償債務； public, for any one or more of the (III) 投資；或 following purposes— (B) 提 供 權 利、資 格 或 途 徑，對 以 下 事 (I) payment for goods or services; 宜 進 行 投 票：任 何 加 密 保 護 數 碼 形 (II) discharge of a debt; 式 價 值 的 相 關 事 務 的 管 理、運 作 或 管 治，或 任 何 適 用 於 加 密 保 護 數 碼 (III) investment; or 形式價值的安排的條款的改變； (B) provides rights, eligibility or access to (iii) 可透過電子方式轉移、儲存或買賣；及 vo t e o n t h e m a n ag e m e n t , administration or governance of the (iv) 具備證監會根據第 (3)(a) 款訂明的其他特 affairs in connection with, or to vote 徵；或 on any change of the terms of any (b) 由根據第 (4)(a) 款刊登的公告訂明為虛擬資產 arrangement applicable to, any 的數碼形式價值。 cryptographically secured digital representation of value; (iii) can be transferred, stored or traded electronically; and (iv) satisfies other characteristics prescribed by the Commission under subsection (3)(a); or (b) a digital representation of value prescribed as a virtual asset by notice published under subsection (4)(a). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A836 第4條 Section 4 A837 (2) 符合以下說明的數碼形式價值，不包括在第 (1) 款 (2) A digital representation of value is excluded from the 中虛擬資產 的定義之內 —— definition of VA in subsection (1) if— (a) 有關數碼形式價值 —— (a) it— (i) 由 —— (i) is— (A) 中 央 銀 行、執 行 中 央 銀 行 職 能 的 實 (A) issued by a central bank or by an 體 發 行，或 由 中 央 銀 行 授 權 的 實 體 entity that performs the functions of 代中央銀行發行；或 a central bank or by an entity (B) 某 司 法 管 轄 區 的 政 府 發 行，或 由 某 authorized by a central bank on its 司法管轄區的政府授權的實體 ( 依據 behalf; or 在該司法管轄區中發行貨幣的權限 (B) issued by a government of a 而行事者 ) 發行； jurisdiction, or by an entity (ii) 屬有限用途數碼代幣； authorized by the government of a jurisdiction and acting pursuant to an (iii) 構成證券或期貨合約； authority to issue currency in that (iv) 構成儲存於儲值支付工具的任何儲值金 jurisdiction; 額或工具按金 《 ( 支付系統及儲值支付工 (ii) is a limited purpose digital token; 具 條 例》 第 584 章 ) 第 2 條 所 界 定 者 )； ( 或 (iii) constitutes securities or a futures contract; (v) 具備證監會根據第 (3)(b) 款訂明的其他特 (iv) constitutes any float or SVF deposit of a 徵；或 stored value facility as defined by section 2 of the Payment Systems and Stored Value (b) 由根據第 (4)(b) 款刊登的公告訂明為不屬虛擬 Facilities Ordinance (Cap. 584); or 資產的數碼形式價值。 (v) satisfies other characteristics prescribed by (3) 證監會可藉於憲報刊登的公告 —— the Commission under subsection (3)(b); or (b) it is a digital representation of value prescribed not to be a virtual asset by notice published under subsection (4)(b). (3) The Commission may, by notice published in the Gazette— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A838 第4條 Section 4 A839 (a) 為施行第 (1) 款中虛擬資產 的定義的 (a)(iv) 段， (a) prescribe any characteristics necessary for a 訂明數碼形式價值必須具備何種特徵方屬虛擬 digital representation of value to be a virtual 資產；及 asset for the purposes of paragraph (a)(iv) of (b) 為施行第 (2)(a)(v) 款，訂明數碼形式價值具備 the definition of VA in subsection (1); and 何種特徵便會令其不屬虛擬資產。 (b) prescribe any characteristics the presence of (4) 財經事務及庫務局局長可藉於憲報刊登的公告 —— which precludes a digital representation of value being a VA for the purposes of subsection (a) 一般地或就個別個案，訂明某數碼形式價值就 (2)(a)(v). 第 (1) 款 中虛擬資產 的 定 義 的 (b) 段 而 言 屬 虛 擬資產；或 (4) The Secretary for Financial Services and the Treasury may, by notice published in the Gazette— (b) 一般地或就個別個案，訂明某數碼形式價值就 第 (2)(b) 款而言不屬虛擬資產。 (a) prescribe, either generally or in a particular case, any digital representation of value to be a VA for the purposes of paragraph (b) of the definition of VA in subsection (1); or (b) prescribe, either generally or in a particular case, any digital representation of value not to be a VA for the purposes of subsection (2)(b). 53ZRB. 提供虛擬資產服務及執行受規管職能的涵義 53ZRB. Meaning of providing VA service and performing regulated (1) 在本條例中 —— function 受規管職能 (regulated function) —— (1) In this Ordinance— (a) 除 第 (4)(c) 及 (7) 款 另 有 規 定 外，指 符 合 以 下 regulated function (受規管職能)— 說明的職能 —— (a) subject to subsections (4)(c) and (7), means any (i) 為經營提供虛擬資產服務的業務的人或 function performed— 代 表 該 人 而 執 行，或 藉 與 該 人 訂 立 的 安 (i) for or on behalf of or by arrangement with 排而執行；及 a person carrying on a business of (ii) 就提供虛擬資產服務而執行；但 providing a VA service; and (b) 不包括通常由會計員、文員或出納員擔當的工 (ii) in relation to the provision of the VA 作。 service; but (b) excludes any work ordinarily performed by an accountant, clerk or cashier. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A840 第4條 Section 4 A841 (2) 在本條例中 —— (2) In this Ordinance— (a) 符 合 以 下 說 明 的 人，須 視 作 提 供 虛 擬 資 產 服 (a) a person is to be regarded as providing a VA 務 —— service if— (i) 該人經營提供虛擬資產服務的業務；或 (i) the person carries on a business of (ii) 該人為經營提供虛擬資產服務的業務的 providing a VA service; or 另 一 人、代 表 該 另 一 人 或 藉 與 該 另 一 人 (ii) the person performs, for or on behalf of or 訂 立 的 安 排，而 就 提 供 該 項 虛 擬 資 產 服 by arrangement with a person carrying on 務執行任何受規管職能； a business of providing a VA service, any (b) 任何人如為有關持牌提供者、代表該持牌提供 regulated function in relation to the 者或藉與該持牌提供者訂立的安排，而就提供 provision of the VA service; 虛擬資產服務執行任何受規管職能，則須視作 (b) a person is to be regarded as providing a VA 代表該持牌提供者提供該項虛擬資產服務； service on behalf of a licensed provider if the (c) 任何法團如根據第 53ZRK 條，獲批給牌照提 person performs, for or on behalf of or by 供虛擬資產服務，則須視作就該項虛擬資產服 arrangement with the licensed provider, any 務獲發牌；及 regulated function in relation to the provision of the VA service; (d) 任何個人如根據第 53ZRL 條，獲批給牌照代 表持牌提供者提供虛擬資產服務，則須視作就 (c) a corporation licensed under section 53ZRK to 該項虛擬資產服務獲發牌。 provide a VA service is to be regarded as being licensed for that VA service; and (3) 第 (4) 款在以下情況下適用 —— (d) an individual licensed under section 53ZRL to (a) 某人 ( 第 (3) 款人士 ) 向公眾積極推廣第 (3) 款 provide a VA service on behalf of a licensed 人士提供或看似提供的任何服務 ( 指明服務 )； provider is to be regarded as being licensed for 及 that VA service. (b) 指明服務假若在香港提供，便會構成提供虛擬 (3) Subsection (4) applies if— 資產服務。 (a) a person (subsection (3) person) actively markets to the public any services that the subsection (3) person provides or purports to provide (specified services); and (b) the provision of the specified services, if done in Hong Kong, would constitute providing a VA service. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A842 第4條 Section 4 A843 (4) 就本條例而言 —— (4) For the purposes of this Ordinance— (a) 第 (3) 款人士須就提供指明服務，視作經營提 (a) the subsection (3) person is to be regarded, in 供上述虛擬資產服務的業務； relation to the provision of the specified (b) 第 (3) 款人士推廣指明服務，須視作顯示自己 services, as carrying on a business of providing 經營提供該項虛擬資產服務的業務；及 that VA service; (c) 在以下情況下，某名個人須視作就提供該項虛 (b) the subsection (3) person’s marketing of the 擬資產服務而執行受規管職能 —— specified services is to be regarded as holding itself, himself or herself out as carrying on a (i) 該名個人就以下事項執行某項職能 (X 職 business of providing that VA service; and 能 ) —— (c) an individual is to be regarded as performing a (A) 第 (3) 款人士提供或看似提供指明服 regulated function in relation to the provision 務；或 of that VA service if— (B) 第 (3) 款人士提供或看似提供的指明 (i) the individual performs a function (function 服務；及 X) in relation to— (ii) 假若 X 職能提供該項虛擬資產服務而在 (A) the subsection (3) person providing, 香 港 執 行，便 會 構 成 就 提 供 該 項 虛 擬 資 or purporting to provide, the specified 產服務而執行受規管職能。 services; or (5) 不論 —— (B) the specified services that the (a) 指明服務是否有提供； subsection (3) person provides or (b) 指明服務是否由第 (3) 款人士推廣，或由他人 purports to provide; and 代第 (3) 款人士推廣；及 (ii) the performance of function X, if done in Hong Kong in relation to the provision of the VA service, would constitute performing a regulated function in relation to the provision of that VA service. (5) Subsection (4) applies regardless of— (a) whether the specified services are provided or not; (b) whether the specified services are marketed by the subsection (3) person or someone on the subsection (3) person’s behalf; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A844 第4條 Section 4 A845 (c) 指明服務是否在香港推廣，或是否從香港以外 (c) whether the specified services are marketed in 的地方推廣， Hong Kong or from a place outside Hong 第 (4) 款仍然適用。 Kong. (6) 第 (7) 款在以下情況下適用 —— (6) Subsection (7) applies if— (a) 某 人 ( 第 (6) 款 人 士 ) 向 公 眾 積 極 推 廣 該 人 執 (a) a person (subsection (6) person) actively markets 行或看似執行的某項職能 (Y 職能 )；及 to the public a function (function Y) that the subsection (6) person performs or purports to (b) 假若 Y 職能就任何人經營提供虛擬資產服務 perform; and 的業務而在香港執行，便會構成就提供該項虛 擬資產服務而執行受規管職能。 (b) the performance of function Y, if done in Hong Kong in relation to a business, carried on by (7) 就本條例而言 —— any person, of providing a VA service would (a) 第 (6) 款人士執行 Y 職能，須視作就提供虛擬 constitute performing a regulated function in 資產服務而執行受規管職能；及 relation to the provision of that VA service. (b) 第 (6) 款人士推廣 Y 職能，須視作顯示自己就 (7) For the purposes of this Ordinance— 提供該項虛擬資產服務而執行該項受規管職能。 (a) the performance of function Y by the subsection (8) 不論 —— (6) person is to be regarded as performing a (a) Y 職能是否有執行； regulated function in relation to the provision of a VA service; and (b) Y 職能是否由第 (6) 款人士推廣，或由他人代 第 (6) 款人士推廣；及 (b) the subsection (6) person’s marketing of function Y is to be regarded as holding itself, (c) Y 職能是否在香港推廣，或是否從香港以外的 himself or herself out as performing that 地方推廣， regulated function in relation to the provision 第 (7) 款仍然適用。 of that VA service. (8) Subsection (7) applies regardless of— (a) whether function Y is performed or not; (b) whether function Y is marketed by the subsection (6) person or someone on the subsection (6) person’s behalf; and (c) whether function Y is marketed in Hong Kong or from a place outside Hong Kong. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A846 第4條 Section 4 A847 53ZRC. 有連繫法團 、附屬公司 及全資附屬公司 的涵義 53ZRC. Meaning of related corporation, subsidiary and wholly (1) 本條適用於解釋在本條例中提述有連繫法團或附屬 owned subsidiary 公司。 (1) This section applies to the construction of a reference (2) 如有 2 個或多於 2 個法團，而其中一個是 —— to related corporation or subsidiary in this Ordinance. (a) 其餘法團的控權公司； (2) Two or more corporations are related corporations (b) 其餘法團的附屬公司；或 of each other if one of them is— (c) 其餘法團的控權公司的附屬公司， (a) the holding company of the other; 則該等法團屬彼此的有連繫法團。 (b) a subsidiary of the other; or (3) 如某名個人 —— (c) a subsidiary of the holding company of the (a) 控制一個或多於一個法團的董事局的組成； other. (b) 控制在一個或多於一個法團的成員大會上的過 (3) When an individual— 半數投票權；或 (a) controls the composition of the board of (c) 持有一個或多於一個法團的過半數已發行股本 directors of one or more corporations; ( 但為施行本段，如該等股本有任何部分在分 (b) controls more than half of the voting power at 配利潤或資本時，無權分享超過某指明款額， general meetings of one or more corporations; 則該部分股本不包括在內 )， or 則 (a)、(b) 或 (c) 段 提 述 的 每 個 法 團 及 其 每 間 附 屬 (c) holds more than half of the issued share capital 公司，屬彼此的有連繫法團。 (which issued share capital, for the purposes of (4) 就本條例而言，如 —— this paragraph, excludes any part of it that (a) 某法團 ( 前者 ) —— carries no right to participate beyond a specified amount on a distribution of either profits or capital) of one or more corporations, each of the corporations referred to in paragraph (a), (b) or (c), and each of their subsidiaries, are related corporations of each other. (4) For the purposes of this Ordinance, a corporation is a subsidiary of another corporation if— (a) the other corporation— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A848 第4條 Section 4 A849 (i) 控制另一個法團 ( 後者 ) 的董事局的組成； (i) controls the composition of its board of (ii) 控制在後者的成員大會上的過半數投票 directors; 權；或 (ii) controls more than half of its voting power (iii) 持有後者的過半數已發行股本 ( 但為施行 at general meetings; or 本 節，如 該 等 股 本 有 任 何 部 分 在 分 配 利 (iii) holds more than half of its issued share 潤或資本時，無權分享超過某指明款額， capital (which issued share capital, for the 則該部分股本不包括在內 )；或 purposes of this subparagraph, excludes (b) 後者是某法團的附屬公司，而該法團是前者的 any part of it that carries no right to 附屬公司， participate beyond a specified amount on a distribution of either profits or capital); or 則後者為前者的附屬公司。 (b) it is a subsidiary of a corporation that is the (5) 為施行第 (4) 款，在斷定某法團 ( 前者 ) 是否另一個 other corporation’s subsidiary. 法團 ( 後者 ) 的附屬公司時 —— (5) For the purposes of subsection (4), in determining (a) 後者以受信人身分持有的股份，須視作並非由 whether a corporation is a subsidiary of another 後者持有；後者以受信人身分行使的權力，須 corporation— 視作並非可由後者行使； (a) any shares held or power exercisable by the (b) 除 (c) 及 (d) 段 另 有 規 定 外，以 下 任 何 一 節 提 other corporation in a fiduciary capacity are to 述持有的股份，須視作由後者持有；提述可行 be regarded as not held or exercisable by it; 使的權力，須視作可由後者行使 —— (b) subject to paragraphs (c) and (d), any shares (i) 由 代 名 人 為 後 者 持 有 的 股 份，或 可 由 代 held or power exercisable as mentioned in any 名人為後者行使的權力 ( 如後者只以受信 of the following subparagraphs are or is to be 人身分涉及該等股份或權力則除外 )； regarded as held or exercisable by the other (ii) 由後者的附屬公司或由代名人為該附屬 corporation— 公 司 持 有 的 股 份，或 可 由 該 附 屬 公 司 或 (i) the shares are held, or the power is 代 名 人 為 該 附 屬 公 司 行 使 的 權 力，而 該 exercisable, by a nominee for the other corporation (except where the other corporation is concerned only in a fiduciary capacity); (ii) the shares are held, or the power is exercisable, by, or by a nominee for, a subsidiary of the other corporation, not <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A850 第4條 Section 4 A851 附屬公司並非只以受信人身分涉及該等 being a subsidiary that is concerned only 股份或權力； in a fiduciary capacity; (c) 任何人根據前者的債權證 ( 或根據為發行該債 (c) any shares held or power exercisable by a person 權證作保證的信託契據 ) 而持有的股份或可行 under a debenture of the corporation or under 使的權力，不予理會；及 a trust deed for securing the issue of the (d) 在以下情況下，由後者或其附屬公司，或由代 debenture is to be disregarded; and 名人為後者或其附屬公司持有的股份，須視作 (d) any shares held or power exercisable by, or by a 並非由後者持有；可由後者或其附屬公司，或 nominee for, the other corporation or its 代名人為後者或其附屬公司行使的權力，須視 subsidiary, not being held or exercisable as 作並非可由後者行使 ( 但按 (c) 段所述而持有 mentioned in paragraph (c), are or is to be 或可行使者則除外 ) —— regarded as not held or exercisable by the other (i) 後者或其附屬公司 ( 視情況所需而定 ) 的 corporation if— 日常業務，包括借出款項；及 (i) the ordinary business of the other (ii) 該 等 股 份 或 權 力，只 是 為 一 宗 在 該 項 業 corporation or its subsidiary (as the case 務日常過程中訂立的交易作保證而持有 requires) includes the lending of money; 或可行使的。 and (6) 如某法團 ( 前者 ) 的成員只有以下所列者 —— (ii) the shares are held or power is exercisable by way of security only for a transaction (a) 另一法團 ( 後者 )； entered into in the ordinary course of that (b) 後者的代名人； business. (c) 後者的全資附屬公司 ( 按照本條解釋 )； (6) A corporation is a wholly owned subsidiary of (d) 上述全資附屬公司的代名人， another corporation if it has only the following as members— 則前者為後者的全資附屬公司。 (a) that other corporation; (b) that other corporation’s nominee; (c) that other corporation’s wholly owned subsidiary (as construed in accordance with this section); (d) such wholly owned subsidiary’s nominee. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A852 第4條 Section 4 A853 第 2 分部 ——經營涉及虛擬資產的活動的限制 Division 2—Restriction on Carrying on Activities Involving Virtual Assets 53ZRD. 經營虛擬資產服務業務須領牌照 53ZRD. Licence required for carrying on VA service business (1) 任何人不得 —— (1) A person must not— (a) 經營提供任何虛擬資產服務的業務；或 (a) carry on a business of providing any VA service; (b) 顯示自己經營提供任何虛擬資產服務的業務。 or (2) 第 (1) 款不適用於有關虛擬資產服務的持牌提供者。 (b) hold itself, himself or herself out as carrying on a business of providing any VA service. (3) 在不影響第 (1) 款的原則下，任何人不得 —— (2) Subsection (1) does not apply to a licensed provider (a) 就提供虛擬資產服務的業務，執行任何受規管 for the VA service. 職能；或 (3) Without affecting subsection (1), a person must (b) 顯示自己執行任何受規管職能。 not— (4) 凡持牌代表代其主事人提供虛擬資產服務，而該持 (a) perform any regulated function in relation to a 牌代表就該項虛擬資產服務獲發牌，則第 (3) 款不 business of providing a VA service; or 適用於該持牌代表。 (b) hold itself, himself or herself out as performing (5) 任 何 人 無 合 理 辯 解 而 違 反 第 (1)(a) 或 (b) 款，即 屬 such function. 犯罪 —— (4) Subsection (3) does not apply to a licensed (a) 一經循公訴程序定罪，可處罰款 $5,000,000 及 representative who provides on behalf of his or her 監禁 7 年，如屬持續的罪行，則可就罪行持續 principal, a VA service for which the licensed 期間的每一日，另處罰款 $100,000；或 representative is licensed. (5) A person who, without reasonable excuse, contravenes subsection (1)(a) or (b) commits an offence and is liable— (a) on conviction on indictment to a fine of $5,000,000 and to imprisonment for 7 years and, in the case of a continuing offence, to a further fine of $100,000 for every day during which the offence continues; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A854 第4條 Section 4 A855 (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 (b) on summary conviction to a fine of $500,000 禁 2 年，如屬持續的罪行，則可就罪行持續期 and to imprisonment for 2 years and, in the 間的每一日，另處罰款 $10,000 。 case of a continuing offence, to a further fine of (6) 任 何 人 無 合 理 辯 解 而 違 反 第 (3)(a) 或 (b) 款，即 屬 $10,000 for every day during which the offence 犯罪 —— continues. (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (6) A person who, without reasonable excuse, 監禁 2 年，如屬持續的罪行，則可就罪行持續 contravenes subsection (3)(a) or (b) commits an 期間的每一日，另處罰款 $20,000；或 offence and is liable— (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 (a) on conviction on indictment to a fine of 6 個月，如屬持續的罪行，則可就罪行持續期 $1,000,000 and to imprisonment for 2 years 間的每一日，另處罰款 $2,000 。 and, in the case of a continuing offence, to a further fine of $20,000 for every day during which the offence continues; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months and, in the case of a continuing offence, to a further fine of $2,000 for every day during which the offence continues. 53ZRE. 發出關於非持牌人提供虛擬資產服務的廣告的罪行 53ZRE. Offence to issue advertisements relating to unlicensed (1) 凡 —— person’s provision of VA service (a) 任何人 ( 相關人士 ) 發出，或為發出而管有 —— (1) A person (subject person) commits an offence if— (i) 任何廣告，而相關人士知道在該廣告中， (a) the subject person issues, or has in the subject 某人 ( 獲宣傳人 ) 顯示自己願意提供虛擬 person’s possession for the purpose of issue— 資產服務；或 (i) an advertisement in which, to the subject (ii) 任 何 文 件，而 相 關 人 士 知 道 該 文 件 載 有 person’s knowledge, a person (advertised 上述廣告；及 person) holds itself, himself or herself out as being prepared to provide a VA service; or (ii) a document that, to the subject person’s knowledge, contains such advertisement; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A856 第4條 Section 4 A857 (b) 相關人士知道獲宣傳人沒有按本部規定，就該 (b) to the subject person’s knowledge, the advertised 項虛擬資產服務獲發牌， person is not licensed for the VA service as 相關人士即屬犯罪。 required under this Part. (2) 任 何 人 犯 第 (1) 款 所 訂 罪 行，一 經 定 罪，可 處 第 5 (2) A person who commits an offence under subsection 級罰款及監禁 6 個月。 (1) is liable on conviction to a fine at level 5 and to imprisonment for 6 months. (3) 在以下情況下，任何人不會僅因發出 ( 或為發出而 管 有 ) 任 何 廣 告 或 文 件，而 屬 犯 第 (1) 款 所 訂 罪 (3) A person does not commit an offence under 行 —— subsection (1) merely because the person issues, or has in the person’s possession for the purpose of (a) 該廣告或文件，是在某項業務 ( 不論是否由該 issue, any advertisement or document if— 人經營 ) 的日常過程中如此發出的，或是為在 該過程中發出而管有的，而該項業務的主要目 (a) the advertisement or document was so issued, 的，是收取和發出其他人提供的材料； or possessed for the purpose of issue, in the ordinary course of a business (whether or not (b) 該廣告或文件的內容，並非完全或局部由該人 carried on by the person), the principal purpose 或 ( 如適用 ) 其有關連人士所設定；及 of which was receiving and issuing materials (c) 就如此發出該廣告或文件而言，該人及其有關 provided by others; 連人士均沒有揀選、增補、修改或以其他方式 (b) the contents of the advertisement or document 控制該廣告或文件的內容。 were not, wholly or partly, devised by the person (4) 在以下情況下，任何人 ( 相關人士 ) 不會僅因以直 or (if applicable) a related person of the person; 播方式發出 ( 或為以直播方式發出而管有 ) 任何廣 and 告或文件，而屬犯第 (1) 款所訂罪行 —— (c) for the purposes of the issue, neither the person nor any related person of the person selects, adds to, modifies or otherwise exercises control over the contents of the advertisement or document. (4) A person (subject person) does not commit an offence under subsection (1) merely because the subject person issues by way of live broadcast, or has in the subject person’s possession for the purpose of issue by way of live broadcast, any advertisement or document if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A858 第4條 Section 4 A859 (a) 該廣告或文件，是在廣播業者 ( 不論相關人士 (a) the advertisement or document was so issued, 是否上述廣播業者 ) 的業務的日常過程中如此 or possessed for the purpose of issue, in the 發出的，或是為在該過程中發出而管有的； ordinary course of the business of a broadcaster (b) 該廣告或文件的內容，並非完全或局部由相關 (whether or not the subject person was such 人士或 ( 如適用 ) 其有關連人士所設定； broadcaster); (c) 就如此發出該廣告或文件而言，相關人士及其 (b) the contents of the advertisement or document 有關連人士均沒有揀選、增補、修改或以其他 were not, wholly or partly, devised by the 方式控制該廣告或文件的內容；及 subject person or (if applicable) a related person of the subject person; (d) 就該項廣播而言，相關人士已按照以下各項行 事，或 ( 如相關人士不是該廣播業者 ) 相關人 (c) for the purposes of the issue, neither the subject 士相信且有合理理由相信該廣播業者已按照以 person nor any related person of the subject 下各項行事 —— person selects, adds to, modifies or otherwise exercises control over the contents of the (i) 使相關人士或該廣播業者有權以廣播業 advertisement or document; and 者身分廣播的牌照 ( 如有的話 ) 的條款及 條件；及 (d) in relation to the broadcast, the subject person acted, or (if the subject person was not the (ii) 符合以下說明的業務守則或指引 ( 不論如 broadcaster) the subject person believed and 何稱述 ) —— had reasonable grounds to believe that the (A) 根 據 或 依 據《電 訊 條 例》( 第 106 章 ) broadcaster acted, in accordance with— 或《廣播條例》( 第 562 章 ) 發出；及 (i) the terms and conditions of the licence (if (B) 適用於以其廣播業者身分行事的相 any) by which the subject person or the 關人士或該廣播業者。 broadcaster became entitled to broadcast as a broadcaster; and (ii) any code of practice or guidelines (however described) that is or are— (A) issued under or pursuant to the Telecommunications Ordinance (Cap. 106) or the Broadcasting Ordinance (Cap. 562); and (B) applicable to the subject person or the broadcaster as a broadcaster. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A860 第4條 Section 4 A861 (5) 被控犯第 (1) 款所訂罪行的人，如證明該人已採取 (5) It is a defence to a charge for an offence under 一切合理步驟和作出一切應作出的努力，以避免犯 subsection (1) for the person charged to prove that 該罪行，即為免責辯護。 the person took all reasonable steps and exercised all (6) 在以下情況下，某人須視作已確立需要就第 (5) 款 due diligence to avoid the commission of the offence 所訂的免責辯護而確立的事宜 —— with which the person is charged. (a) 有足夠證據，就該事宜帶出爭論點；及 (6) A person is taken to have established a matter that needs to be established for a defence under subsection (b) 控方沒有提出足以排除合理疑點的相反證明。 (5) if— (7)在本條中 —— (a) there is sufficient evidence to raise an issue with 文件 (document) 指符合以下說明的刊物 ( 包括報章、雜 respect to the matter; and 誌、 期 刊、 海 報、 公 告、 啟 事、 通 知、 通 告、 冊 (b) the contrary is not proved by the prosecution 子、小冊子、傳單或招股章程 ) —— beyond reasonable doubt. (a) 以公眾為對象，或公眾相當可能會取得或閱讀 (7) In this section— ( 不論是同時或在其他情況下取得和閱讀 ) 其 內容；及 advertisement (廣告) includes every form of advertising, whether made orally or produced mechanically, (b) 不論是以機械、電子、光學、人手或其他方式 electronically, optically, manually or by any other 製作； means; 有關連人士 (related person) 就於本身經營的業務 ( 不論 document (文件) means any publication (including a 是否廣播業者的業務 ) 的日常過程中發布 ( 或為如 newspaper, magazine or journal, a poster or notice, a 此發布而管有 ) 廣告或文件的人而言，指該人的高 circular, brochure, pamphlet or handbill, or a 級人員、僱員或代理人； prospectus)— 發出 (issue) 就任何材料 ( 包括任何廣告或文件 ) 而言， (a) directed at, or the contents of which are likely 包括 —— to be accessed or read (whether concurrently or otherwise) by, the public; and (b) whether produced mechanically, electronically, optically, manually or by any other means; issue (發出), in relation to any material (including any advertisement or document), includes publishing, circulating, distributing or otherwise disseminating the material or the contents of the material, whether— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A862 第4條 Section 4 A863 (a) 藉親自造訪； (a) by any visit in person; (b) 在報章、雜誌、期刊或其他刊物； (b) in a newspaper, magazine, journal or other (c) 藉展示海報、公告、啟事或通知； publication; (d) 以通告、冊子、小冊子或傳單的方式； (c) by the display of posters or notices; (e) 藉展示照片或放映電影片； (d) by means of circulars, brochures, pamphlets or handbills; (f) 藉聲音或電視廣播； (e) by an exhibition of photographs or (g) 藉社交媒體； cinematograph films; (h) 藉資訊系統或其他電子器材；或 (f) by way of sound or television broadcasting; (i) 以其他方式 ( 不論是以機械、電子、光學、人 (g) by way of social media; 手或其他媒介，或藉光、影像、聲音或其他媒 介的產生或傳送 )， (h) by any information system or other electronic device; or 發表、傳遞、分發或以其他方式散發該等材料或其 內容，並包括安排或授權發出該等材料； (i) by any other means, whether mechanically, electronically, optically, manually or by any 廣告 (advertisement) 包括各種形式的廣告，不論是口頭 other medium, or by way of production or 作出的，或是以機械、電子、光學、人手或其他方 transmission of light, image or sound or any 式製作的。 other medium, (8) 由 某 人 代 表 另 一 人 發 出 的 廣 告 或 文 件，就 本 條 而 and also includes causing or authorizing the material 言，須視為由該人及該另一人發出的廣告或文件。 to be issued; related person (有關連人士), in relation to a person who issues, or has in the person’s possession for the purpose of issue, any advertisement or document, in the ordinary course of a business carried on by the person (whether or not the business of a broadcaster), means any officer, employee or agent of the person. (8) For the purposes of this section, an advertisement or document issued by a person on behalf of another is to be regarded as an advertisement or document issued by both persons. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A864 第4條 Section 4 A865 53ZRF. 涉及在虛擬資產交易方面使用欺詐或欺騙手段等的罪行 53ZRF. Offence involving fraudulent or deceptive devices etc. in (1) 任何人在涉及任何虛擬資產的交易中，直接或間接 transactions in virtual assets 地 —— (1) A person commits an offence if the person, directly (a) 出於欺詐或欺騙意圖，而使用任何手段、計劃 or indirectly, in a transaction involving any virtual 或計謀；或 assets— (b) 從事任何具欺詐或欺騙性質 ( 或會產生欺詐或 (a) employs any device, scheme or artifice with 欺騙效果 ) 的作為、做法或業務， intent to defraud or deceive; or 即屬犯罪。 (b) engages in any act, practice or course of business that is fraudulent or deceptive, or (2) 任何人犯第 (1) 款所訂罪行 —— would operate as a fraud or deception. (a) 一 經 循 公 訴 程 序 定 罪，可 處 罰 款 $10,000,000 (2) A person who commits an offence under subsection 及監禁 10 年；或 (1) is liable— (b) 一經循簡易程序定罪，可處罰款 $1,000,000 及 (a) on conviction on indictment to a fine of 監禁 3 年。 $10,000,000 and to imprisonment for 10 years; (3) 如任何人被裁定犯第 (1) 款所訂罪行，作出該項裁 or 定的法庭，除可施加第 (2) 款指明的罰則外，亦可 (b) on summary conviction to a fine of $1,000,000 就該人作出第 (4) 款指明的命令。 and to imprisonment for 3 years. (4) 有關命令是內容如下的命令：該人在該命令指明的 (3) If a person is convicted of an offence under 期 間 ( 該 期 間 不 超 過 5 年 ) 內，未 經 該 法 庭 許 可， subsection (1), the court before which the person is 不得直接或間接地，以任何方式在香港取得或處置 so convicted may, in addition to any penalty specified 任何虛擬資產，或以其他方式在香港進行任何虛擬 in subsection (2), make an order specified in 資產的交易。 subsection (4) in respect of the person. (5) 在根據第 (4) 款就某人作出命令時，法庭可考慮該 (4) The order is an order that, for the period (not 人先前的任何導致該人在香港被定罪的行為。 exceeding 5 years) specified in the order, the person must not directly or indirectly in any way acquire, dispose of or otherwise deal in, in Hong Kong, any virtual assets without the leave of the court. (5) When making an order in respect of a person under subsection (4), the court may take into account any conduct by the person that previously resulted in the person being convicted of an offence in Hong Kong. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A866 第4條 Section 4 A867 (6) 凡法庭根據第 (4) 款作出命令，證監會可藉該會認 (6) Where the court makes an order under subsection (4), 為適當的方式，將該命令通知任何持牌提供者。 the Commission may notify any licensed provider of (7) 任何人沒有遵從根據第 (4) 款作出的命令，即屬犯 the order in any manner that the Commission 罪 —— considers appropriate. (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (7) A person who fails to comply with an order made 監禁 2 年；或 under subsection (4) commits an offence and is liable— (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 6 個月。 (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 2 years; or (8) 就本條而言 —— (b) on summary conviction to a fine at level 6 and (a) 法庭 (court) 包括裁判官；及 to imprisonment for 6 months. (b) 提述交易，包括提述要約及邀請 ( 不論如何稱 (8) For the purposes of this section— 述 )。 (a) court (法庭) includes a magistrate; and (b) a reference to a transaction includes an offer and an invitation (however expressed). 53ZRG. 欺詐地或罔顧實情地誘使他人投資虛擬資產的罪行 53ZRG. Offence to fraudulently or recklessly induce others to invest (1) 任何人為誘使另一人訂立 ( 或要約訂立 ) 旨在取得、 in virtual assets 處置、認購或包銷任何虛擬資產的協議，而作出任 (1) A person commits an offence if the person makes 何欺詐的失實陳述或罔顧實情的失實陳述，即屬犯 any fraudulent misrepresentation or reckless 罪。 misrepresentation for the purpose of inducing (2) 任何人犯第 (1) 款所訂罪行 —— another person to enter into, or offer to enter into, an agreement to acquire, dispose of, subscribe for or (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 underwrite any virtual assets. 監禁 7 年；或 (2) A person who commits an offence under subsection (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 (1) is liable— 6 個月。 (a) on conviction on indictment to a fine of (3) 在本條中 —— $1,000,000 and to imprisonment for 7 years; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months. (3) In this section— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A868 第4條 Section 4 A869 罔顧實情的失實陳述 (reckless misrepresentation) 指 —— fraudulent misrepresentation (欺詐的失實陳述) means— (a) 任 何 陳 述，而 在 該 陳 述 作 出 時，該 陳 述 是 虛 (a) any statement that, at the time when it is made, 假、具誤導性或具欺騙性的，並且是罔顧實情 is to the knowledge of its maker false, 地作出的； misleading or deceptive; (b) 任何承諾，而在該承諾作出時，該承諾是無法 (b) any promise that, at the time when it is made— 履行的，並且是罔顧實情地作出的； (i) its maker has no intention of fulfilling; or (c) 任何預測，而在該預測作出時，根據作出該預 (ii) is to the knowledge of its maker not 測的人當時所知的事實，該預測是沒有充分理 capable of being fulfilled; 由支持的，而且該預測是罔顧實情地作出的； (c) any forecast that, at the time when it is made, is (d) 任何陳述，而在該陳述作出時，作出該陳述的 to the knowledge of its maker not justified on 人罔顧實情地遺漏某重要事實，以致該陳述成 the facts then known to its maker; 為虛假、具誤導性或具欺騙性的陳述；或 (d) any statement from which, at the time when it is (e) 任何預測，而在該預測作出時，作出該預測的 made, its maker intentionally omits a material 人罔顧實情地遺漏某重要事實，以致該預測成 fact, with the result that the statement is 為具誤導性或具欺騙性的預測； rendered false, misleading or deceptive; or 欺詐的失實陳述 (fraudulent misrepresentation) 指 —— (e) any forecast from which, at the time when it is (a) 任 何 陳 述，而 在 該 陳 述 作 出 時，該 陳 述 是 虛 made, its maker intentionally omits a material 假、具誤導性或具欺騙性的，而作出該陳述的 fact, with the result that the forecast is rendered 人是知道此情況的； misleading or deceptive; (b) 任何承諾，而在該承諾作出時 —— reckless misrepresentation (罔顧實情的失實陳述) means— (i) 作出該承諾的人無意履行該承諾；或 (a) any statement that, at the time when it is made, (ii) 該 承 諾 是 無 法 履 行 的，而 作 出 該 承 諾 的 is false, misleading or deceptive and is made 人是知道此情況的； recklessly; (c) 任何預測，而在該預測作出時，根據作出該預 (b) any promise that, at the time when it is made, is 測的人當時所知的事實，該預測是沒有充分理 not capable of being fulfilled and is made 由支持的，而該人是知道此情況的； recklessly; (c) any forecast that, at the time when it is made, is not justified on the facts then known to its maker and is made recklessly; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A870 第4條 Section 4 A871 (d) 任何陳述，而在該陳述作出時，作出該陳述的 (d) any statement from which, at the time when it is 人 蓄 意 遺 漏 某 重 要 事 實，以 致 該 陳 述 成 為 虛 made, its maker recklessly omits a material fact, 假、具誤導性或具欺騙性的陳述；或 with the result that the statement is rendered (e) 任何預測，而在該預測作出時，作出該預測的 false, misleading or deceptive; or 人蓄意遺漏某重要事實，以致該預測成為具誤 (e) any forecast from which, at the time when it is 導性或具欺騙性的預測。 made, its maker recklessly omits a material fact, with the result that the forecast is rendered misleading or deceptive. 第 3 分部 ——登記冊以及申請及批給虛擬資產服務 Division 3—Register and Application for, and Grant 牌照 of, Licences for VA Service 第 1 次分部 ——登記冊 Subdivision 1—Register 53ZRH. 持牌人登記冊 53ZRH. Register of licensed persons (1) 證監會須以其認為適當的格式，備存一份持牌人登 (1) The Commission must maintain a register of licensed 記冊。 persons in a form it considers appropriate. (2) 登記冊須載有 —— (2) The register must contain— (a) 就每名持牌人而言 —— (a) in relation to each licensed person— (i) 持牌人的姓名或名稱，以及業務地址； (i) the name and business address of the (ii) 證 監 會 認 為 登 記 冊 適 合 載 有 的、有 關 牌 licensed person; 照的條件，以及該等條件的有效日期； (ii) the conditions of the licence that the (iii) 證監會編配予持牌人的中央實體識別編 Commission considers appropriate to be 號； contained in the register, and the effective date of the conditions; (iv) 根據本部批給牌照的日期； (iii) the central entity identification number assigned by the Commission to the licensed person; (iv) the date of grant of licence under this Part; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A872 第4條 Section 4 A873 (v) 持 牌 人 獲 發 牌 從 事 的 虛 擬 資 產 服 務，以 (v) the VA service for which the licensed 及有關牌照的生效日期； person is licensed and the date from which (vi) 有關牌照是否被暫時吊銷；及 the licence takes effect; (vii) 按 照 第 53ZTJ 條 記 入 的、每 次 根 據 第 (vi) whether or not the licence is suspended; 53ZSP 或 53ZSQ 條行使權力的詳情； and (b) 如屬持牌提供者 —— (vii) particulars of each instance of an exercise of a power under section 53ZSP or 53ZSQ (i) 每名負責人員的姓名； entered in accordance with section 53ZTJ; (ii) 持牌提供者的電郵地址及網址； (b) in the case of a licensed provider— (iii) 持 牌 提 供 者 的 聯 絡 辦 法 詳 情，包 括 其 投 (i) the name of each responsible officer; 訴主任的聯絡辦法詳情；及 (ii) its electronic mail address and website (iv) 隸屬持牌提供者的持牌代表的名單；及 address; (c) 如屬持牌代表 —— (iii) its contact details, including contact details (i) 其主事人的名稱； of its complaints officer; and (ii) 持 牌 代 表 是 否 獲 批 准 擔 任 負 責 人 員，以 (iv) a list of the licensed representatives 及 ( 如獲批准的話 ) 持牌代表負責的虛擬 accredited to it; and 資產服務；及 (c) in the case of a licensed representative— (iii) 持牌代表開始隸屬其主事人的日期。 (i) the name of his or her principal; (3) 登記冊可載有證監會認為適當的任何其他詳情。 (ii) whether he or she is approved as a (4) 登記冊須提供予公眾人士查閱，以使任何公眾人士 responsible officer and, if so, the VA 能 —— service for which he or she is responsible; (a) 確定自己是否正與持牌人有往來；及 and (iii) the date of accreditation to his or her principal. (3) The register may contain any other particulars that the Commission considers appropriate. (4) The register must be made available for inspection by a member of the public to enable him or her— (a) to ascertain whether he or she is dealing with a licensed person; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A874 第4條 Section 4 A875 (b) 確定有關牌照的詳情。 (b) to ascertain the particulars of the licence. (5) 公眾人士有權在通常辦公時間內，免費查閱登記冊。 (5) A member of the public is entitled, without charge, (6) 在本條中 —— to inspect the register during normal office hours. 投 訴 主 任 (complaints officer) 就 某 持 牌 提 供 者 而 言，指 (6) In this section— 由該持牌提供者委任處理向該持牌提供者提出的投 complaints officer (投訴主任), in relation to a licensed 訴的人。 provider, means a person appointed by the licensed provider to handle complaints made to the licensed provider. 53ZRI. 登記冊的核證複本 53ZRI. Certified copy of register (1) 任何人可在繳付訂明費用後，取得 —— (1) A person may, on the payment of the prescribed fee, (a) 根 據 第 53ZRH 條 備 存 的 登 記 冊 ( 登 記 冊 ) 的 obtain— 記項或摘錄的核證複本或未經核證複本；或 (a) a certified copy or an uncertified copy of an (b) 由證監會發出的證明書，述明某人的姓名或名 entry in, or extract from, the register maintained 稱 —— under section 53ZRH (register); or (i) 已記入登記冊； (b) a certificate by the Commission stating that the name of a person— (ii) 未有記入登記冊；或 (i) has been entered on the register; (iii) 已從登記冊刪除。 (ii) has not been entered on the register; or (2) 如登記冊的記項或摘錄的複本，看來是經證監會的 獲授權人員核證的文件，則在任何刑事或民事法律 (iii) has been removed from the register. 程序中，該複本 —— (2) In any criminal or civil proceedings, a document (a) 一經交出，即可獲接納為證據，而無須進一步 purporting to be a copy of an entry in, or extract 證明；及 from, the register, and purporting to be certified by an authorized officer of the Commission— (b) 即為其內所述事實的證據。 (a) is admissible in evidence on production without (3) 如看來是經證監會所核證的登記冊的記項或摘錄的 further proof; and 複本，並沒有某人的姓名或名稱，此一事實可作為 (b) is evidence of the facts stated in it. (3) The fact that the name of a person does not appear on a copy of an entry in, or extract from, the register, purporting to be certified by the Commission is <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A876 第4條 Section 4 A877 證據，證明該人在該複本看來是經核證當日，並不 evidence that, at the date on which the copy is 是持牌人。 purporting to be certified, the person was not a (4) 看來是經證監會簽署並述明任何以下事項的證明 licensed person. 書 —— (4) In any criminal or civil proceedings, a certificate (a) 某人的姓名或名稱，已記入登記冊； purporting to be signed by the Commission, and stating any of the following, is admissible in evidence (b) 某人的姓名或名稱，未有記入登記冊； on production without further proof and is to be (c) 某人的姓名或名稱，已從登記冊刪除， conclusive evidence of the facts stated in the 在任何刑事或民事法律程序中，一經交出，即可獲 certificate— 接納為證據，而無須進一步證明，並屬該證明書所 (a) that the name of a person has been entered on 述事實的確證。 the register; (b) that the name of a person has not been entered on the register; (c) that the name of a person has been removed from the register. 第 2 次分部 ——適當人選的評定準則 Subdivision 2—Fit and Proper Test 53ZRJ. 適當人選的評定準則 53ZRJ. Fit and proper test (1) 證監會在斷定某人是否就本部任何條文而言屬適當 (1) In determining whether a person is a fit and proper 人 選 時，除 須 顧 及 該 會 認 為 有 關 的 任 何 其 他 事 宜 person for the purposes of any provision of this Part, 外，亦須顧及以下事宜 —— the Commission must, in addition to any other (a) 該人的財政狀況及償付能力； matter that the Commission considers relevant, have regard to the following matters— (b) 該人的學歷或其他資歷或經驗，尤其是該等資 歷或經驗是否適合該人獲批給牌照或批准執行 (a) the financial status or solvency of the person; 的 職 能，或 申 請 獲 批 給 牌 照 或 批 准 執 行 的 職 (b) the educational or other qualifications, or 能； experience of the person, especially whether the (c) 該人是否有能力稱職地、誠實地及公正地提供 qualifications or experience are or is appropriate 虛擬資產服務； to the functions that the person applies to be, or is, licensed or approved to perform; (c) the ability of the person to provide the VA service competently, honestly and fairly; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A878 第4條 Section 4 A879 (d) 該人的信譽、品格、可靠程度及在財政方面的 (d) the reputation, character, reliability and 穩健性； financial integrity of the person; (e) 該人是否曾被裁定犯了 —— (e) whether the person has been convicted of— (i) 第 5(5)、(6)、(7) 或 (8)、10(1)、(3)、(5)、 (i) an offence under section 5(5), (6), (7) or (8), (6)、(7) 或 (8)、13(1)、(3)、(5)、(6)、(7) 10(1), (3), (5), (6), (7) or (8), 13(1), (3), (5), 或 (8)、17(9)、20(1)、61(2) 或 66(3) 條 所 (6), (7) or (8), 17(9), 20(1), 61(2) or 66(3); 訂罪行； (ii) an offence under section 14 of the United (ii) 《聯合國 ( 反恐怖主義措施 ) 條例》( 第 575 Nations (Anti-Terrorism Measures) 章 ) 第 14 條所訂罪行； Ordinance (Cap. 575); (iii) 《販 毒 ( 追 討 得 益 ) 條 例》( 第 405 章 ) 第 (iii) an offence under section 25(1) or 25A(5) 25(1) 或 25A(5) 或 (7) 條 所 訂 罪 行，或 該 or (7) of, or an offence specified in 條例附表 1 指明的罪行；或 Schedule 1 to, the Drug Trafficking (iv) 《有 組 織 及 嚴 重 罪 行 條 例》( 第 455 章 ) 第 (Recovery of Proceeds) Ordinance (Cap. 25(1) 或 25A(5) 或 (7) 條 所 訂 罪 行，或 該 405); or 條例附表 1 或 2 指明的罪行； (iv) an offence under section 25(1) or 25A(5) (f) 該人是否曾在香港以外地方被裁定 —— or (7) of, or an offence specified in Schedule 1 or 2 to, the Organized and (i) 就 某 作 為 犯 了 某 罪 行，而 該 作 為 假 若 是 Serious Crimes Ordinance (Cap. 455); 在香港作出，便會構成 (e) 段指明的罪行； (f) whether the person has a conviction in a place (ii) 犯了關乎洗錢或恐怖分子資金籌集的罪 outside Hong Kong— 行；或 (i) for an offence in respect of an act that (iii) 犯了某罪行，而對該項定罪而言，裁斷該 would have constituted an offence specified 人 曾 有 欺 詐 性、舞 弊 或 不 誠 實 的 作 為 屬 in paragraph (e) had it been done in Hong 必要條件； Kong; (g) 該人是否曾不遵守根據本條例施加的規定。 (ii) for an offence relating to money laundering or terrorist financing; or (iii) for an offence for which it was necessary to find that the person had acted fraudulently, corruptly or dishonestly; (g) whether the person has failed to comply with a requirement imposed under this Ordinance. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A880 第4條 Section 4 A881 (2) 在不局限第 (1) 款的原則下，證監會在斷定某人是 (2) Without limiting subsection (1), in determining 否 為 施 行 本 部 任 何 條 文 而 言 屬 適 當 人 選 時，可 考 whether a person is a fit and proper person, for the 慮 —— purposes of any provision of this Part, the (a) 以下的人就該人作出的決定 —— Commission may take into account— (i) 任何有關當局；或 (a) a decision made in respect of the person— (ii) 香港以外司法管轄區的規管者 ( 第 13A 條 (i) by any relevant authority; or 所界定者 )，而證監會認為，該規管者所 (ii) by a regulator (as defined by section 13A) 執行的職能，與證監會在本條例或《證券 of a jurisdiction outside Hong Kong that, 及期貨條例》( 第 571 章 ) 之下的職能相似； in the Commission’s opinion, performs a (b) 證監會所管有的、關乎以下的人的任何資料 ( 不 function similar to the functions of the 論是否由該人提供 ) —— Commission under this Ordinance or the Securities and Futures Ordinance (Cap. (i) 為 ( 或將要為 ) 提供虛擬資產服務而受該 571); 人僱用的或與該人有聯繫的任何其他人； (b) any information in the possession of the (ii) 將 會 就 提 供 虛 擬 資 產 服 務，而 為 該 人 或 Commission, whether provided by the person or 代表該人行事的任何其他人；或 not, relating to— (iii) 如該人屬某公司集團中的法團 —— (i) any other person who is or is to be (A) 同 一 公 司 集 團 中 的 任 何 其 他 法 團； employed by, or associated with, the 或 person for the purpose of providing a VA (B) 該 法 團 或 (A) 分 節 提 述 的 法 團 的 任 service; 何最終擁有人或高級人員； (ii) any other person who will be acting for or on behalf of the person in relation to the provision of a VA service; or (iii) where the person is a corporation in a group of companies— (A) any other corporation in the same group of companies; or (B) any ultimate owner or officer of the corporation or any corporation referred to in sub-subparagraph (A); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A882 第4條 Section 4 A883 (c) 該人是否已設立有效的內部管制程序及風險管 (c) whether the person has established effective 理制度，以確保該人遵守本條例任何條文下的 internal control procedures and risk 所有適用的規管性規定；及 management systems to ensure the person’s (d) 該人正經營或擬經營的任何其他業務的狀況。 compliance with all applicable regulatory requirements under any provision of this (3) 凡第 (1) 及 (2) 款適用於某個屬法團的人，在該兩款 Ordinance; and 各段中提述該人，不僅包括該法團，亦包括該法團 的高級人員。 (d) the state of affairs of any other business that the person carries on or proposes to carry on. (4) 如某法團正在申請或持有牌照提供虛擬資產服務， 而某人是該法團的最終擁有人，則第 (1)(c) 款不適 (3) Where subsections (1) and (2) apply to a person that 用於斷定某人是否屬與提供虛擬資產服務的業務有 is a corporation, references to the person in the 聯繫的適當人選。 paragraphs of those subsections include, not only the corporation, but also any officer of the corporation. 在本條中 —— (5) (4) Subsection (1)(c) does not apply in determining 公司集團 (group of companies) 指任何 2 個或多於 2 個法 whether a person, being an ultimate owner of a 團，而其中一個是其餘法團的控權公司。 corporation applying for, or holding, a licence to provide a VA service, is a fit and proper person to be associated with the business of providing the VA service. (5) In this section— group of companies (公司集團) means any 2 or more corporations one of which is the holding company of the other or others (as the case requires). 第 3 次分部 ——持牌提供者 Subdivision 3—Licensed Provider 53ZRK. 申請及批給牌照 53ZRK. Application for and grant of licence (1) 證監會可應申請，向申請人批給牌照以提供虛擬資 (1) The Commission may, on application, grant to the 產服務。 applicant a licence to provide a VA service. (2) 申請須 —— (2) The application must be— (a) 以指明方式，向證監會提出；及 (a) made to the Commission in the specified manner; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A884 第4條 Section 4 A885 (b) 附有訂明費用。 (b) accompanied by the prescribed fee. (3) 證監會僅可在以下條件獲符合的情況下，向申請人 (3) The Commission may grant a licence to an applicant 批給牌照 —— only if— (a) 申請人屬法團，而且屬《公司條例》( 第 622 章 ) (a) the applicant is a corporation that is— 第 2(1) 條所界定的 —— (i) a company as defined by section 2(1) of (i) 公司；或 the Companies Ordinance (Cap. 622); or (ii) 註冊非香港公司；及 (ii) a registered non-Hong Kong company as (b) 證監會信納 —— defined by section 2(1) of the Companies Ordinance (Cap. 622); and (i) 申請人屬就有關虛擬資產服務獲發牌的 適當人選； (b) the Commission is satisfied that— (ii) 至少 2 人申請擔任申請人的負責人員，而 (i) the applicant is a fit and proper person to 其中每一人均屬與提供有關虛擬資產服 be licensed for the VA service; 務的業務有聯繫的適當人選； (ii) not less than 2 persons are applying to be (iii) 申請人的每名董事 ( 不屬第 (ii) 節所指者 )， responsible officers of the applicant and 均屬與提供有關虛擬資產服務的業務有 each person is a fit and proper person to 聯繫的適當人選； be associated with the business of providing the VA service; (iv) 如 就 該 法 團 而 言 有 最 終 擁 有 人 ——該 名 最終擁有人屬與提供有關虛擬資產服務 (iii) each director of the applicant, not falling 的業務有聯繫的適當人選；及 within subparagraph (ii), is a fit and proper person to be associated with the business (v) 已有申請根據第 53ZRR 條提出，尋求批 of providing the VA service; 准處所供申請人用作存放本部規定的紀 錄或文件。 (iv) if there is an ultimate owner in relation to the corporation—the ultimate owner is a fit and proper person to be associated with the business of providing the VA service; and (v) an application has been lodged under section 53ZRR for approval of premises to be used by the applicant for keeping records or documents required under this Part. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A886 第4條 Section 4 A887 (4) 證監會在根據本條批給牌照時，可對牌照施加任何 (4) On granting a licence under this section, the 條件。 Commission may impose any conditions on the (5) 在不局限第 (4) 款的原則下，證監會可對牌照施加 licence. 關於以下事宜的條件 —— (5) Without limiting subsection (4), the Commission may (a) 財政資源； impose on a licence conditions on— (b) 知識及經驗； (a) financial resources; (c) 風險管理政策及程序； (b) knowledge and experience; (d) 打擊洗錢及恐怖分子資金籌集政策及程序； (c) risk management policies and procedures; (e) 客户資產的管理； (d) anti-money laundering and anti-terrorist financing policies and procedures; (f) 業務穩健程度； (e) management of client assets; (g) 財務匯報及披露； (f) soundness of the business; (h) 虛擬資產被納入及交易政策； (g) financial reporting and disclosure; (i) 預防市場操控及違規活動； (h) virtual asset listing and trading policies; (j) 避免利益衝突； (i) prevention of market manipulation and abusive (k) 持牌提供者及其有聯繫實體備存帳目及紀錄； activities; (l) 持牌提供者及其有聯繫實體提供成交單據、收 (j) avoidance of conflicts of interest; 據、户口結單及通知單； (k) keeping of accounts and records by licensed (m) 財務報表及其他文件，以及核數師報告； providers and their associated entities; (n) 持牌提供者及其持牌代表的業務操守； (l) provision of contract notes, receipts, statements (o) 更改的具報或通知；及 of account and notifications by licensed (p) 網絡安全。 providers and their associated entities; (m) financial statements and other documents, and the auditor’s report; (n) business conduct of licensed providers and their licensed representatives; (o) notification of changes; and (p) cybersecurity. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A888 第4條 Section 4 A889 (6) 在 不 局 限 第 (4)、(5) 及 (8) 款 的 原 則 下，根 據 本 條 (6) Without limiting subsections (4), (5) and (8), it is a 批給的提供虛擬資產服務的牌照均附有以下條件： condition of a licence granted under this section for 持牌提供者的至少一名負責人員，可時刻監督該項 providing a VA service that there is at least one 虛擬資產服務的業務。 responsible officer of the licensed provider who is (7) 持牌提供者在提供虛擬資產服務時，須使用牌照上 available at all times to supervise the business of the 指明的名稱，而不得使用其他名稱。 VA service. (8) 證監會如信納就某人的牌照 —— (7) A licensed provider must not, when providing a VA service, use a name other than the name specified in (a) 施加任何新的條件； the licence. (b) 修改任何先前施加的條件；或 (8) In relation to a licence of a person, the Commission (c) 免除任何先前施加的條件， may, at any time, if satisfied that it is reasonable to 在有關情況下屬合理之舉，則可隨時如此行事。 do so in the circumstances— (9) 如根據本條作出的決定屬第 53ZRS(1) 條所指者， (a) impose any new conditions; 則第 53ZRS 條就作出該決定而適用。 (b) amend any previously imposed conditions; or (10) 根 據 第 (8) 款 施 加、修 改 或 免 除 條 件，在 根 據 第 (c) remove any previously imposed conditions. 53ZRS(3) 條 發 出 的 通 知 送 達 時 生 效，或 在 該 通 知 (9) Section 53ZRS applies in relation to the making of a 指明的時間生效，兩者以較後者為準。 decision under this section if the decision falls within section 53ZRS(1). (10) The imposition, amendment or removal of a condition under subsection (8) takes effect at the time of the service of the notice given under section 53ZRS(3) or at the time specified in the notice, whichever is the later. 第 4 次分部 ——持牌代表及對主事人的隸屬關係 Subdivision 4—Licensed Representative and Accreditation to Principal 53ZRL. 申請擔任持牌代表 53ZRL. Application to be licensed representatives (1) 證監會可應申請，向任何個人批給牌照以提供虛擬 (1) The Commission may, on application, grant to an 資產服務，有關牌照的效果，是獲發牌的個人可代 individual a licence to provide a VA service; the effect 表該虛擬資產服務的持牌提供者提供虛擬資產服 of such a licence is that the individual licensed may provide the VA service on behalf of a licensed <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A890 第4條 Section 4 A891 務，前提是該名個人獲得第 53ZRM 條所指的批准 provider of the VA service if the individual is 而隸屬該持牌提供者。 accredited to the licensed provider with approval (2) 申請須 —— under section 53ZRM. (a) 由有關個人以指明方式，向證監會提出；及 (2) The application must be— (b) 附有訂明費用。 (a) made by the individual to the Commission in the specified manner; and (3) 證監會須信納申請人屬就虛擬資產服務獲批給牌照 的適當人選，方可根據第 (1) 款批給牌照以提供有 (b) accompanied by the prescribed fee. 關虛擬資產服務。 (3) The Commission may grant a licence to provide a (4) 證監會在根據本條批給牌照時，可對牌照施加任何 VA service under subsection (1) only if the 條件。 Commission is satisfied that the applicant is a fit and proper person to be so licensed for the VA service. (5) 證監會如信納就持牌代表的牌照 —— (4) On granting a licence under this section, the (a) 施加任何新的條件； Commission may impose any conditions on the (b) 修改任何先前施加的條件；或 licence. (c) 免除任何先前施加的條件， (5) In relation to the licence of a licensed representative, 在有關情況下屬合理之舉，則可隨時如此行事。 the Commission may, at any time, if satisfied that it is reasonable to do so in the circumstances— (6) 如根據本條作出的決定屬第 53ZRS(1) 條所指者， 則第 53ZRS 條就作出該決定而適用。 (a) impose any new conditions; (7) 根 據 第 (5) 款 施 加、修 改 或 免 除 條 件，在 根 據 第 (b) amend any previously imposed conditions; or 53ZRS(3) 條 發 出 的 通 知 送 達 時 生 效，或 在 該 通 知 (c) remove any previously imposed conditions. 指明的時間生效，兩者以較後者為準。 (6) Section 53ZRS applies in relation to the making of a decision under this section if the decision falls within section 53ZRS(1). (7) The imposition, amendment or removal of a condition under subsection (5) takes effect at the time of the service of the notice given under section 53ZRS(3) or at the time specified in the notice, whichever is the later. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A892 第4條 Section 4 A893 (8) 在不局限第 (4) 及 (5) 款的原則下，持牌代表的牌照 (8) Without limiting subsections (4) and (5), it is a 均附有以下條件：該代表須 —— condition of a licence of a licensed representative (a) 時刻令證監會知悉其聯絡辦法詳情，包括 ( 在 that the representative must— 適用範圍內 ) 其住宅地址、電話號碼及電郵地 (a) at all times keep the Commission informed of 址；及 particulars of his or her contact details (b) 在該等詳情有所改變後的 7 個營業日內，將有 including, in so far as applicable, his or her 關改變告知證監會。 residential address, telephone number and electronic mail address; and (9) 持牌代表如以某姓名獲發牌，則在提供虛擬資產服 務時，須使用該姓名，而不得使用其他姓名。 (b) inform the Commission of any change in the particulars within 7 business days after the change takes place. (9) A licensed representative must not, when providing a VA service, use a name other than the name under which the representative is licensed. 53ZRM. 隸屬關係的批准及轉移 53ZRM. Approval and transfer of accreditation (1) 證監會可應申請，批准持牌代表隸屬持牌提供者， (1) The Commission may, on application, approve the 而在證監會批准隸屬關係後，該持牌提供者即成為 accreditation of a licensed representative to a licensed 該持牌代表的主事人。 provider and, on the Commission’s approval of the (2) 證監會可應申請，批准將持牌代表的隸屬關係轉移 accreditation, the licensed provider becomes the 至另一持牌提供者，而在證監會批准轉移後，該另 licensed representative’s principal. 一持牌提供者即成為該持牌代表的主事人。 (2) The Commission may, on application, approve the (3) 為施行第 (1) 或 (2) 款而提出的申請，須 —— transfer of a licensed representative’s accreditation to another licensed provider and, on the Commission’s (a) 由有關持牌代表以指明方式，向證監會提出； approval of the transfer, that other licensed provider 及 becomes the licensed representative’s principal. (b) 附有訂明費用。 (3) An application for the purposes of subsection (1) or (2) must be— (a) made by the licensed representative to the Commission in the specified manner; and (b) accompanied by the prescribed fee. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A894 第4條 Section 4 A895 (4) 證監會須信納有關申請人將會有能力為有關持牌提 (4) The Commission may approve an accreditation or a 供者 ( 或代表有關持牌提供者 ) 履行其作為持牌代 transfer of accreditation under this Part only if the 表的職責達至要求具有的水平，方可根據本部批准 Commission is satisfied that the applicant concerned 隸屬關係或批准轉移隸屬關係。 will be competent to carry out his or her duties to (5) 證監會在根據本條給予批准時，可對有關持牌代表 the requisite standard as a licensed representative for 及持牌提供者施加任何條件。 or on behalf of the licensed provider concerned. (6) 證監會如信納就根據本條給予的批准 —— (5) On giving an approval under this section, the Commission may impose any conditions on the (a) 施加任何新的條件； licensed representative and the licensed provider (b) 修改任何先前施加的條件；或 concerned. (c) 免除任何先前施加的條件， (6) In relation to an approval under this section, the 在有關情況下屬合理之舉，則可隨時如此行事。 Commission may, at any time, if satisfied that it is reasonable to do so in the circumstances— (7) 如根據本條作出的決定屬第 53ZRS(1) 條所指者， 則第 53ZRS 條就作出該決定而適用。 (a) impose any new conditions; (8) 根 據 第 (6) 款 施 加、修 改 或 免 除 條 件，在 根 據 第 (b) amend any previously imposed conditions; or 53ZRS(3) 條 發 出 的 通 知 送 達 時 生 效，或 在 該 通 知 (c) remove any previously imposed conditions. 指明的時間生效，兩者以較後者為準。 (7) Section 53ZRS applies in relation to the making of a decision under this section if the decision falls within section 53ZRS(1). (8) The imposition, amendment or removal of a condition under subsection (6) takes effect at the time of the service of the notice given under section 53ZRS(3) or at the time specified in the notice, whichever is the later. 第 5 次分部 ——更改獲發牌從事的虛擬資產服務 Subdivision 5—Variation of Licensed VA Service 53ZRN. 更改獲發牌從事的虛擬資產服務 53ZRN. Variation of licensed VA service (1) 證監會可應申請，增加、免除或以其他方式更改持 (1) The Commission may, on application, add to, remove 牌提供者或持牌代表獲發牌從事的虛擬資產服務。 or otherwise vary the VA service for which a licensed provider or licensed representative is licensed. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A896 第4條 Section 4 A897 (2) 申請須 —— (2) The application must be— (a) 由持牌提供者或持牌代表以指明方式，向證監 (a) made by the licensed provider or licensed 會提出；及 representative to the Commission in the (b) 附有訂明費用。 specified manner; and (3) 如任何人提出申請，要求增加虛擬資產服務，則就 (b) accompanied by the prescribed fee. 本部而言，該項申請須視為就該項虛擬資產服務而 (3) If a person applies for adding a VA service, the 提出的牌照申請。 application is, for the purposes of this Part, to be regarded as an application for a licence in relation to that VA service. 第 4 分部 ——證監會的批准 Division 4—Approvals by Commission 53ZRO. 對負責人員的規定 53ZRO. Requirements for responsible officers (1) 除非以下條件獲符合，否則持牌提供者不得提供任 (1) A licensed provider must not provide any VA service 何虛擬資產服務 —— unless— (a) 該持牌提供者每名屬個人的執行董事，均就該 (a) every executive director of the licensed provider 項虛擬資產服務，根據第 53ZRP 條獲批准擔 who is an individual is approved under section 任該持牌提供者的負責人員； 53ZRP as a responsible officer of the licensed (b) 不少於 2 名個人就該項虛擬資產服務，根據第 provider in relation to the VA service; 53ZRP 條獲批准擔任該持牌提供者的負責人 (b) not less than 2 individuals, at least one of whom 員，而其中至少一名是該持牌提供者的執行董 must be an executive director of the licensed 事；及 provider, are approved under section 53ZRP as (c) 該持牌提供者的至少一名負責人員通常居於香 the responsible officers of the licensed provider 港。 in relation to the VA service; and (2) 任何持牌提供者無合理辯解而違反第 (1) 款，即屬 (c) at least one responsible officer of the licensed 犯罪，一經定罪，可處第 6 級罰款，如屬持續的罪 provider ordinarily resides in Hong Kong. 行，則 可 就 罪 行 持 續 期 間 的 每 一 日，另 處 罰 款 (2) A licensed provider who, without reasonable excuse, $2,000 。 contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 6 and, in the case of a continuing offence, to a further fine of $2,000 for every day during which the offence continues. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A898 第4條 Section 4 A899 53ZRP. 負責人員的批准 53ZRP. Approval of responsible officers (1) 證監會可應持牌代表以指明方式提出的申請，並在 (1) The Commission may, on application by a licensed 訂明費用獲繳付後，批准申請人擔任其隸屬的持牌 representative in the specified manner and payment 提供者的負責人員。 of a prescribed fee, approve the applicant as a (2) 除非證監會信納以下事宜，否則該會須拒絕批准申 responsible officer of the licensed provider to which 請人擔任持牌提供者的負責人員 —— the applicant is accredited. (a) 申請人屬獲如此批准的適當人選；及 (2) The Commission must refuse to approve an applicant as a responsible officer of a licensed provider unless (b) 在該持牌提供者內，申請人具有充分的權限。 the Commission is satisfied that— (3) 證監會在根據本條給予批准時，可對有關負責人員 (a) the applicant is a fit and proper person to be so 及持牌提供者施加任何條件。 approved; and (4) 證監會如信納就對持牌提供者的負責人員的批 (b) the applicant has sufficient authority within the 准 —— licensed provider. (a) 施加任何新的條件； (3) On giving approval under this section, the (b) 修改任何先前施加的條件；或 Commission may impose any conditions on the (c) 免除任何先前施加的條件， responsible officer and the licensed provider concerned. 在有關情況下屬合理之舉，則可隨時如此行事。 (4) In relation to the approval of a person as a (5) 如根據本條作出的決定屬第 53ZRS(1) 條所指者， responsible officer of a licensed provider, the 則第 53ZRS 條就作出該決定而適用。 Commission may, at any time, if satisfied that it is (6) 如有以下情況，對某名個人擔任持牌提供者的負責 reasonable to do so in the circumstances— 人員的批准，即當作被撤銷 —— (a) impose any new conditions; (b) amend any previously imposed conditions; or (c) remove any previously imposed conditions. (5) Section 53ZRS applies in relation to the making of a decision under this section if the decision falls within section 53ZRS(1). (6) The approval of an individual as a responsible officer of a licensed provider is deemed to be revoked if the individual— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A900 第4條 Section 4 A901 (a) 該名個人不再以持牌代表身分，為該持牌提供 (a) ceases to act as a licensed representative for or 者或代表該持牌提供者行事；或 on behalf of the licensed provider; or (b) 該名個人不再隸屬該持牌提供者。 (b) ceases to be accredited to the licensed provider. 53ZRQ. 最終擁有人 53ZRQ. Ultimate ownership (1) 除非證監會已應某人的申請而給予書面批准，否則 (1) A person must not become an ultimate owner of a 該人不得成為持牌提供者的最終擁有人。 licensed provider unless the Commission has, on (2) 證監會可應以指明方式提出的申請，並在訂明費用 application by the person, given its approval in 獲得繳付後，批准申請人成為持牌提供者的最終擁 writing. 有人。 (2) The Commission may, on application in the specified (3) 證 監 會 給 予 批 准 的 先 決 條 件，是 申 請 人 令 該 會 信 manner and payment of a prescribed fee, approve the 納，若申請獲得批准，有關持牌提供者將繼續屬獲 applicant to become an ultimate owner of a licensed 發牌的適當人選。 provider. (4) 證監會在根據本條給予批准時，可對有關申請人及 (3) The Commission may give an approval only if the 持牌提供者施加任何條件。 applicant satisfies the Commission that the licensed provider will remain a fit and proper person to be (5) 證監會如信納就對持牌提供者的最終擁有人的批 licensed if the application is approved. 准 —— (4) On giving an approval under this section, the (a) 施加任何新的條件； Commission may impose any conditions on the (b) 修改任何先前施加的條件；或 applicant and the licensed provider concerned. (c) 免除任何先前施加的條件， (5) In relation to the approval for an ultimate owner of 在有關情況下屬合理之舉，則可隨時如此行事。 a licensed provider, the Commission may, at any time, if satisfied that it is reasonable to do so in the (6) 如根據本條作出的決定屬第 53ZRS(1) 條所指者， circumstances— 則第 53ZRS 條就作出該決定而適用。 (a) impose any new conditions; (b) amend any previously imposed conditions; or (c) remove any previously imposed conditions. (6) Section 53ZRS applies in relation to the making of a decision under this section if the decision falls within section 53ZRS(1). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A902 第4條 Section 4 A903 (7) 根 據 第 (5) 款 施 加、修 改 或 免 除 條 件，在 根 據 第 (7) The imposition, amendment or removal of a 53ZRS(3) 條 發 出 的 通 知 送 達 時 生 效，或 在 該 通 知 condition under subsection (5) takes effect at the 指明的時間生效，兩者以較後者為準。 time of the service of the notice given under section (8) 在不局限第 (4) 及 (5) 款的原則下，上述批准附有以 53ZRS(3) or at the time specified in the notice, 下條件：獲批准的最終擁有人須 —— whichever is the later. (a) 時刻令證監會知悉其聯絡辦法詳情；及 (8) Without limiting subsections (4) and (5), it is a condition of an approval that the approved ultimate (b) 在該等詳情有所改變後的 7 個營業日內，將有 owner must— 關改變通知證監會。 (a) at all times keep the Commission informed of (9) 任何人無合理辯解而違反第 (1) 款，即屬犯罪 —— particulars of the ultimate owner’s contact (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 details; and 監禁 2 年，另就該人在沒有證監會的批准下繼 (b) inform the Commission of any change in the 續 是 最 終 擁 有 人 期 間 的 每 一 日，可 處 罰 款 particulars within 7 business days after the $5,000；或 change takes place. (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 (9) A person who, without reasonable excuse, 6 個月，另就該人在沒有證監會的批准下繼續 contravenes subsection (1) commits an offence and is 是最終擁有人期間的每一日，可處罰款 $500 。 liable— (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 2 years, and to a further fine of $5,000 for every day during which the person continues to be such ultimate owner without the Commission’s approval; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months, and to a further fine of $500 for every day during which the person continues to be such ultimate owner without the Commission’s approval. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A904 第4條 Section 4 A905 53ZRR. 存放紀錄或文件的處所 53ZRR. Premises for keeping records or documents (1) 持牌提供者只可在經證監會批准的處所，存放任何 (1) A licensed provider must keep records or documents 指明規定所規定的紀錄或文件。 required under any specified requirement only at any (2) 將處所用作上述用途的申請，須以指明方式，向證 premises that are approved by the Commission. 監會提出，並須附有訂明費用。 (2) An application to use premises for such purpose (3) 證監會可批准按照第 (2) 款提出的申請。 must be made to the Commission in the specified manner, and must be accompanied by the prescribed (4) 證監會須信納有關處所屬適合用作存放任何指明規 fee. 定所規定的紀錄或文件的非住宅處所，方可批准申 請。 (3) The Commission may approve an application made in accordance with subsection (2). (5) 證監會須在批准申請後，在合理地切實可行的範圍 內，盡快更新根據第 53ZRH 條備存的登記冊的相 (4) The Commission may approve an application only if 關詳情。 the Commission is satisfied that the premises are non-domestic premises that are suitable to be used 在本條中 —— (6) for keeping records or documents required under any 非住宅處所 (non-domestic premises) 指 任 何 並 非 住 宅 處 specified requirement. 所的處所。 (5) As soon as reasonably practicable after granting an application, the Commission must update the relevant particulars in the register maintained under section 53ZRH. (6) In this section— non-domestic premises (非住宅處所) means any premises other than domestic premises. 第 5 分部 ——第 3 及 4 分部的補充條文 Division 5—Provisions Supplementary to Divisions 3 and 4 53ZRS. 程序規定 53ZRS. Procedural requirements (1) 本條就作出決定 ( 第 (1) 款決定 ) 以作出以下任何行 (1) This section applies in relation to the making of a 為而適用 —— decision to do any of the following (subsection (1) decision)— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A906 第4條 Section 4 A907 (a) 拒絕根據第 53ZRK 條批給牌照； (a) to refuse to grant a licence under section (b) 根據第 53ZRK 條，對牌照施加條件，或修改 53ZRK; 或免除牌照條件； (b) to impose a condition on, or amend or remove (c) 拒絕根據第 53ZRL 條批給牌照； a condition of, a licence under section 53ZRK; (d) 根 據 第 53ZRL 條，對 牌 照 施 加 條 件，或 修 改 (c) to refuse to grant a licence under section 或免除牌照條件； 53ZRL; (e) 拒絕根據第 53ZRM 條批准隸屬關係或批准轉 (d) to impose a condition on, or amend or remove 移隸屬關係； a condition of, a licence under section 53ZRL; (f) 根據第 53ZRM 條，對隸屬關係或轉移隸屬關 (e) to refuse to approve an accreditation or transfer 係施加條件，或修改或免除隸屬關係或轉移隸 of an accreditation under section 53ZRM; 屬關係的條件； (f) to impose a condition on, or amend or remove (g) 拒絕根據第 53ZRN 條增加、免除或以其他方 a condition of, an accreditation or transfer of 式更改持牌提供者或持牌代表獲發牌從事的任 an accreditation under section 53ZRM; 何虛擬資產服務； (g) to refuse to add, remove or otherwise vary, (h) 拒絕根據第 53ZRP 條批准某人擔任持牌提供 under section 53ZRN, any VA service for which 者的負責人員，或拒絕根據第 53ZRQ 條批准 a licensed provider or licensed representative is 某人成為持牌提供者的最終擁有人； licensed; (i) 對根據第 53ZRP 條批准某人擔任持牌提供者 (h) to refuse to approve a person as a responsible 的負責人員施加條件，或就根據該條對某人擔 officer of a licensed provider under section 任上述負責人員的批准修改條件或免除該等條 53ZRP or to refuse to approve a person to 件； become an ultimate owner of a licensed provider under section 53ZRQ; (i) to impose a condition in approving a person as a responsible officer of a licensed provider under section 53ZRP or to amend or remove a condition in relation to the approval of a person as such a responsible officer under that section; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A908 第4條 Section 4 A909 (j) 對根據第 53ZRQ 條批准某人成為持牌提供者 (j) to impose a condition in approving a person to 的最終擁有人施加條件，或就根據該條對某人 become an ultimate owner of a licensed provider 成為上述最終擁有人的批准修改或免除條件； under section 53ZRQ or to amend or remove a (k) 拒絕根據第 53ZRR 條批准處所。 condition in relation to the approval of such an ultimate owner under that section; (2) 如證監會形成初步意見，傾向就某人作出第 (1) 款 決定，則該會須在作出該決定前，將形成初步意見 (k) to refuse to approve premises under section 的理由告知該人，並給予該人合理的陳詞機會。 53ZRR. (3) 當證監會就某人作出第 (1) 款決定，該會須在合理 (2) If the Commission forms a preliminary view to make 地切實可行的範圍內，盡快藉書面通知，將該決定 a subsection (1) decision in relation to a person, the 告知該人，該通知須載有 —— Commission must, before making the decision, inform the person of the ground for the preliminary (a) 一項陳述，說明作出該決定的理由；及 view and give the person a reasonable opportunity to (b) 一 項 陳 述，指 出 該 人 可 向 覆 核 審 裁 處 提 出 申 be heard. 請，要求覆核該決定。 (3) When the Commission makes a subsection (1) decision in relation to a person, it must, as soon as reasonably practicable, notify the person of the decision by written notice and the notice must include— (a) a statement of the reasons for the decision; and (b) a statement that the person may apply to the Review Tribunal for a review of the decision. 第 6 分部 ——客户資產 Division 6—Client Assets 53ZRT. 由持牌提供者及其有聯繫實體持有的客户資產 53ZRT. Client assets held by licensed providers and their associated (1) 在針對持牌提供者或其有聯繫實體而執行法庭命令 entities 或法庭程序文件的過程中，不得取去該持牌提供者 (1) Client assets of a licensed provider are not liable to 的客户資產。 be taken in execution against the licensed provider or an associated entity of the licensed provider under an order or process of a court. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A910 第4條 Section 4 A911 (2) 第 (1) 款不得解釋為剝奪或影響任何人就持牌提供 (2) Subsection (1) is not to be construed as taking away 者的客户資產 ( 不論是由該持牌提供者或其有聯繫 or affecting a lawful claim or lien that any person has 實體收取或持有的 ) 所享有的合法申索權或留置權。 in respect of client assets of a licensed provider (3) 然而，第 (2) 款所提述的申索權或留置權的存在， (whether received or held by the licensed provider or 並不免除任何持牌提供者或其有聯繫實體的責任， an associated entity of the licensed provider). 使其無須遵守根據本條例任何條文公布的守則或指 (3) However, the existence of any claim or lien referred 引中對其適用的規定。 to in subsection (2) does not relieve a licensed provider or an associated entity of a licensed provider of the duty to comply with the requirements of any code or guideline published under any provision of this Ordinance that apply to it. 第 7 分部 ——持牌人關於具報、年費及周年申報表 Division 7—Licensed Persons’ Obligations Regarding 的責任 Notification, Annual Fees and Annual Returns 53ZRU. 具報詳情改變 53ZRU. Notification of change in particulars (1) 如某持牌人或某持牌提供者的最終擁有人，已根據 (1) A licensed person or an ultimate owner of a licensed 本分部或第 3 或 4 分部，向證監會提供任何資料， provider must, in the circumstances as prescribed 而該資料有所改變，則在指明規定訂明的情況下， under the specified requirements, notify the 該持牌人或最終擁有人 ( 視情況所需而定 ) 須在該 Commission in writing of any change, in any 項改變發生後的 7 個營業日內，藉書面將該項改變 information that the licensed person or ultimate 向證監會具報，並提供該項改變的詳盡描述。 owner (as the case requires) has provided to the (2) 如在與根據本部提出的申請相關的情況下，提供有 Commission under this Division or under Division 3 關資料，而該申請已被拒絕或撤回，則本條不再就 or 4, within 7 business days after the change, together 該資料而適用。 with a full description of the change. (3) 任何人無合理辯解而違反第 (1) 款，即屬犯罪，一 (2) If the information has been provided in connection 經定罪，可處第 5 級罰款。 with an application under this Part and the application has been refused or withdrawn, this section no longer applies in relation to the information. (3) A person who, without reasonable excuse, contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 5. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A912 第4條 Section 4 A913 53ZRV. 具報擬停業等 53ZRV. Notification of intended cessation of business etc. (1) 就虛擬資產服務獲發牌的持牌人如擬停止提供該項 (1) A licensed person who intends to cease to provide 服務，則須在合理地切實可行的範圍內，盡快 ( 但 any VA service for which it is licensed must notify 無論如何須在擬停止之前的 7 個營業日之前 ) 藉書 the Commission, in writing, as soon as reasonably 面向證監會具報。 practicable and in any event not later than 7 business (2) 持牌提供者如擬更改其擬用作提供任何虛擬資產服 days before the intended cessation. 務的地址，須藉書面給予證監會至少 7 個營業日的 (2) A licensed provider must notify the Commission, in 事先通知。 writing, at least 7 business days in advance if it (3) 如某人成為或終止擔任持牌提供者的董事，該人及 intends to change the address at which it proposes to 該持牌提供者均須在有關改變發生後的 7 個營業日 provide any VA service. 內，藉書面通知，將該人的姓名或名稱及地址，以 (3) If a person becomes or ceases to be a director of a 及該人所擔任或停任的職位的性質，向證監會具報。 licensed provider, both the person and the licensed (4) 任 何 人 無 合 理 辯 解 而 違 反 第 (1)、(2) 或 (3) 款，即 provider must, within 7 business days after the 屬犯罪，一經定罪，可處第 5 級罰款。 change, notify the Commission, by written notice, of the name and address of the person and of the nature of the position the person occupies or ceases to occupy. (4) A person who, without reasonable excuse, contravenes subsection (1), (2) or (3) commits an offence and is liable on conviction to a fine at level 5. 53ZRW. 有聯繫實體：業務的具報及限制 53ZRW. Associated entities: notification and restriction on business (1) 持牌提供者的有聯繫實體須在成為或不再是上述有 (1) An associated entity of a licensed provider must 聯繫實體後的 7 個營業日內，將此事及附表 3D 指 within 7 business days after it becomes, or ceases to 明的其他詳情，藉書面向證監會具報。 be, such an associated entity, notify the Commission, (2) 如第 (1) 款規定持牌提供者的有聯繫實體須提供的 in writing, of that fact and other particulars specified 詳 情 有 任 何 改 變，該 實 體 須 在 有 關 改 變 發 生 後 的 in Schedule 3D. (2) If there is any change in the particulars required to be provided by an associated entity of a licensed provider under subsection (1), the associated entity must within 7 business days after the change notify <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A914 第4條 Section 4 A915 7 個營業日內，藉書面通知將此事向證監會具報， the Commission, by written notice, of that fact and 並在通知內提供該項改變的詳情。 provide in the notice particulars of the change. (3) 除非獲證監會書面另行授權，否則持牌提供者的有 (3) Unless otherwise authorized in writing by the 聯繫實體在成為上述實體後的任何時間，除經營收 Commission, an associated entity of a licensed 取或持有該持牌提供者的客户資產的業務外，不得 provider must not, at any time after becoming such 經營任何業務。 an entity, conduct any business other than that of (4) 如持牌提供者的有聯繫實體無合理辯解而違反第 receiving or holding client assets of the licensed (1)、(2) 或 (3) 款，該實體即屬犯罪 —— provider. (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 (4) If an associated entity of a licensed provider, without 禁 2 年；或 reasonable excuse, contravenes subsection (1), (2) or (3), the associated entity commits an offence and is (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 liable— 6 個月。 (a) on conviction on indictment to a fine of $200,000 (5) 如持牌提供者的有聯繫實體出於欺詐意圖，而違反 and to imprisonment for 2 years; or 第 (1)、(2) 或 (3) 款，該實體即屬犯罪 —— (b) on summary conviction to a fine at level 6 and (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 to imprisonment for 6 months. 監禁 7 年；或 (5) If an associated entity of a licensed provider, with (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 intent to defraud, contravenes subsection (1), (2) or 禁 1 年。 (3), the associated entity commits an offence and is (6) 持牌提供者的有聯繫實體如察覺本身沒有遵守第 liable— (1)、(2) 或 (3) 款，則須在察覺此事之後的 1 個營業 (a) on conviction on indictment to a fine of 日內，藉書面通知將此事及背景情況向證監會具報。 $1,000,000 and to imprisonment for 7 years; or (b) on summary conviction to a fine of $500,000 and to imprisonment for 1 year. (6) If an associated entity of a licensed provider becomes aware that it does not comply with subsection (1), (2) or (3), it must within 1 business day after becoming aware of that fact notify the Commission, by written notice, of that fact and of the surrounding circumstances. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A916 第4條 Section 4 A917 (7) 如持牌提供者的有聯繫實體違反第 (6) 款，該實體 (7) If an associated entity of a licensed provider 即屬犯罪 —— contravenes subsection (6), the associated entity (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 commits an offence and is liable— 禁 2 年；或 (a) on conviction on indictment to a fine of $200,000 (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 and to imprisonment for 2 years; or 6 個月。 (b) on summary conviction to a fine at level 6 and (8) 持牌提供者的有聯繫實體不得僅以遵守第 (6) 款可 to imprisonment for 6 months. 能會導致其入罪為理由，而獲免遵守該款。 (8) An associated entity of a licensed provider is not (9) 如第 (6) 款規定某人須將任何事宜向證監會具報， excused from complying with subsection (6) only on 而該項具報可能會導致該人入罪，則該項具報不得 the ground that to do so might tend to incriminate it. 在法庭刑事法律程序中接納為針對該人的證據，但 (9) If a person is required under subsection (6) to notify 以下法律程序除外 —— the Commission of any matter, and the notification (a) 該人就該項具報而被控犯第 (7) 款所訂罪行； might tend to incriminate the person, then the 或 notification is not admissible in evidence against the person in criminal proceedings in a court of law (b) 該人就該項具報而被控犯《刑事罪行條例》( 第 other than the proceedings in which— 200 章 ) 第 V 部所訂罪行。 (a) the person is charged with an offence under subsection (7) in respect of the notification; or (b) the person is charged with an offence under Part V of the Crimes Ordinance (Cap. 200) in respect of the notification. 53ZRX. 持牌代表終止為主事人行事：後果及通知 53ZRX. Licensed representative ceasing to act for principal: (1) 如隸屬持牌提供者的持牌代表終止以持牌代表身 consequences and notification 分，為該持牌提供者或代表該持牌提供者行事，該 (1) A licensed representative accredited to a licensed 持牌代表即終止如此隸屬該持牌提供者。 provider ceases to be so accredited on the licensed (2) 如隸屬持牌提供者的持牌代表終止以持牌代表身 representative ceasing to act for or on behalf of the 分，為 該 持 牌 提 供 者 或 代 表 該 持 牌 提 供 者 行 事， licensed provider as a licensed representative. (2) If a licensed representative accredited to a licensed provider ceases to act for or on behalf of the licensed provider as a licensed representative, the licensed <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A918 第4條 Section 4 A919 該持牌提供者須在此事發生後的 7 個營業日內，將 provider must, within 7 business days after the 此事向證監會具報。 cessation, notify the Commission of the cessation. (3) 如屬持牌代表的個人 —— (3) If an individual who is a licensed representative— (a) 終止隸屬持牌提供者；及 (a) ceases to be accredited to a licensed provider; (b) 沒有在上述終止隸屬發生後的 180 日內，根據 and 本部提出申請，尋求將其隸屬關係轉移至另一 (b) has not applied for transfer of the individual’s 持牌提供者， accreditation to another licensed provider under 則批給該名個人擔任持牌代表的牌照，須當作在上 this Part within 180 days after the cessation, 述終止隸屬發生時被撤銷。 the licence granted to the individual to be a licensed (4) 任 何 人 違 反 第 (2) 款，即 屬 犯 罪，一 經 定 罪，可 處 representative is deemed to have been revoked on the 第 6 級罰款。 cessation. (4) A person who contravenes subsection (2) commits an offence and is liable on conviction to a fine at level 6. 53ZRY. 年費及周年申報表 53ZRY. Annual fee and annual return (1) 持牌人須在以下時間，向證監會繳付訂明費用 —— (1) A licensed person must pay to the Commission a (a) 批給牌照日期的每個周年日後的 1 個月內；或 prescribed fee— 證監會藉書面通知批准的另一日期或之前。 (b) (a) within 1 month after each anniversary of the date of grant of the licence; or (2) 持牌人如不依照第 (1) 款的規定全數繳付訂明費用， 則須向證監會繳付按以下方式計算的附加款項 —— (b) by another date approved by the Commission by written notice. (a) 就到期繳付之日後的首個月而言，附加款項為 訂明費用的 10%，或訂明費用中仍未繳付的部 (2) In default of full payment of the prescribed fee as 分的 10%； required under subsection (1), the person must pay to the Commission an additional sum calculated as (b) 如 訂 明 費 用 仍 未 獲 繳 付，則 就 其 後 每 個 月 而 follows— 言，附加款項為訂明費用的 20%，或訂明費用 中仍未繳付的部分的 20%。 (a) 10% of the fee or such part of the fee that remains unpaid for the first month after the due date for its payment; (b) 20% of the fee or such part of the fee for each subsequent month when it remains unpaid. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A920 第4條 Section 4 A921 (3) 在為施行第 (2) 款而計算附加款項時，不足一個月 (3) In calculating the additional sum for the purposes of 亦視為一個月。 subsection (2), any fraction of a month is treated as (4) 持牌人須 —— a month. (a) 在以下時間，向證監會呈交周年申報表 —— (4) A licensed person must— (i) 批給牌照日期的每個周年日後的 1 個月 (a) submit an annual return to the Commission— 內；或 (i) within 1 month after each anniversary of (ii) 證監會藉書面通知批准的另一日期或之 the date of grant of the licence; or 前；及 (ii) by another date approved by the (b) 將附表 3E 指明的資料，納入該申報表。 Commission by written notice; and (b) include in the return the information specified in Schedule 3E. 第 8 分部 ——持牌提供者及其有聯繫實體須呈交經 Division 8—Licensed Provider and its Associated 審計帳目等 Entities Required to Submit Audited Accounts etc. 53ZRZ. 第 8 分部的釋義 53ZRZ. Interpretation of Division 8 在本分部中 —— In this Division— 訂明核數師 (prescribed auditor) 就某須予審計實體而言， auditable entity (須予審計實體) means— 指該實體根據第 53ZS(1) 或 (3) 或 53ZSG 條委任的 (a) a licensed provider; or 核數師； (b) an associated entity of a licensed provider; 第 53ZSH 條 核 數 師 (section 53ZSH auditor) ——參 閱 第 prescribed auditor (訂明核數師), in relation to an auditable 53ZSH 條； entity, means an auditor appointed under section 須予審計實體 (auditable entity) 指 —— 53ZS(1) or (3) or 53ZSG by the auditable entity; (a) 持牌提供者；或 section 53ZSH auditor (第53ZSH條核數師)—see section (b) 持牌提供者的有聯繫實體。 53ZSH. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A922 第4條 Section 4 A923 53ZS. 須予審計實體須委任訂明核數師 53ZS. Auditable entity to appoint prescribed auditor (1) 持牌提供者須在獲發牌後的 1 個月內，委任合資格 (1) A licensed provider must, within 1 month after it 核數師，以執行根據或依據本條例或其他條例規定 becomes licensed, appoint an eligible auditor to 的該持牌提供者的核數師的職能。 perform the functions required of an auditor of the (2) 持牌提供者須在根據第 (1) 款委任核數師後的 7 個 licensed provider under or pursuant to the provisions 營業日內，藉書面通知，將該核數師的姓名或名稱 of this or any other Ordinance. 及地址向證監會具報。 (2) A licensed provider must, within 7 business days after (3) 持牌提供者的有聯繫實體須在成為上述有聯繫實體 making an appointment under subsection (1), notify 後的 1 個月內，委任合資格核數師，以執行根據或 the Commission, by written notice, of the name and 依據本條例或其他條例規定的該有聯繫實體的核數 address of the auditor. 師的職能。 (3) An associated entity of a licensed provider must, (4) 持牌提供者的有聯繫實體須在根據第 (3) 款委任核 within 1 month after the associated entity becomes 數師後的 7 個營業日內，藉書面通知，將該核數師 such an associated entity, appoint an eligible auditor 的姓名或名稱及地址向證監會具報。 to perform the functions required of an auditor of the associated entity under or pursuant to the (5) 任何人違反第 (1) 或 (3) 款，即屬犯罪 —— provisions of this or any other Ordinance. (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 (4) An associated entity of a licensed provider must, 禁 1 年；或 within 7 business days after making an appointment 一經循簡易程序定罪，可處第 5 級罰款及監禁 (b) under subsection (3), notify the Commission, by 6 個月。 written notice, of the name and address of the (6) 任何人違反第 (2) 或 (4) 款，即屬犯罪，一經定罪， auditor. 可處第 5 級罰款。 (5) A person who contravenes subsection (1) or (3) commits an offence and is liable— (a) on conviction on indictment to a fine of $200,000 and to imprisonment for 1 year; or (b) on summary conviction to a fine at level 5 and to imprisonment for 6 months. (6) A person who contravenes subsection (2) or (4) commits an offence and is liable on conviction to a fine at level 5. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A924 第4條 Section 4 A925 (7) 在 第 (1) 或 (3) 款 中 提 述 合 資 格 核 數 師，須 按 照 第 (7) A reference in subsection (1) or (3) to an eligible 53ZSA 條解釋。 auditor is to be construed in accordance with section 53ZSA. 53ZSA. 核數師的獲委任資格 53ZSA. Eligibility of auditor for appointment (1) 如某人符合以下說明，則該人沒有資格獲委任為持 (1) A person is not eligible for appointment as an 牌提供者或其任何有聯繫實體的核數師 —— auditor of a licensed provider or any of its associated (a) 該人是該持牌提供者或其任何有聯繫實體的高 entities if the person— 級人員或僱員； (a) is an officer or employee of the licensed (b) 該人正受僱於 (a) 段所描述的高級人員或僱員； provider or any of its associated entities; 或 (b) is in the employment of an officer or employee (c) 該人屬規則訂明的類別的人。 described in paragraph (a); or (2) 在不抵觸第 (1) 款的條文下，凡持牌提供者或其任 (c) belongs to a class of persons prescribed by 何有聯繫實體的帳目須予審計，即使某人已獲該持 rules. 牌提供者或實體委任為核數師 ( 不論該項委任是為 (2) Subject to subsection (1), a person is eligible for 《公 司 條 例》( 第 622 章 ) 的 目 的 或 為 其 他 目 的 而 作 appointment as an auditor of a licensed provider or 出 )，該人除該項委任外，仍有資格獲委任為該持 any of its associated entities, even if the person is, 牌提供者或實體的核數師。 apart from that appointment, already an auditor appointed by the licensed provider or the associated entity the accounts of which are to be audited, whether for the purposes of the Companies Ordinance (Cap. 622) or otherwise. 53ZSB. 須予審計實體須具報財政年度 53ZSB. Auditable entity to notify financial year (1) 持牌提供者須在獲發牌後的 1 個月內，藉書面通知， (1) A licensed provider must, within 1 month after it 將其財政年度的終結日期向證監會具報。 becomes licensed, notify the Commission, by written (2) 持牌提供者的有聯繫實體須在成為上述有聯繫實體 notice, of the date on which its financial year ends. 後的 1 個月內，藉書面通知，將該實體的財政年度 (2) An associated entity of a licensed provider must, 的終結日期向證監會具報。 within 1 month after it becomes such an associated entity, notify the Commission, by written notice, of the date on which the associated entity’s financial year ends. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A926 第4條 Section 4 A927 (3) 除非獲證監會根據第 (5)(a)(i) 款給予書面批准，並 (3) Except with the approval in writing of the 在 根 據 第 (5)(b) 款 施 加 的 條 件 的 規 限 下 行 事，否 Commission under subsection (5)(a)(i) and subject to 則 —— any conditions imposed under subsection (5)(b)— (a) 持牌提供者不得更改其財政年度的終結日期； (a) a licensed provider must not alter the date on 及 which its financial year ends; and (b) 持牌提供者的有聯繫實體不得更改其財政年度 (b) an associated entity of a licensed provider must 的終結日期。 not alter the date on which the associated (4) 除非獲證監會根據第 (5)(a)(ii) 款給予書面批准，並 entity’s financial year ends. 在 根 據 第 (5)(b) 款 施 加 的 條 件 的 規 限 下 行 事，否 (4) Except with the approval in writing of the 則 —— Commission under subsection (5)(a)(ii) and subject (a) 持牌提供者不得採用一段超過 12 個月的期間 to any conditions imposed under subsection (5)(b)— 作為其財政年度；及 (a) a licensed provider must not adopt a period that (b) 持牌提供者的有聯繫實體不得採用一段超過 exceeds 12 months as its financial year; and 12 個月的期間作為其財政年度。 (b) an associated entity of a licensed provider must (5) 證監會可應須予審計實體提出的書面申請 —— not adopt a period that exceeds 12 months as the associated entity’s financial year. (a) 就以下事宜給予書面批准 —— (5) On an application in writing by an auditable entity, (i) 更改該實體的財政年度的終結日期；或 the Commission— (ii) 採用一段超過 12 個月的期間，作為該實 (a) may grant approval in writing in respect of— 體的財政年度；及 (i) an alteration of the date on which financial (b) 在給予上述批准時，施加證監會認為適當的任 year of the auditable entity ends; or 何條件。 (ii) the adoption of a period exceeding 12 (6) 任 何 人 違 反 第 (1)、(2)、(3) 或 (4) 款，或 違 反 依 據 months as the financial year of the 第 (5) 款 施 加 的 條 件，即 屬 犯 罪，一 經 定 罪，可 處 auditable entity; and 第 5 級罰款。 (b) may impose any conditions that the Commission considers appropriate on the approval. (6) A person who contravenes subsection (1), (2), (3) or (4), or a condition imposed pursuant to subsection (5), commits an offence and is liable on conviction to a fine at level 5. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A928 第4條 Section 4 A929 (7) 本條不影響《公司條例》( 第 622 章 ) 第 429 條的施行。 (7) Nothing in this section affects the operation of section 429 of the Companies Ordinance (Cap. 622). 53ZSC. 須予審計實體須呈交經審計帳目等 53ZSC. Auditable entity to submit audited accounts etc. (1) 須予審計實體須 —— (1) An auditable entity must— (a) 為訂明期間，擬備訂明財務報表及其他訂明文 (a) prepare prescribed financial statements and 件；及 other prescribed documents for prescribed (b) 在該等報表及文件所關乎的財政年度終結後的 periods; and 4 個月內，將該等報表及文件，連同訂明核數 (b) submit the financial statements and other 師報告，呈交予證監會。 documents, together with a report of the (2) 就某虛擬資產服務獲發牌的持牌提供者如在訂明情 prescribed auditor, to the Commission not later 況下，終止提供該項服務，該持牌提供者以及不再 than 4 months after the end of the financial 是 持 牌 提 供 者 的 有 聯 繫 實 體 的 有 聯 繫 實 體，均 year to which they relate. 須 —— (2) A licensed provider that, in prescribed circumstances, (a) 擬備以該項終止當日 ( 包括該日 ) 狀況為準的 ceases to provide the VA service for which it is 訂明財務報表及其他訂明文件；及 licensed to provide, and an associated entity of a licensed provider that ceases to be such an associated (b) 在該項終止當日後的 4 個月內，將該等報表及 entity, must— 文件，連同訂明核數師報告，呈交予證監會。 (a) prepare prescribed financial statements and (3) 在不局限第 (1) 及 (2) 款的原則下，該等條文之下的 other prescribed documents, which must be 規定 ( 關乎該等條文提述的訂明財務報表、其他訂 made up to (and including) the date of the 明文件及訂明核數師報告者 )，包括以下規定 —— cessation; and (b) submit the financial statements and other documents, together with a report of the prescribed auditor, to the Commission not later than 4 months after the date of the cessation. (3) Without limiting subsections (1) and (2), the requirements under those subsections relating to the prescribed financial statements and other prescribed documents, and the report of the prescribed auditor, referred to in those subsections include the requirements that— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A930 第4條 Section 4 A931 (a) 訂明財務報表及其他訂明文件，須關乎訂明事 (a) the prescribed financial statements and other 宜，並載有訂明詳情； prescribed documents are to relate to prescribed (b) 訂明核數師報告，須載有訂明詳情，包括訂明 matters and contain prescribed particulars; 意見陳述； (b) the report of the prescribed auditor is to 訂明財務報表、其他訂明文件及訂明核數師報 (c) contain prescribed particulars, including a 告，須按照訂明原則或訂明基礎擬備；及 prescribed statement of opinion; (d) 在 不 局 限《公 司 條 例》( 第 622 章 ) 第 387 條 的 (c) the prescribed financial statements and other 原則下，訂明財務報表及其他訂明文件，須由 prescribed documents, and the report of the 訂明人士簽署。 prescribed auditor, are to be prepared in accordance with prescribed principles or (4) 如第 (1) 或 (2) 款規定須呈交訂明財務報表、其他訂 prescribed bases; and 明文件及訂明核數師報告的須予審計實體提出書面 申 請，證 監 會 可 應 上 述 申 請，將 呈 交 訂 明 財 務 報 (d) without limiting section 387 of the Companies 表、其他訂明文件及訂明核數師報告的限期，在該 Ordinance (Cap. 622), the prescribed financial 會認為適當的條件的規限下，延展該會認為適當的 statements and other prescribed documents are 一段期間，但該會須信納如此延展限期具有特殊理 to be signed by a prescribed person. 由，方可如此延展限期。 (4) On an application in writing by the auditable entity (5) 如證監會延展限期，第 (1) 或 (2) 款 ( 視情況所需而定 ) by which any prescribed financial statements and 須據此在該項延展的規限下適用。 other prescribed documents, and any report of the prescribed auditor, are required under subsection (1) or (2) to be submitted, the Commission may, if it is satisfied that there are special reasons for so doing, extend the period within which the financial statements and other documents, and the report of the prescribed auditor, are required to be submitted, for the period and subject to the conditions that the Commission considers appropriate. (5) On the Commission granting the extension, subsection (1) or (2) (as the case requires) applies subject to the extension accordingly. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A932 第4條 Section 4 A933 (6) 任何人無合理辯解而違反第 (1) 或 (2) 款，或違反依 (6) A person who, without reasonable excuse, 據第 (4) 款施加的條件，即屬犯罪 —— contravenes subsection (1) or (2), or a condition (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 imposed pursuant to subsection (4), commits an 禁 1 年；或 offence and is liable— (b) 一經循簡易程序定罪，可處第 5 級罰款及監禁 (a) on conviction on indictment to a fine of $200,000 6 個月。 and to imprisonment for 1 year; or (7) 任何人出於欺詐意圖，違反第 (1) 或 (2) 款，或違反 (b) on summary conviction to a fine at level 5 and 依據第 (4) 款施加的條件，即屬犯罪 —— to imprisonment for 6 months. (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (7) A person who, with intent to defraud, contravenes 監禁 7 年；或 subsection (1) or (2), or a condition imposed pursuant to subsection (4), commits an offence and (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 is liable— 禁 1 年。 (a) on conviction on indictment to a fine of (8) 在 本 條 任 何 條 文 中 提 述 訂 明 ( 提 述 訂 明 核 數 師 除 $1,000,000 and to imprisonment for 7 years; or 外 )，指在附表 3F 中指明。 (b) on summary conviction to a fine of $500,000 and to imprisonment for 1 year. (8) A reference in any provision of this section to prescribed (except for a reference to prescribed auditor) means specified in Schedule 3F. 53ZSD. 須予審計實體的訂明核數師須呈報須報告事項等 53ZSD. Prescribed auditor of auditable entity to report on (1) 本條在以下情況下適用：某人在執行其作為須予審 reportable matter etc. 計實體的訂明核數師的職能的過程中 —— (1) This section applies if a person in the course of (a) 察覺有須報告事項；或 performing the person’s functions as an auditable entity’s prescribed auditor— (b) 擬在該人就該實體的訂明財務報表或其他訂明 文件 ( 第 53ZSC 條規定須呈交予證監會者 ) 而 (a) becomes aware of a reportable matter; or (b) proposes to include any qualification or adverse statement in any report prepared by the person on the prescribed financial statements or other prescribed documents of the auditable entity <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A934 第4條 Section 4 A935 擬備的報告內，加入任何有所保留的意見或不 that are required to be submitted to the 利聲明。 Commission under section 53ZSC. (2) 在第 (1)(a) 款指明的情況下，上述的人須在察覺有 (2) In the circumstances specified in subsection (1)(a), 上述須報告事項後，在合理地切實可行的範圍內， the person must, as soon as reasonably practicable 盡快就該須報告事項，向證監會提交書面報告。 after the person becomes aware of the reportable (3) 在第 (1)(b) 款指明的情況下，上述的人須在首度有 matter, lodge with the Commission a written report 意加入上述有所保留的意見或不利聲明後，在合理 on the reportable matter. 地切實可行的範圍內，盡快就該有所保留的意見或 (3) In the circumstances specified in subsection (1)(b), 不利聲明，向證監會提交書面報告。 the person must, as soon as reasonably practicable 在本條中 —— (4) after the person first proposes the inclusion of the qualification or adverse statement, lodge with the 須報告事項 (reportable matter) —— Commission a written report on the qualification or (a) 就擔任持牌提供者的訂明核數師的人而言，指 adverse statement. 該人認為符合以下說明的事項 —— (4) In this section— (i) 構成該持牌提供者或其任何有聯繫實體 reportable matter (須報告事項)— 沒 有 遵 從 任 何 規 定，而 該 規 定 是 證 監 會 在根據第 53ZTK 條公布的守則或指引中， (a) in relation to a person acting as the prescribed 為此目的而指明的；或 auditor of a licensed provider, means a matter that, in the person’s opinion— (ii) 對該持牌提供者或其任何有聯繫實體的 財務狀況，有相當程度的不利影響；或 (i) constitutes, on the part of the licensed provider or any of its associated entities, a (b) 就擔任持牌提供者的有聯繫實體的訂明核數師 failure to comply with any of the 的 人 而 言，指 該 人 認 為 符 合 以 下 說 明 的 事 requirements specified by the Commission 項 —— for this purpose in the codes or guidelines published under section 53ZTK; or (ii) adversely affects to a material extent the financial position of the licensed provider or any of its associated entities; or (b) in relation to a person acting as the prescribed auditor of an associated entity of a licensed provider, means a matter that, in the person’s opinion— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A936 第4條 Section 4 A937 (i) 構 成 該 實 體 沒 有 遵 從 任 何 規 定，而 該 規 (i) constitutes, on the part of the associated 定是證監會在根據第 53ZTK 條公布的守 entity, a failure to comply with any of the 則或指引中，為此目的而指明的；或 requirements specified by the Commission (ii) 對 該 有 聯 繫 實 體 的 財 務 狀 況，有 相 當 程 for this purpose in the codes or guidelines 度的不利影響。 published under section 53ZTK; or (ii) adversely affects to a material extent the financial position of the associated entity. 53ZSE. 須予審計實體須就擬更換訂明核數師作具報 53ZSE. Auditable entity to notify proposed change of prescribed (1) 如就屬須予審計實體的訂明核數師的人 ( 現任訂明 auditor 核數師 )，發生任何以下情況 ( 每項情況均稱為須 (1) An auditable entity must notify the Commission in 予通知情況 )，則該實體須在指明限期內，按照第 (2) accordance with subsection (2), within the specified 款，向證監會具報 —— period, if any of the following circumstances (each a (a) 該實體向其成員，發出關於將要在其成員大會 notifiable circumstance) occurs in relation to a person 上提出的、內容如下的動議的通知 —— who is its prescribed auditor (incumbent)— (i) 在該實體的現任訂明核數師的任期屆滿 (a) the auditable entity gives notice to its members 前，罷免該核數師；或 of a motion, to be moved at its general meeting— (ii) 在該實體的現任訂明核數師任期屆滿時， 不 再 度 委 任 該 現 任 訂 明 核 數 師，或 以 另 (i) to remove the incumbent as its prescribed 一 人 取 而 代 之，擔 任 該 實 體 的 訂 明 核 數 auditor before the expiry of the 師； incumbent’s term of office; or (b) 該實體的現任訂明核數師因 (a) 段提述的動議 (ii) to replace the incumbent with another 以外的原因，而在其任期屆滿前，終止擔任該 person as its prescribed auditor on the 實體的訂明核數師。 expiry of the incumbent’s term of office or not to reappoint the incumbent on the expiry; (b) the incumbent ceases to be the auditable entity’s prescribed auditor before the expiry of the incumbent’s term of office, otherwise than in consequence of a motion referred to in paragraph (a). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A938 第4條 Section 4 A939 (2) 上述具報須藉書面通知作出，並述明有關須予通知 (2) The notification must be given by written notice and 情況的詳情。 must state the particulars of the notifiable (3) 第 (1) 款所述的指明限期是須予通知情況發生後的 circumstance. 1 個營業日。 (3) The specified period mentioned in subsection (1) is 1 (4) 任 何 人 違 反 第 (1) 款，即 屬 犯 罪，一 經 定 罪，可 處 business day after the notifiable circumstance occurs. 第 5 級罰款。 (4) A person who contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 5. 53ZSF. 訂明核數師須就辭任作具報 53ZSF. Prescribed auditor to notify resignation (1) 如發生任何以下情況 ( 每項情況均稱為指明改變 )， (1) A person appointed as an auditable entity’s 則獲委任為須予審計實體的訂明核數師的人，須在 prescribed auditor must, within the specified period, 指明限期內，藉書面通知向證監會具報，並提供指 notify the Commission by written notice, giving the 明資料 —— specified information, if any of the following (a) 該人在作為上述核數師的任期屆滿前，辭任上 circumstances (each a specified change) occurs— 述核數師； (a) the person resigns as such auditor before the (b) 該人在作為上述核數師的任期屆滿時，不尋求 expiry of the person’s term of office as such 連任； auditor; (c) 該人在其他情況下，終止擔任上述核數師。 (b) the person does not seek reappointment as such auditor at the expiry of the person’s term of (2) 就指明改變而言 —— office as such auditor; (a) 指明限期是該項改變發生後的 1 個營業日；及 (c) the person otherwise ceases to be such auditor. (b) 指明資料是 —— (2) In relation to a specified change— (i) 該項改變一事，以及其理由；及 (a) the specified period is 1 business day after the change occurs; and (b) the specified information is— (i) the fact of the change and the reasons for the change; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A940 第4條 Section 4 A941 (ii) 該人認為應促請證監會注意的相關情況 (ii) particulars of any connected circumstances 的詳情，或 ( 如無該等情況 ) 一項說明無 that the person considers should be 該等情況的陳述。 brought to the attention of the Commission or, where no such circumstances exist, a statement to that effect. 53ZSG. 訂明核數師職位空缺須予填補 53ZSG. Vacant office of prescribed auditor must be filled (1) 如須予審計實體的訂明核數師的職位出缺，該實體 (1) An auditable entity must appoint an eligible auditor 須在指明限期內，委任合資格核數師以擔任其訂明 to be its prescribed auditor, within the specified 核數師。 period, if the office of its prescribed auditor becomes (2) 第 (1) 款中的指明限期，是有關須予審計實體的訂 vacant. 明核數師的職位出缺當日後的 1 個月。 (2) The specified period in subsection (1) means 1 month (3) 任何人違反第 (1) 款，即屬犯罪 —— after the day on which the office of the prescribed auditor of the auditable entity becomes vacant. (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 禁 1 年；或 (3) A person who contravenes subsection (1) commits an offence and is liable— (b)一經循簡易程序定罪，可處第 5 級罰款及監禁 6 個月。 (a) on conviction on indictment to a fine of $200,000 and to imprisonment for 1 year; or (4) 在第 (1) 款中提述合資格核數師，須按照第 53ZSA 條解釋。 (b) on summary conviction to a fine at level 5 and to imprisonment for 6 months. (4) A reference in subsection (1) to an eligible auditor is to be construed in accordance with section 53ZSA. 53ZSH. 證監會為須予審計實體委任核數師的權力 53ZSH. Power of Commission to appoint auditor for auditable (1) 證監會可委任核數師 ( 第 53ZSH 條核數師 )，一般 entity 地或就特定事項，審查和審計持牌提供者 ( 相關提 (1) The Commission may appoint an auditor (section 供者 ) 或其任何有聯繫實體的帳目及紀錄，並就證 53ZSH auditor) to examine and audit, generally or in respect of any particular matters, the accounts and records of a licensed provider (subject provider), or any of its associated entities, and report to the <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A942 第4條 Section 4 A943 監會指示的任何事項，向該會提交報告，但行使上 Commission on any matters that the Commission 述委任權力有以下前提 —— directs if— (a) 證監會有合理因由相信，相關提供者或其任何 (a) the Commission has reasonable cause to believe 有聯繫實體，沒有遵從任何指明規定；或 that the subject provider, or any of its associated (b) 證監會接到相關提供者或其任何有聯繫實體的 entities, has failed to comply with any specified 訂 明 核 數 師 的 書 面 報 告，而 該 報 告 是 根 據 第 requirement; or 53ZSD 條，就須報告事項、有所保留的意見或 (b) the Commission received a written report 不利聲明而提交的。 lodged under section 53ZSD by a prescribed (2) 第 53ZSH 條核數師可對相關提供者或其任何有聯 auditor of the subject provider, or any of its 繫實體所收取或持有的、相關提供者的任何客户資 associated entities, in relation to a reportable 產，進行審查。 matter or a qualification or adverse statement. (3) 如第 53ZSH 條核數師已審查和審計相關提供者或 (2) A section 53ZSH auditor may examine any client 其任何有聯繫實體的帳目及紀錄，則在符合第 (4) assets of the subject provider received or held by the 款的規定下 —— subject provider or any of its associated entities. (a) 證監會可向相關提供者發出指示，要求支付審 (3) Subject to subsection (4), if a section 53ZSH auditor 查及審計的費用或開支；及 has examined and audited the accounts and records of the subject provider or any of its associated (b) 相關提供者須在該指示指明的限期內，按該指 entities— 示指明的方式，支付該指示指明的款額，作為 審查及審計的費用或開支。 (a) the Commission may give, to the subject provider, a direction to pay for the costs or (4) 證監會在指示支付任何費用或開支前，須給予相關 expenses for the examination and audit; and 提供者合理的陳詞機會。 (b) the subject provider is liable to pay, within the period and in the manner specified in the direction, the amount specified in the direction as the costs or expenses for the examination and audit. (4) The Commission must give the subject provider a reasonable opportunity of being heard before giving a direction to pay any costs or expenses. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A944 第4條 Section 4 A945 (5) 如相關提供者沒有遵從指示，則證監會可將該指示 (5) The Commission may recover, from the subject 指明的款額，作為該提供者拖欠該會的民事債項予 provider, the amount specified in the direction as a 以追討。 civil debt due to it if the subject provider fails to comply with the direction. 53ZSI. 第 53ZSH 條核數師的權力 53ZSI. Powers of section 53ZSH auditors (1) 凡第 53ZSH 條核數師就持牌提供者 ( 相關提供者 ) (1) This section applies to a section 53ZSH auditor 或其任何有聯繫實體獲委任，以審查和審計相關提 appointed in relation to a licensed provider (subject 供者或該實體的帳目及紀錄，本條適用於該核數師。 provider) or any of its associated entities to examine (2) 為進行審查及審計的目的，第 53ZSH 條核數師除 and audit the accounts and records of the subject 可採取其可合理地為該目的而採取的其他行動外， provider or the associated entity. 亦可作出或進行第 (3) 款提述的任何作為或事情。 (2) For the purpose of carrying out the examination and (3) 第 53ZSH 條核數師可 —— audit, the section 53ZSH auditor may do any act or thing referred to in subsection (3), in addition to any (a) 就與受涵蓋業務或任何受涵蓋客户資產有關的 other action that the section 53ZSH auditor may 任 何 事 宜，訊 問 經 宣 誓 或 未 經 宣 誓 的 以 下 人 reasonably take for that purpose. 士 —— (3) The section 53ZSH auditor may— (i) 以下的人 ( 每人均稱為受涵蓋人 ) 的高級 人員、僱員及代理人 —— (a) examine on oath or otherwise— (A) 相關提供者； (i) any officer, employee and agent of any of the following (each a covered person)— (B) 相關提供者的有聯繫實體； (A) the subject provider; (C) ( 在 第 (6) 款 的 規 限 下 ) 指 明 有 連 繫 法團； (B) an associated entity of the subject provider; (ii) 就每名屬須予審計實體的受涵蓋人而 言 ——受涵蓋人的訂明核數師；及 (C) subject to subsection (6), a specified related corporation; (iii) ( 在第 (6) 款的規限下 ) 指明有連繫法團的 核數師， (ii) for each covered person that is an auditable entity, a prescribed auditor of the covered person; and (iii) subject to subsection (6), an auditor of a specified related corporation, <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A946 第4條 Section 4 A947 以及為進行訊問的目的而監誓； in respect of any matter relating to a covered (b) 要求受涵蓋人的高級人員、僱員及代理人 —— business or to any covered client assets and, for that purpose, administer oaths accordingly; (i) 交出帳目及紀錄 ( 關乎與受涵蓋業務或任 何受涵蓋客户資產有關的任何事宜者 )； (b) require any officer, employee and agent of a 及 covered person to— (ii) 就 如 此 交 出 的 帳 目 及 紀 錄 的 內 容，作 出 (i) produce any accounts and records 解釋； concerning any matter relating to a covered business or to any covered client assets; (c) 要求屬須予審計實體的受涵蓋人的任何訂明核 and 數師，或屬指明有連繫法團的受涵蓋人的任何 核數師 —— (ii) explain the contents of the accounts and records so produced; (i) 交出該訂明核數師或該核數師持有的帳 目及紀錄 ( 關乎與受涵蓋業務或任何受涵 (c) require any prescribed auditor of a covered 蓋客户資產有關的任何事宜者 )；及 person who is an auditable entity, or any auditor of a covered person who is a specified (ii) 就 如 此 交 出 的 帳 目 及 紀 錄 的 內 容，作 出 related corporation, to— 解釋； (i) produce any accounts and records held by (d) 要求任何代表該相關提供者或其任何有聯繫實 the prescribed auditor or auditor 體收取或持有受涵蓋客户資產的人，或 ( 在第 concerning any matter relating to a covered (6) 款的規限下 ) 任何代表指明有連繫法團收 business or to any covered client assets; 取或持有受涵蓋客户資產的人 —— and (i) 交出該人備存的帳目及紀錄或該人管有 (ii) explain the contents of the accounts and 的資料，但交出帳目、紀錄或資料限於關 records so produced; 乎受涵蓋客户資產的事宜者；及 (d) require any person receiving or holding covered client assets on behalf of the subject provider or any of its associated entities, or, subject to subsection (6), any person receiving or holding covered client assets on behalf of a specified related corporation, to— (i) produce any accounts and records kept by the person, or information in the person’s possession, concerning any matter relating to the covered client assets; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A948 第4條 Section 4 A949 (ii) 就如此交出的帳目、紀錄及資料的內容， (ii) explain the contents of the accounts and 作出解釋； records, and the information, so produced; (e) 僱用該第 53ZSH 條核數師認為需要的人，以 (e) employ any person the section 53ZSH auditor 協助其進行獲委任進行的審查及審計；及 considers necessary to assist the section 53ZSH (f) 為進行該第 53ZSH 條核數師獲委任進行的審 auditor in carrying out the examination and 查及審計，藉書面授權該第 53ZSH 條核數師 audit that the section 53ZSH auditor is 僱 用 的 人，作 出 或 進 行 (b)、(c)、(d) 或 (e) 段 appointed to carry out; and 提述的任何作為或事情。 (f) for the purpose of carrying out the examination (4) 在本條中 —— and audit that the section 53ZSH auditor is appointed to carry out, authorize in writing any (a) 指明有連繫法團 (specified related corporation) person employed by the section 53ZSH auditor 指 —— to do any act or thing referred to in paragraph (i) 相關提供者的有連繫法團；或 (b), (c), (d) or (e). 相關提供者的有聯繫實體的有連繫法團； (ii) (4) In this section— (b) 受涵蓋業務 (covered business) —— (a) specified related corporation (指明有連繫法團) (i) 指相關提供者或其任何有聯繫實體所經 means— 營的業務； (i) a related corporation of the subject (ii) ( 在第 (6) 款的規限下 ) 包括該相關提供者 provider; or 連同任何虛擬資產服務一併經營的其他 (ii) a related corporation of an associated 業 務，以 及 其 任 何 有 聯 繫 實 體 經 營 的 業 entity of the subject provider; 務；及 (b) covered business (受涵蓋業務)— (i) means the business carried on by the subject provider or any of its associated entities; (ii) subject to subsection (6), includes any other business carried on by the subject provider in conjunction with any VA service and any business of any of its associated entities; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A950 第4條 Section 4 A951 (iii)( 在第 (6) 款的規限下 ) 包括指明有連繫法 (iii) subject to subsection (6), includes any 團經營的業務； business carried on by a specified related (c) 受 涵 蓋 客 户 資 產 (covered client assets) 指 符 合 corporation; 以下說明的相關提供者的客户資產 —— (c) covered client assets (受涵蓋客户資產) means (i) 由該相關提供者持有或收取； client assets of the subject provider— (ii) 由該相關提供者的任何有聯繫實體持有 (i) held or received by the subject provider; 或收取；或 (ii) held or received by any of the subject (iii) ( 在第 (6) 款的規限下 ) 由任何人代指明有 provider’s associated entities; or 連繫法團持有或收取。 (iii) subject to subsection (6), held or received (5) 就指明有連繫法團而提述核數師，指該法團不論是 by any person on behalf of a specified 否根據本條例委任的任何核數師。 related corporation. (6) 如第 53ZSH 條核數師或根據第 (3)(f) 款獲授權的人 (5) A reference to an auditor, in relation to a specified 合理地認為，為進行相關提供者或其任何有聯繫實 related corporation, means any auditor appointed, 體的帳目及紀錄的審查及審計，適用第 (3)(a)(i)(C) under this Ordinance or otherwise, by the specified 及 (iii) 及 (d) 及 (4)(b)(ii) 及 (iii) 及 (c)(iii) 款屬必要， related corporation. 則該等條文適用。 (6) Subsections (3)(a)(i)(C) and (iii) and (d) and (4)(b)(ii) and (iii) and (c)(iii) apply if the section 53ZSH auditor, or a person authorized under subsection (3)(f), reasonably considers the application of those provisions is necessary for the purpose of carrying out the examination and audit of the accounts and records of the subject provider or any of its associated entities. 53ZSJ. 不遵從第 53ZSH 條核數師要求的罪行 53ZSJ. Offences for non-compliance with section 53ZSH auditor’s (1) 任何人在無合理辯解下，沒有遵從根據第 53ZSI 條 requirement 對該人施加的要求 ( 包括要該人回答任何向該人提 (1) A person commits an offence if the person, without 出的問題的要求 )，即屬犯罪。 reasonable excuse, fails to comply with any requirement imposed on the person (including the requirement to answer any question put to the person) under section 53ZSI. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A952 第4條 Section 4 A953 (2) 任何人犯第 (1) 款所訂罪行 —— (2) A person who commits an offence under subsection (a) 一經循公訴程序定罪，可處罰款 $200,000 及監 (1) is liable— 禁 1 年；或 (a) on conviction on indictment to a fine of $200,000 (b) 一經循簡易程序定罪，可處第 5 級罰款及監禁 and to imprisonment for 1 year; or 6 個月。 (b) on summary conviction to a fine at level 5 and (3) 任何人 —— to imprisonment for 6 months. (a) 交出任何在要項上屬虛假或具誤導性的帳目或 (3) A person commits an offence if the person— 紀錄，或給予任何在要項上屬虛假或具誤導性 (a) in purported compliance with a requirement 的回答，充作遵從根據第 53ZSI 條對該人施加 imposed on the person (including the 的要求 ( 包括要該人回答任何向該人提出的問 requirement to answer any question put to the 題的要求 )；及 person) under section 53ZSI, produces any (b) 知道該等帳目、紀錄或回答在要項上屬虛假或 accounts or records or gives an answer that is 具誤導性，或罔顧該等帳目、紀錄或回答是否 false or misleading in a material particular; and 在要項上屬虛假或具誤導性， (b) knows that, or is reckless as to whether, the 即屬犯罪。 accounts or records or the answer is false or misleading in a material particular. (4) 任何人犯第 (3) 款所訂罪行 —— (4) A person who commits an offence under subsection (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (3) is liable— 監禁 2 年；或 (a) on conviction on indictment to a fine of (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 $1,000,000 and to imprisonment for 2 years; or 6 個月。 (b) on summary conviction to a fine at level 6 and (5) 任何人出於欺詐意圖而 —— to imprisonment for 6 months. (a) 沒 有 遵 從 根 據 第 53ZSI 條 對 該 人 施 加 的 要 求 (5) A person commits an offence if the person, with ( 包括要該人回答任何向該人提出的問題的要 intent to defraud— 求 )；或 (a) fails to comply with any requirement imposed on the person (including the requirement to answer any question put to the person) under section 53ZSI; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A954 第4條 Section 4 A955 (b) 交出任何在要項上屬虛假或具誤導性的帳目或 (b) in purported compliance with a requirement 紀錄，或給予任何在要項上屬虛假或具誤導性 imposed on the person (including the 的回答，充作遵從根據第 53ZSI 條向該人施加 requirement to answer any question put to the 的要求 ( 包括要該人回答任何向該人提出的問 person) under section 53ZSI, produces any 題的要求 )， accounts or records or gives an answer that is 即屬犯罪。 false or misleading in a material particular. (6) 任何人犯第 (5) 款所訂罪行 —— (6) A person who commits an offence under subsection (5) is liable— (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 監禁 7 年；或 (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 7 years; or (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 禁 1 年。 (b) on summary conviction to a fine of $500,000 and to imprisonment for 1 year. 53ZSK. 第 53ZSH 條核數師須向證監會提交報告 53ZSK. Section 53ZSH auditor to report to Commission (1) 獲委任審查和審計任何帳目及紀錄的第 53ZSH 條 (1) A section 53ZSH auditor appointed to examine and 核數師 —— audit any accounts and records must— (a) 須向證監會提交證監會要求的中期報告；及 (a) make to the Commission any interim reports (b) ( 在審查及審計完成後 ) 須向證監會提交最終 that the Commission requires; and 報告。 (b) make to the Commission a final report when (2) 第 (1) 款提述的報告須在證監會指示的限期內，以 the examination and audit concludes. 該會指示的方式提交。 (2) A report referred to in subsection (1) must be made (3) 凡根據第 (1) 款向證監會提交的任何報告所提述的 within the period and in the manner that the 審查及審計，是以某須予審計實體的帳目及紀錄為 Commission directs. 對象，則證監會如認為適當，可將該報告送交該實 (3) The Commission may, if it considers appropriate, 體。 forward a copy of any report made to it under subsection (1) to the auditable entity the accounts and records of which are the subject of the examination and audit referred to in the report. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A956 第4條 Section 4 A957 53ZSL. 銷毀、隱藏或更改帳目、紀錄或文件等的罪行 53ZSL. Offences to destroy, conceal, or alter accounts, records, or (1) 如 —— documents, etc. (a) 訂明核數師或第 53ZSH 條核數師根據本分部 (1) A person commits an offence if— 獲委任進行任何審查及審計；及 (a) a prescribed auditor or a section 53ZSH auditor (b) 任何人 —— is appointed under this Division to carry out any examination and audit; and (i) 刪除、毀壞、銷毀、捏改、隱藏、更改或 以其他方法致使任何關乎該項審查及審 (b) the person— 計 的 帳 目、紀 錄 或 文 件 不 能 提 供，或 協 (i) deletes, destroys, mutilates, falsifies, 助、教唆或串同另一人如此行事； conceals, alters or otherwise makes (ii) 出 於 阻 止、阻 延 或 妨 礙 進 行 該 項 審 查 及 unavailable any accounts, records or 審計的意圖，而 —— documents related to the examination and audit, or aids or abets or conspires with (A) 不 論 以 何 種 方 式，亦 不 論 以 何 種 途 another person to do so; 徑，處 置 任 何 關 乎 該 項 審 查 及 審 計 的財產，或促致如此處置財產；或 (ii) with intent to prevent, delay or obstruct the carrying out of the examination and (B) 協助、教唆或串同另一人如此行事； audit— 或 (A) disposes or procures the disposal, in (iii) 出 於 阻 止、阻 延 或 妨 礙 進 行 該 項 審 查 及 any manner and by any means, of any 審計的意圖，而離開或企圖離開香港， property related to the examination 該人即屬犯罪。 and audit; or (2) 任何人犯第 (1) 款所訂罪行 —— (B) aids or abets or conspires with (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 another person to do so; or 監禁 7 年；或 (iii) with intent to prevent, delay or obstruct the carrying out of the examination and audit, leaves, or attempts to leave, Hong Kong. (2) A person who commits an offence under subsection (1) is liable— (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 7 years; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A958 第4條 Section 4 A959 (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 (b) on summary conviction to a fine of $500,000 禁 1 年。 and to imprisonment for 1 year. (3) 因第 (1) 款 (b)(i) 段而被控犯該款所訂罪行的人如證 (3) It is a defence for a person charged with an offence 明該人並非意圖阻止、阻延或妨礙進行任何審查及 under subsection (1) because of paragraph (b)(i) of 審計，即為免責辯護。 that subsection to establish that the person did not (4) 在以下情況下，某人須視作已確立需要就第 (3) 款 intend to prevent, delay or obstruct the carrying out 所訂的免責辯護而確立的事宜 —— of any examination and audit. (a) 有足夠證據，就該事宜帶出爭論點；及 (4) A person is taken to have established a matter that needs to be established for a defence under subsection (b) 控方沒有提出足以排除合理疑點的相反證明。 (3) if— (a) there is sufficient evidence to raise an issue with respect to the matter; and (b) the contrary is not proved by the prosecution beyond reasonable doubt. 53ZSM. 關於訂明核數師與證監會的通訊的豁免 53ZSM. Immunity in respect of communication with Commission by (1) 在不影響第 4 條的原則下，某人如將符合以下說明 prescribed auditor 的事情的資料，或對符合以下說明的事情的意見， (1) Without affecting section 4, no duty that a person 真誠地傳達予證監會，則並不因此視為違反該人作 appointed as a prescribed auditor may be subject to 為訂明核數師而可能須履行的責任 —— is to be regarded as contravened because of the (a) 該人基於上述核數師身分，而察覺該事情 ( 不 person’s communicating in good faith to the 論是否在執行其上述核數師職能的過程中察 Commission, any information or opinion on a matter 覺 )；及 that— (b) 與證監會的職能相關。 (a) the person becomes aware of in the person’s capacity as such auditor (whether or not in the (2) 第 (1) 款亦適用於曾獲委任為訂明核數師但其委任 course of performing the person’s functions as 已終止的人，在此情況下，在該款中提述事情，須 such auditor); and 按以下基礎解釋：第 (1)(a) 款規定，該事情須屬該 (b) is relevant to any function of the Commission. (2) Subsection (1) also applies to a person whose appointment as a prescribed auditor has ceased, in which case a reference to a matter in that subsection is to be construed on the basis that subsection (1)(a) <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A960 第4條 Section 4 A961 人在其委任終止之前，基於上述核數師身分而察覺 requires the matter to be one that the person 的事情 ( 不論是否在執行上述核數師職能的過程中 becomes aware of in the person’s capacity as such 察覺 )。 auditor (whether or not in the course of performing (3) 第 (1) 款亦適用於獲前須予審計實體委任的訂明核 the person’s functions as such auditor) before the 數師，在此情況下，在該款中提述事情，須按以下 appointment has ceased. 基礎解釋：第 (1)(a) 款規定，該事情須屬該人基於 (3) Subsection (1) also applies to a prescribed auditor 上述核數師身分而察覺的事情。 appointed by a former auditable entity, in which case (4) 第 (1) 款亦適用於曾獲前須予審計實體委任為訂明 a reference to a matter in that subsection is to be 核數師但其委任已終止的人，在此情況下，在該款 construed on the basis that subsection (1)(a) requires 中提述事情，須按以下基礎解釋：第 (1)(a) 款規定， the matter to be one that the person becomes aware 該事情須屬該人在其委任終止之前，基於上述核數 of in the person’s capacity as such auditor. 師身分而察覺的事情。 (4) Subsection (1) also applies to a person whose 在本條中 —— (5) appointment as a prescribed auditor by a former auditable entity, has ceased, in which case a reference 前須予審計實體 (former auditable entity) 指符合以下說 to a matter in that subsection is to be construed on 明的法團 —— the basis that subsection (1)(a) requires the matter to (a) 曾經是但已不再是持牌提供者；或 be one that the person becomes aware of in the (b) 曾經是但已不再是持牌提供者的有聯繫實體。 person’s capacity as such auditor before the appointment has ceased. (5) In this section— former auditable entity (前須予審計實體) means a corporation that was formerly— (a) a licensed provider; or (b) an associated entity of a licensed provider. 53ZSN. 《公司條例》的施行不受影響 53ZSN. Operation of Companies Ordinance not affected 第 53ZS、53ZSA 或 53ZSG 條不影響任何其他關於委任 Nothing in section 53ZS, 53ZSA or 53ZSG affects the 核數師的規定的施行，不論該等規定是否屬《公司條例》 operation of any other requirements relating to the ( 第 622 章 ) 之下的規定。 appointment of an auditor, whether under the Companies Ordinance (Cap. 622) or otherwise. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A962 第4條 Section 4 A963 第 9 分部 ——紀律、干預及其他權力 Division 9—Discipline, Intervention and Other Powers 第 1 次分部 ——紀律處分權力等 Subdivision 1—Disciplinary Powers etc. 53ZSO. 第 1 次分部的釋義 53ZSO. Interpretation of Subdivision 1 (1) 在本次分部中 —— (1) In this Subdivision— 受規管人士 (regulated person) 指 —— disciplinary power (紀律處分權力) means a power that (a) 持牌人； may be exercised by the Commission under section 53ZSP; (b) 持牌提供者的負責人員；或 regulated person (受規管人士) means— (c) 參與持牌提供者的業務的管理的人； (a) a licensed person; 紀 律 處 分 權 力 (disciplinary power) 指 證 監 會 可 根 據 第 53ZSP 條行使的權力。 (b) a responsible officer of a licensed provider; or (2) 在本次分部中 —— (c) a person involved in the management of the business of a licensed provider. (a) 提述撤銷或暫時吊銷持牌人的牌照，指 —— (2) In this Subdivision— (i) 撤銷或暫時吊銷該牌照；或 (a) a reference to revoking or suspending a licence (ii) 就持牌人獲發牌從事的任何虛擬資產服 of a licensed person means— 務 或 其 任 何 部 分，撤 銷 或 暫 時 吊 銷 該 牌 照；及 (i) to revoke or suspend the licence; or (b) 提述撤銷或暫時吊銷對某人擔任持牌提供者的 (ii) to revoke or suspend the licence in relation 負責人員的批准，指 —— to any VA service, or any part of any VA service, for which the licensed person is (i) 撤銷或暫時吊銷該批准；或 licensed; and (b) a reference to revoking or suspending an approval for a person to be a responsible officer of a licensed provider means— (i) to revoke or suspend the approval; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A964 第4條 Section 4 A965 (ii) 就該人獲批准擔任上述負責人員的任何 (ii) to revoke or suspend the approval in 虛 擬 資 產 服 務 或 其 任 何 部 分，撤 銷 或 暫 relation to any VA service, or any part of 時吊銷該批准。 any VA service, for which the person is approved to be such responsible officer. 53ZSP. 證監會的紀律處分行動 53ZSP. Disciplinary action by Commission (1) 在 第 53ZSR、53ZSS、53ZST、53ZSU、53ZSV 及 (1) Subject to sections 53ZSR, 53ZSS, 53ZST, 53ZSU, 53ZSW 條的規限下，證監會如發現第 (2) 款指明的 53ZSV and 53ZSW, the Commission may, on finding 任何情況正在發生或曾經發生，則可就有關的人行 any of the circumstances specified in subsection (2) 使第 (3) 款指明的一項或多於一項權力。 occurring or having occurred, exercise, in respect of (2) 有關情況是 —— the person, one or more of the powers specified in subsection (3). (a) 有關的人是 ( 或曾在任何時間是 ) 犯失當行為 的受規管人士； (2) The circumstances are that— (b) 證監會得出意見，認為某屬受規管人士的人， (a) a person is, or was at any time, a regulated 並非擔任或繼續擔任同一類受規管人士的適當 person guilty of misconduct; 人選；及 (b) the Commission forms the opinion that a (c) 如 某 人 先 前 屬 受 規 管 人 士 ——證 監 會 得 出 意 person who is a regulated person is not a fit and 見，認為因為在該人屬受規管人士的任何時間 proper person to be or to remain the same type 發生的任何事宜 ( 不論是否連同其他事宜發 of regulated person; and 生 )，該人並非擔任或繼續擔任同一類受規管 (c) for a person who was formerly a regulated 人士的適當人選。 person, the Commission forms the opinion that, (3) 有關權力是 —— because of any matter occurring at any time while the person was a regulated person (a) 公開或非公開譴責有關的人； (whether or not together with any other matter), (b) 命令有關的人在證監會指明的日期 ( 遵從期限 ) the person was not a fit and proper person to 或之前，採取證監會指明的行動 ( 糾正行動 )， be, or to remain, the same type of regulated person. (3) The powers are— (a) to publicly or privately reprimand the person; (b) to order the person to take, by a date specified by the Commission (compliance deadline), any action specified by the Commission for the <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A966 第4條 Section 4 A967 以糾正導致發現第 (2) 款提述的情況的任何違 purpose of remedying any contravention, act or 反、作為或不作為； omission that led to the finding referred to in (c) 命令有關的人繳付最高款額如下 ( 以金額較大 subsection (2) (remedial action); 者為準 ) 的罰款 —— (c) to order the person to pay a pecuniary penalty (i) $10,000,000；或 not exceeding the amount that is the greater of— (ii) 以下款額的 3 倍：因該人的失當行為，或 因 該 人 導 致 證 監 會 得 出 第 (2)(b) 或 (c) 款 (i) $10,000,000; or ( 視情況所需而定 ) 所提述的意見的行為， (ii) 3 times the amount of the profit gained or 而令該人獲取的利潤或避免的損失的款 loss avoided by the person as a result of 額； the person’s misconduct or of the person’s (d) 如有關的人是持牌人 —— conduct that led to the Commission forming the opinion referred to in (i) 撤銷該人的牌照；或 subsection (2)(b) or (c) (as the case (ii) 將該人的牌照暫時吊銷一段期間或直至 requires); 某 事 件 發 生 為 止，該 期 間 或 事 件 由 第 (d) if the person is a licensed person— 53ZSU 條提述的通知指明； (i) to revoke the person’s licence; or (e) 如有關的人是持牌提供者的負責人員 —— (ii) to suspend the person’s licence for a (i) 撤銷根據第 53ZRP 條給予的批准；或 period, or until the occurrence of an event, (ii) 將該項批准暫時吊銷一段期間或直 specified in the notice referred to in section 至 某 事 件 發 生 為 止，該 期 間 或 事 件 由 53ZSU; 第 53ZSU 條提述的通知指明；及 (e) if the person is a responsible officer of a (f) 禁止有關的人在一段期間內或在某事件發生之 licensed provider— 前 ( 該 期 間 或 事 件 由 第 53ZSU 條 提 述 的 通 知 (i) to revoke the approval granted under section 53ZRP; or (ii) to suspend such approval for a period, or until the occurrence of an event, specified in the notice referred to in section 53ZSU; and (f) to prohibit the person from doing all or any of the following in relation to any VA service for a period, or until the occurrence of an event <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A968 第4條 Section 4 A969 指明 )，就任何虛擬資產服務作出以下所有或 specified in the notice referred to in section 其中任何事情 —— 53ZSU— (i) 申請牌照； (i) applying to be licensed; (ii) 申請批准擔任持牌提供者的負責人員。 (ii) applying to be approved as a responsible (4) 根據本條被命令繳付罰款的人，須在該命令根據第 officer of a licensed provider. 75 條作為指明決定而生效後的以下期間內，向證 (4) A person who is ordered to pay a pecuniary penalty 監會繳付該項罰款 —— under this section must pay the penalty to the (a) 30 日；或 Commission within— (b) 由第 53ZSU 條提述的通知指明的較長期間。 (a) 30 days; or (5) 如有關的人沒有遵從飭令採取糾正行動的命令，證 (b) a longer period specified in the notice referred 監會可進一步命令該人，就沒有遵從命令採取糾正 to in section 53ZSU, 行動的狀況在遵從期限後持續的每一日，繳付不多 after the order takes effect as a specified decision 於 $100,000 的按日罰款。 under section 75. (6) 證監會如根據第 (3) 款針對某人行使權力，則可向 (5) If a person fails to comply with an order to take 公 眾 披 露 有 關 決 定 的 細 節，包 括 作 出 該 決 定 的 理 remedial action, the Commission may further order 由，以及關於有關個案的任何重要事實。 the person to pay a daily pecuniary penalty not (7) 依 據 一 項 根 據 第 (3)(c) 或 (5) 款 作 出 的 命 令 而 付 予 exceeding $100,000 for each day on which the failure 證監會或由該會追討所得的罰款，須由該會撥入政 continues after the compliance deadline. 府一般收入。 (6) If the Commission exercises its power under subsection (3) against a person, the Commission may disclose to the public details of the decision including the reasons for it and any material facts relating to the case. (7) Any pecuniary penalty paid to or recovered by the Commission pursuant to an order made under subsection (3)(c) or (5) must be paid by the Commission into the general revenue. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A970 第4條 Section 4 A971 53ZSQ. 就持牌人作撤銷或暫時吊銷的其他情況 53ZSQ. Other circumstances for revocation or suspension in respect (1) 在 第 53ZSU、53ZSV 及 53ZSW 條 的 規 限 下，證 監 of licensed persons etc. 會可在第 (2) 款指明的任何情況下 —— (1) Subject to sections 53ZSU, 53ZSV and 53ZSW, the (a) 撤銷持牌人的牌照；或 Commission may in any of the situations specified in subsection (2)— (b) 將持牌人的牌照暫時吊銷一段第 53ZSU 條所 提 述 的 通 知 所 指 明 的 期 間，或 直 至 一 項 第 (a) revoke a licensed person’s licence; or 53ZSU 條所提述的通知所指明的事件發生為止。 (b) suspend a licensed person’s licence for a period, (2) 有關情況是 —— or until the occurrence of an event, specified in a notice referred to in section 53ZSU. (a) 持牌人屬個人，而 —— (2) The situations are that— (i) 持 牌 人 根 據《破 產 條 例》( 第 6 章 )，與 債 權 人 訂 立 自 願 安 排，或 有 破 產 令 根 據 該 (a) if the licensed person is an individual— 條例針對該人而作出； (i) the licensed person enters into a voluntary (ii) 持牌人沒有清償某項實施執行所涉及的 arrangement with creditors, or has a 款項；或 bankruptcy order made against that person, under the Bankruptcy Ordinance (iii) 任何以下情況發生，而證監會認為，該情 (Cap. 6); 況損害持牌人作為繼續持牌的人選的適 當性 —— (ii) the licensed person fails to satisfy a levy of execution; or (A) 該 持 牌 人 在 香 港 或 其 他 地 方，被 裁 定犯某罪行 ( 本條例所訂罪行除外 )； (iii) any of the following circumstances arises that in the opinion of the Commission (B) 該 持 牌 人 根 據《精 神 健 康 條 例》( 第 impugns the fitness and properness of the 136 章 )，被 法 庭 裁 斷 為 精 神 上 無 行 licensed person to remain licensed— 為能力，或被羈留在精神病院； (A) the licensed person is convicted of an offence (other than an offence under this Ordinance) in Hong Kong or elsewhere; (B) the licensed person has been found by a court to be mentally incapacitated, or is detained in a mental hospital, under the Mental Health Ordinance (Cap. 136); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A972 第4條 Section 4 A973 (b) 持牌人屬法團，而 —— (b) if the licensed person is a corporation— (i) 有人獲委任為持牌人的財產或業務的接 (i) a receiver or manager of the property or 管人或經理人； business of the licensed person is (ii) 持牌人沒有清償某項實施執行所涉及的 appointed; 款項； (ii) the licensed person fails to satisfy a levy of (iii) 持牌人與債權人作出債務妥協或債務償 execution; 還安排； (iii) the licensed person enters into a (iv) 持牌人根據公司條例 ( 第 622 章 ) 已展開 compromise or scheme of arrangement 或 被 當 作 已 展 開 清 盤，或 已 申 請 撤 銷 註 with its creditors; 冊；或 (iv) the licensed person has commenced, or is (v) 任何以下情況發生，而證監會認為，該情 deemed to have commenced, winding up 況損害持牌人作為繼續持牌的人選的適 or has applied for deregistration under the 當性 —— Companies Ordinance (Cap. 622); or (A) 該 持 牌 人 在 香 港 或 其 他 地 方，被 裁 (v) any of the following circumstances arises 定犯某罪行 ( 本條例所訂罪行除外 )； that in the opinion of the Commission impugns the fitness and properness of the (B) 該持牌人的任何董事在香港或其他 licensed person to remain licensed— 地方，被裁定犯某罪行 ( 本條例所訂 罪行除外 )； (A) the licensed person is convicted of an offence (other than an offence under (C) 該持牌人的任何董事根據《精神健康 this Ordinance) in Hong Kong or 條例》( 第 136 章 )，被法庭裁斷為精 elsewhere; 神 上 無 行 為 能 力，或 被 羈 留 在 精 神 病院； (B) any of the directors of the licensed person is convicted of an offence (other than an offence under this Ordinance) in Hong Kong or elsewhere; (C) any of the directors of the licensed person has been found by a court to be mentally incapacitated, or is detained in a mental hospital, under the Mental Health Ordinance (Cap. 136); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A974 第4條 Section 4 A975 (c) 持牌人沒有提供虛擬資產服務；及 (c) the licensed person does not provide a VA (d) 持牌人請求證監會如此撤銷或暫時吊銷該牌照。 service; and (3) 如持牌代表去世，則該持牌代表的牌照即當作被撤 (d) the licensed person requests the Commission to 銷。 so revoke or suspend the licence. (4) 如持牌提供者已清盤、被撤銷註冊、自公司登記冊 (3) A licensed representative’s licence is deemed to be 中剔除或以其他方式解散，則該持牌提供者的牌照 revoked if the licensed representative dies. 即當作被撤銷。 (4) A licensed provider’s licence is deemed to be revoked (5) 在第 (6) 款的規限下，如有以下情況，持牌人的牌 if the licensed provider is wound up, or has been 照即當作被暫時吊銷 —— deregistered or struck off the Companies Register or is otherwise dissolved. (a) 持牌人沒有 —— (5) Subject to subsection (6), a licence of a licensed (i) 全數繳付第 53ZRY(1) 條規定須繳付的任 person is deemed to be suspended if— 何年費；或 (a) the licensed person fails to make full payment 在該條所指的年費到期繳付之日後的 3 個 (ii) of— 月內，全數繳付第 53ZRY(2) 條規定須繳 付的任何附加款項 ( 因沒有全數繳付該年 (i) any annual fee payable by the licensed 費而致須繳付者 )；或 person under section 53ZRY(1); or (b) 持牌人沒有在第 53ZRY(4) 條規定該持牌人須 (ii) any additional sum payable by the licensed 呈交周年申報表之日後的 3 個月內，呈交該申 person under section 53ZRY(2) as a result 報表。 of any default in making full payment, of the annual fee, within 3 months after the (6) 在以下條件獲符合前，持牌人的牌照不得根據第 (5) due date for payment of the annual fee 款視作被暫時吊銷 —— under that section; or (a) ( 就因沒有全數繳付任何年費或附加款項一事 (b) the licensed person fails to submit an annual 而根據第 (5)(a) 款暫時吊銷的情況而言 ) 證監 return, required to be submitted by the licensed person under section 53ZRY(4), within 3 months after the due date for submission of the annual return under that section. (6) A licence of a licensed person is not to be regarded as suspended under subsection (5) unless and until— (a) in the case of a suspension under subsection (5)(a) by reference to any failure to make full <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A976 第4條 Section 4 A977 會 已 在 該 項 暫 時 吊 銷 生 效 前，給 予 不 少 於 payment of any annual fee or additional sum, 10 個營業日的書面通知，告知持牌人 —— the Commission has, by written notice given not (i) 全數繳付有關年費或附加款項 ( 視情況所 less than 10 business days before the suspension 需而定 ) 的規定；及 is to take effect, informed the licensed person— (ii) 本條所指的沒有遵守該規定的後果；或 (i) of the requirement to make full payment of the annual fee or additional sum (as the (b) ( 就因沒有呈交周年申報表一事而根據第 (5)(b) case requires); and 款暫時吊銷的情況而言 ) 證監會已在該項暫時 吊銷生效前，給予不少於 10 個營業日的書面 (ii) of the consequence of the failure to 通知，告知持牌人 —— comply with the requirement under this section; or (i) 呈交周年申報表的規定；及 (b) in the case of a suspension under subsection (ii)本條所指的沒有遵守該規定的後果。 (5)(b) by reference to any failure to submit an (7) 除第 (8) 款另有規定外，第 (5) 款所指的暫時吊銷持 annual return, the Commission has, by written 續有效，直至以下情況發生之時為止 —— notice given not less than 10 business days (a) 證監會認為，有關牌照不應再被暫時吊銷；及 before the suspension is to take effect, informed the licensed person— (b) 證監會藉書面通知將該意見告知持牌人。 (i) of the requirement to submit the annual (8) 在以下情況下，有關牌照即當作被撤銷 —— return; and (a) 該牌照根據第 (5) 款被暫時吊銷；及 (ii) of the consequence of the failure to comply with the requirement under this section. (7) Subject to subsection (8), the suspension under subsection (5) remains in force until the time the Commission— (a) considers it appropriate that the licence should no longer be suspended; and (b) informs the licensed person to that effect by written notice. (8) A licence is deemed to be revoked if— (a) the licence is suspended under subsection (5); and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A978 第4條 Section 4 A979 (b) 第 (5)(a) 或 (b) 款 ( 視情況所需而定 ) 描述的情 (b) the situation described in subsection (5)(a) or (b) 況，沒有在以下期間內獲得補救 —— (as the case requires) has not been remedied (i) 該項暫時吊銷根據第 (5) 款生效之日後的 within— 30 日；或 (i) 30 days after the day on which the (ii) 證監會藉發出書面通知予持牌人而指明 suspension becomes effective under 的較長期間。 subsection (5); or (9) 在 第 53ZSU、53ZSV 及 53ZSW 條 的 規 限 下，如 屬 (ii) a further period that the Commission 持牌提供者的負責人員的人在香港或其他地方，被 specifies by written notice to the licensed 裁定犯某罪行 ( 本條例所訂罪行除外 )，而證監會 person. 認為，該項定罪損害該人作為繼續任負責人員的人 (9) Subject to sections 53ZSU, 53ZSV and 53ZSW, if a 選的適當性，該會可 —— person that is a responsible officer of a licensed (a) 撤銷根據第 53ZRP 條就該人擔任上述負責人 provider is convicted of an offence (other than an 員而給予的批准；或 offence under this Ordinance) in Hong Kong or elsewhere that in the opinion of the Commission (b) 將該批准暫時吊銷一段第 53ZSU 條所指明的 impugns the fitness and properness of the person to 期間，或直至一項第 53ZSU 條所指明的事件 remain such a responsible officer, the Commission 發生為止。 may— (a) revoke the approval granted under section 53ZRP in respect of the person as such a responsible officer; or (b) suspend the approval for a period, or until the occurrence of an event, specified in the notice referred to in section 53ZSU. 53ZSR. 關於失當行為及適當人選的斷定 53ZSR. Determination concerning misconduct and fit and proper (1) 就第 53ZSP 條而言，如有以下情況，某人即屬犯失 person 當行為的受規管人士 —— (1) For the purposes of section 53ZSP, a person is a (a) 該人屬受規管人士；及 regulated person guilty of misconduct if— (b) 以下其中一項適用 —— (a) the person is a regulated person; and (b) either— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A980 第4條 Section 4 A981 (i) 該人違反重要規定；或 (i) the person contravenes a material (ii) 證 監 會 認 為，該 人 就 提 供 任 何 虛 擬 資 產 requirement; or 服 務 作 出 或 不 作 出 某 行 為，有 損 或 相 當 (ii) the person does or omits to do an act in 可能有損 —— relation to the provision of any VA service (A) 投資大眾利益；或 which act or omission, in the opinion of the Commission, is or is likely to be (B) 公眾利益。 prejudicial— (2) 就第 53ZSP 條而言，如有以下情況，某人即屬曾經 (A) to the interest of the investing public; 犯失當行為的受規管人士 —— or (a) 該人曾屬受規管人士；及 (B) to the public interest. (b) 以下其中一項適用 —— (2) For the purposes of section 53ZSP, a person was a (i) 該 人 曾 在 屬 上 述 受 規 管 人 士 的 期 間，違 regulated person guilty of misconduct if— 反重要規定；或 (a) the person was a regulated person; and (ii) 證 監 會 認 為，該 人 在 屬 上 述 受 規 管 人 士 (b) either— 的 期 間，就 提 供 任 何 虛 擬 資 產 服 務 作 出 或 不 作 出 某 行 為，有 損 或 相 當 可 能 有 (i) the person, while being such regulated 損 —— person, contravened a material requirement; or (A) 投資大眾利益；或 (ii) the person, while being such regulated (B) 公眾利益。 person, did or omitted to do an act in (3) 證監會在得出某人的作為或不作為 ( 第 (1)(b)(ii) 或 relation to the provision of any VA service (2)(b)(ii) 款 提 述 者 ) 有 損 或 相 當 可 能 有 損 ( 或 曾 經 which act or omission, in the opinion of the Commission, was or was likely to be prejudicial— (A) to the interest of the investing public; or (B) to the public interest. (3) The Commission may form an opinion that a person’s act or omission referred to in subsection (1)(b)(ii) or (2)(b)(ii) is or is likely to be, or was or was likely to be, prejudicial as referred to in that <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A982 第4條 Section 4 A983 有損或相當可能有損 ) 該款所指的利益的意見前， subsection only if the Commission has had regard to 須顧及現行指引。 prevailing guidelines. (4) 就某作為或不作為而言，上述現行指引指符合以下 (4) Prevailing guidelines, in relation to an act or 說明的任何條文 —— omission, means any provision— (a) 載於根據第 7 或 53ZTK 條公布的任何守則或 (a) set out in any codes or guidelines published 指引；及 under section 7 or 53ZTK; and (b) 在該作為或不作為發生時屬有效，且就該作為 (b) in force at the time of occurrence of, and 或不作為適用。 applicable in relation to, the act or omission. (5) 如 —— (5) If— (a) 某人因作出 —— (a) a person who is, or was at any time, a licensed (i) 在另一人的同意或縱 容 下 發 生 的 行 為； provider guilty of misconduct within the 或 meaning of subsection (1) or (2) as a result of the commission of any conduct— 可歸因於另一人的怠忽的行為， (ii) (i) occurring with the consent or connivance 而屬 ( 或曾在任何時間屬 ) 犯第 (1) 或 (2) 款所 of another person; or 指的失當行為的持牌提供者；及 (ii) attributable to any neglect on the part of (b) 該另一人在 ( 或曾在 ) 該行為發生時屬該持牌 another person; and 提供者的負責人員，或參與該持牌提供者業務 的管理的人， (b) such other person is, or was at the time of occurrence of the conduct, a responsible officer 則就第 53ZSP 條而言，該另一人亦屬或曾屬 ( 視情 of or a person involved in the management of 況所需而定 ) 犯失當行為的受規管人士。 the business of the licensed provider, (6) 證監會在斷定受規管人士是否就第 53ZSP 條而言 such other person is or was (as the case requires) also 屬 ( 或在任何時間 ( 關鍵時間 ) 曾屬 ) 適當人選，除 a regulated person guilty of misconduct for the 可 考 慮 第 53ZRJ 條 指 明 的 事 宜 及 其 他 事 宜 外，亦 purposes of section 53ZSP. 可考慮該受規管人士在關鍵時間的行為，或該會在 (6) The Commission, in determining whether a regulated person is or was a fit and proper person at any time (material time) for the purposes of section 53ZSP, may, among the matters specified in section 53ZRJ and any other matters, take into account the conduct of the regulated person at the material time or any <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A984 第4條 Section 4 A985 有關個案的情況下認為適宜考慮的、該受規管人士 past conduct as the Commission considers 的任何過往行為。 appropriate in the circumstances of the case. 在本條中 —— (7) (7) In this section— 重要規定 (material requirement) 指 —— material requirement (重要規定) means— (a) 本條例任何條文；或 (a) any provision of this Ordinance; or (b) 任何牌照的條件或任何其他條件，而該等條件 (b) any condition of a licence or any other 是根據或依據本部任何條文施加的。 conditions imposed under or pursuant to any provision of this Part. 53ZSS. 施加罰款的指引 53ZSS. Guidelines for imposing pecuniary penalty (1) 證監會須公布指引，示明證監會擬採用何種方式， (1) The Commission must publish guidelines indicating 行使施加罰款的紀律處分權力。 the way in which the Commission proposes to (2) 上述指引須 —— exercise the disciplinary power to impose a pecuniary penalty. (a) 在證監會第一次行使紀律處分權力以施加罰款 之前公布；及 (2) The guidelines must be— (b) 在憲報刊登，並以證監會認為適當的任何其他 (a) published before the Commission exercises a 方式發布。 disciplinary power to impose a pecuniary penalty for the first time; and (3) 證監會在行使有關紀律處分權力以施加罰款時，須 顧及已公布的指引。 (b) published in the Gazette and in any other way that the Commission considers appropriate. (4) 上述指引不是附屬法例。 (3) In exercising the disciplinary power to impose a pecuniary penalty, the Commission must have regard to the published guidelines. (4) The guidelines are not subsidiary legislation. 53ZST. 登記施加罰款的命令 53ZST. Registration of pecuniary penalty order (1) 原訟法庭可應證監會提出的申請，將飭令繳付罰款 (1) The Court of First Instance may, on application 的命令，在該法庭登記。 made by the Commission, register in that Court an order to pay a pecuniary penalty. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A986 第4條 Section 4 A987 (2) 上述申請須藉以下方式提出：將要求將有關命令登 (2) The application must be made by producing to the 記的書面通知，連同該命令的正本及一份複本，送 Registrar of the High Court a written notice, 交高等法院司法常務官。 requesting that the order be registered, together with (3) 有關命令一經登記，就所有目的而言，即視為原訟 the original and a copy of the order. 法庭在其民事司法管轄權範圍內作出的飭令繳付款 (3) On registration, the order is to be regarded for all 項的命令。 purposes as an order of the Court of First Instance (4)在本條中 —— made within the civil jurisdiction of that Court for the payment of money. 罰 款 (pecuniary penalty) 指 根 據 第 53ZSP(3)(c) 或 (5) 條 命令繳付的罰款。 (4) In this section— pecuniary penalty (罰款) means a pecuniary penalty ordered to be paid under section 53ZSP(3)(c) or (5). 53ZSU. 行使紀律處分權力或第 53ZSQ 條下的權力的程序規定 53ZSU. Procedural requirements for exercising disciplinary powers (1) 證 監 會 根 據 第 53ZSP(3) 或 53ZSQ(1) 或 (9) 條 就 某 or powers under section 53ZSQ 人行使權力 ( 但根據第 53ZSQ(1) 條在第 53ZSQ(2)(d) (1) The Commission may exercise a power under section 條指明的情況下可行使的權力除外 ) 前，須給予該 53ZSP(3) or 53ZSQ(1) or (9) (except for a power 人合理的陳詞機會。 under section 53ZSQ(1) exercisable in a situation (2) 證 監會在根據第 53ZSP 或 53ZSQ 條 作 出 決 定 時， specified in section 53ZSQ(2)(d)) in respect of a 可顧及該會管有的任何與該決定相關的資料或材 person only after giving the person a reasonable 料，不論該會如何得以管有該等資料或材料。 opportunity to be heard. (3) 證 監 會 如 決 定 根 據 第 53ZSP(3) 或 53ZSQ(1) 或 (9) (2) In reaching a decision under section 53ZSP or 條，就某屬或曾屬受規管人士的人行使權力，則須 53ZSQ, the Commission may have regard to any 藉書面通知，將該決定告知該人，該通知 —— information or material in its possession that is relevant to the decision, regardless of how the (a) 須載有一項陳述，說明作出有關決定的理由； information or material has come into its possession. (3) If the Commission decides to exercise a power under section 53ZSP(3) or 53ZSQ(1) or (9) in respect of a person who is or was a regulated person, the Commission must inform the person of the decision by written notice and the notice must— (a) include a statement of the reasons for the decision; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A988 第4條 Section 4 A989 (b) 須指明該決定的生效時間； (b) specify the time at which the decision is to take (c) 須指明該人須根據該決定採取的行動； effect; (d) ( 如該決定是公開譴責 ) 須指明對該人的譴責 (c) specify any action that the person is required to 的內容； take under the decision; (e) 如該決定是施加罰款 —— (d) for a decision to publicly reprimand, specify the terms in which the person is to be reprimanded; (i) 須指明罰款金額；及 (e) for a decision to impose a pecuniary penalty— (ii) ( 如繳付罰款的限期，是第 53ZSP(4)(a) 條 所提述以外的其他期間 ) 須指明繳付罰款 (i) specify the amount of the penalty; and 的該其他期間； (ii) if the penalty is to be paid within a period (f) ( 如該決定是撤銷或暫時吊銷牌照，或禁止申 other than that referred to in section 請 ) 須指明該項撤銷、暫時吊銷或禁止的持續 53ZSP(4)(a), specify that other period 期及條款；及 within which it must be paid; (g) ( 除 在 第 53ZSQ(2)(d) 條 指 明 的 情 況 下 撤 銷 或 (f) for a decision to revoke or suspend a licence or 暫時吊銷外 ) 須載有一項陳述，指出該人可向 to prohibit an application, specify the duration 覆核審裁處提出申請，要求覆核該決定。 and terms of the revocation, suspension or prohibition; and (g) except for a revocation or suspension in the situation specified in section 53ZSQ(2)(d), include a statement that the person may apply to the Review Tribunal for a review of the decision. 53ZSV. 關於行使紀律處分權力或第 53ZSQ 條下的權力的一般 53ZSV. General provisions relating to exercise of disciplinary 條文 powers or powers under section 53ZSQ (1) 根 據第 53ZSP 或 53ZSQ 條撤銷或 暫 時 吊 銷 牌 照， (1) The revocation or suspension of any licence under 不具有以下效力 —— section 53ZSP or 53ZSQ does not operate so as to— (a) 廢止或影響由有關持牌人訂立的協議、交易或 (a) avoid or affect an agreement, transaction or 安排，不論該協議、交易或安排，是在該項撤 arrangement entered into by the licensed person 銷或暫時吊銷之前或之後訂立；或 whether the agreement, transaction or arrangement was entered into before or after the revocation or suspension; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A990 第4條 Section 4 A991 (b) 影響根據該協議、交易或安排產生的權利、義 (b) affect a right, obligation or liability arising 務或法律責任。 under the agreement, transaction or (2) 證監會如在任何時間，考慮根據第 53ZSP 或 53ZSQ arrangement. 條就某屬或曾屬受規管人士的人行使權力，可與該 (2) If at any time the Commission is contemplating 人達成協議 —— exercising any power under section 53ZSP or 53ZSQ (a) 行使該會根據本次分部可就該人行使的任何權 in respect of a person who is or was a regulated 力 ( 不論該等權力是否該會考慮行使的同一權 person, it may, where it considers it appropriate to 力 )；及 do so in the interest of the investing public or in the public interest, by agreement with the person— (b) 採取該會認為在有關個案的情況下屬適當的進 一步行動， (a) exercise any power the Commission may exercise in respect of the person under this Subdivision 但達成該協議的先決條件，是證監會認為達成該協 (whether or not the same as the power the 議，對維護投資大眾利益或公眾利益屬適當。 exercise of which has been contemplated); and (3) 如證監會根據第 (2) 款，就某人行使任何權力或採 (b) take any additional action that it considers 取任何進一步行動，則 —— appropriate in the circumstances of the case. (a) 該會須遵守第 53ZSU 條之下的程序規定，猶 (3) If the Commission exercises any power or takes any 如 該 等 規 定 除 適 用 於 根 據 第 53ZSP 或 53ZSQ additional action in respect of a person under 條行使權力的情況外，亦在作出必要的變通後 subsection (2)— 適用於根據第 (2) 款採取任何進一步行動一樣； 及 (a) it must comply with the procedural requirements under section 53ZSU, as if those requirements, (b) 在該人同意下，該會無須給予該人合理的陳詞 in addition to applying to the exercise of any 機會。 power under section 53ZSP or 53ZSQ, also (4) 第 (2) 款 不 適 用 於 第 53ZSQ(2)(d) 條 指 明 的 情 況 中 apply with necessary modifications to the taking 作出的撤銷或暫時吊銷。 of any additional action under subsection (2); and (b) subject to the agreement of the person, it is not obliged to give the person a reasonable opportunity to be heard. (4) Subsection (2) does not apply to a revocation or suspension in the situation specified in section 53ZSQ(2)(d). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A992 第4條 Section 4 A993 (5) 本次分部任何條文，均不影響原訟法庭根據或依據 (5) Nothing in this Subdivision affects the power of the 第 53ZTE、53ZTF、53ZTG 或 53ZTH 條 作 出 命 令 Court of First Instance to make any order or exercise 或行使其他權力的權力。 any other power under or pursuant to section 53ZTE, 53ZTF, 53ZTG or 53ZTH. 53ZSW. 儘管牌照或批准暫時吊銷，持牌人或負責人員仍以該身 53ZSW. Licensed person or responsible officer remains subject to 分負某些責任 obligations as such, despite suspension of licence or approval (1) 如 任何持牌人的牌照根據第 53ZSP 或 53ZSQ 條， (1) If a licence of a licensed person is suspended under 就該持牌人提供的所有或任何虛擬資產服務或其任 section 53ZSP or 53ZSQ in relation to all or any, or 何部分被暫時吊銷，則在暫時吊銷的期間，該持牌 any part of all or any, of the VA service provided by 人 —— the licensed person, then during the period of the (a) 繼續視作就本條例的條文 ( 第 53ZRD 條除外 ) suspension, the licensed person— 而言，就該項暫時吊銷所關乎的一項或多於一 (a) continues to be regarded for the purposes of the 項虛擬資產服務或其部分獲發牌；及 provisions of this Ordinance, but not section (b) 在不局限 (a) 段的原則下，須繼續遵守本條例 53ZRD, as licensed for the VA service or VA 中關於該持牌人的、假使該牌照沒有暫時吊銷 services, or the part of the VA service or VA 便會適用於該持牌人的任何條文。 services, to which the suspension relates; and (2) 如某人獲批准擔任持牌提供者的負責人員，而該項 (b) without limiting paragraph (a), continues to be 批 准 根 據 第 53ZSP 或 53ZSQ 條 被 暫 時 吊 銷，則 在 required to comply with any provision of this 暫時吊銷的期間 —— Ordinance relating to a licensed person that would apply to the person were the licence not (a) 該人繼續就本條例的條文 ( 第 53ZRO 條除外 ) so suspended. 而言，視為上述負責人員；及 (2) If an approval of a person as a responsible officer of a licensed provider is suspended under section 53ZSP or 53ZSQ, then during the period of the suspension, the person— (a) continues to be regarded for the purposes of the provisions of this Ordinance, but not section 53ZRO, as such a responsible officer; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A994 第4條 Section 4 A995 (b) 在不局限 (a) 段的原則下，該人須繼續遵守本 (b) without limiting paragraph (a), continues to be 條例關於負責人員的、假使該項批准沒有被暫 required to comply with any provision of this 時吊銷便會適用於該人的任何條文。 Ordinance relating to a responsible officer that (3) 在持牌人的牌照根據本部任何條文被暫時吊銷期間 would apply to the person were the approval ( 不論是就該人提供的所有或任何虛擬資產服務或 not so suspended. 其 任 何 部 分 被 暫 時 吊 銷 )， 該 牌 照 仍 可 根 據 第 (3) A licence of a licensed person may be revoked under 53ZSP 或 53ZSQ 條被撤銷。 section 53ZSP or 53ZSQ even if, at the time of (4) 在某人擔任持牌提供者負責人員的批准根據本部任 revocation, the licence is suspended, whether in 何 條 文 被 暫 時 吊 銷 期 間，該 項 批 准 仍 可 根 據 第 relation to all or any, or any part of all or any, of the 53ZSP 或 53ZSQ 條被撤銷。 VA service provided by the person, under any provision of this Part. (5) 本條不影響本條例中就暫時吊銷而適用的任何條文 的施行。 (4) An approval of a person as a responsible officer of a licensed provider may be revoked under section 53ZSP or 53ZSQ even if, at the time of revocation, the approval is suspended under any provision of this Part. (5) This section does not affect the operation of any provision of this Ordinance that applies in relation to a suspension. 第 2 次分部 ——干預權力：限制業務或財產 Subdivision 2—Intervention Powers: Restrictions on Business or Property 53ZSX. 第 2 次分部的釋義 53ZSX. Interpretation of Subdivision 2 (1) 在 本 次 分 部 ( 第 53ZTB 條 除 外 ) 中，提 述 根 據 第 (1) A reference in this Subdivision (except section 53ZSZ、53ZT 或 53ZTA 條 施 加 的 禁 止 或 要 求，指 53ZTB) to a prohibition or requirement imposed 根據第 53ZSZ、53ZT 或 53ZTA 條對某人施加的、 under section 53ZSZ, 53ZT or 53ZTA means a 不時根據第 53ZTB 條 ( 如適用的話 ) 取代或更改的 prohibition or requirement imposed on a person 禁止或要求。 under section 53ZSZ, 53ZT or 53ZTA, as from time to time substituted or varied under section 53ZTB (if applicable). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A996 第4條 Section 4 A997 (2) 第 53ZSO(2) 條適用於本次分部，猶如該條適用於 (2) Section 53ZSO(2) applies to this Subdivision as that 第 1 次分部。 section applies to Subdivision 1. 53ZSY. 根據第 53ZSZ、53ZT 或 53ZTA 條施加禁止或要求的理 53ZSY. Grounds for imposing prohibition or requirement under 由 section 53ZSZ, 53ZT or 53ZTA 證 監 會 如 覺 得 有 指 明 情 況，則 可 根 據 第 53ZSZ、53ZT The Commission may impose a prohibition or requirement 或 53ZTA 條，就 ( 或藉指涉 ) 任何持牌提供者或其任何 under section 53ZSZ, 53ZT or 53ZTA in respect of, or 有聯繫實體而施加禁止或要求，上述指明情況是 —— with reference to, any licensed provider or any of its (a) 任何以下財產，可能會以損害該持牌提供者的 associated entities if it appears to the Commission that— 任何客户或債權人的權益的方式，耗散、轉移 (a) any of the following might be dissipated, 或以其他方式處理 —— transferred or otherwise dealt with in a manner (i) 該 持 牌 提 供 者、其 任 何 有 聯 繫 實 體 或 客 prejudicial to the interest of any of the licensed 户的任何財產； provider’s clients or creditors— (ii) 與構成該持牌提供者提供虛擬資產服務 (i) any property of the licensed provider or 的業務有關連的任何財產； any of its associated entities or its clients; (b) ( 在顧及第 53ZRJ 條指明的事宜及其他事宜後 ) (ii) any property connected with the business 該持牌提供者並非繼續持牌的適當人選，或並 that constitutes providing a VA service by 非提供其獲發牌從事的任何虛擬資產服務的適 the licensed provider; 當人選； (b) the licensed provider is not a fit and proper (c) 該持牌提供者或其任何有聯繫實體 —— person to remain licensed or is not a fit and proper person to provide any VA service for (i) 沒有遵守第 9(3) 條之下的規定；或 which it is licensed (having regard, among other matters, to the matters specified in section 53ZRJ); (c) the licensed provider or any of its associated entities— (i) has failed to comply with a requirement under section 9(3); or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A998 第4條 Section 4 A999 (ii) 向證監會提交任何在提交時在要項上屬 (ii) in purported compliance with a 虛假或具誤導性的資料，充作遵守第 9(3) requirement under section 9(3), has 條之下的規定； furnished the Commission with (d) 該 持 牌 提 供 者 的 牌 照，可 基 於 第 53ZSP(2) 或 information that was, at the time when it 53ZSQ 條 指 明 的 任 何 理 由，而 被 撤 銷 或 暫 時 was furnished, false or misleading in a 吊銷；或 material particular; (e) 施加該項禁止或要求，對維護投資大眾利益或 (d) the licence of the licensed provider may be 公眾利益屬可取。 revoked or suspended on any of the grounds specified in section 53ZSP(2) or 53ZSQ; or (e) the imposition of the prohibition or requirement is desirable in the interest of the investing public or in the public interest. 53ZSZ. 限制業務 53ZSZ. Restriction of business (1) 在 不 抵 觸 第 53ZSY 條 的 條 文 下，證 監 會 可 藉 書 面 (1) Subject to section 53ZSY, the Commission may by 通知 —— written notice— (a) 禁止持牌提供者或其任何有聯繫實體 —— (a) prohibit a licensed provider or any of its (i) 訂立屬指明種類或不屬指明種類的交易； associated entities from— (ii) 在 指 明 情 況 下，或 在 指 明 情 況 以 外 的 情 (i) entering into transactions of a specified 況下，訂立交易； description or other than of a specified description; (iii) 在指明範圍內，或在指明範圍以外，訂立 交易； (ii) entering into transactions in specified circumstances or other than in specified (iv) 向 屬 指 明 種 類 或 不 屬 指 明 種 類 的 人，招 circumstances; 攬生意；或 (iii) entering into transactions to a specified (v) 以指明方式，或以指明方式以外的方式， extent or other than to a specified extent; 經營業務；或 (iv) soliciting business from persons of a specified description or from persons other than of a specified description; or (v) carrying on business in a specified manner or other than in a specified manner; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1000 第4條 Section 4 A1001 (b) 要求持牌提供者或其任何有聯繫實體以指明方 (b) require a licensed provider or any of its 式，並且只以指明方式，經營業務。 associated entities to carry on business in, and (2) 根據第 (1) 款對持牌提供者或其任何有聯繫實體施 only in, a specified manner. 加的禁止或要求，可關乎一項或兩項以下交易 —— (2) A prohibition or requirement imposed on a licensed (a) 在該持牌提供者經營提供虛擬資產服務的業務 provider or any of its associated entities under 的相關情況下訂立的交易； subsection (1) may relate to either or both of the following— (b) 在該持牌提供者經營的其他業務的相關情況下 訂立的交易，該等其他業務是在該持牌提供者 (a) transactions entered into in connection with the 經營提供虛擬資產服務的業務的相關情況下經 carrying on, by the licensed provider, of a 營的。 business of providing a VA service; (3) 根據第 (1) 款對持牌提供者的有聯繫實體施加的禁 (b) transactions entered into in connection with any 止或要求，可關乎在與該持牌提供者的任何客户資 other business that is carried on by the licensed 產相關的情況下訂立的交易而施加。 provider in connection with the carrying on, by the licensed provider, of a business of providing a VA service. (3) A prohibition or requirement imposed on an associated entity of a licensed provider under subsection (1) may relate to transactions entered into in connection with any client assets of the licensed provider. 53ZT. 限制處理財產 53ZT. Restriction on dealing with property (1) 在 符 合 第 53ZSY 條 的 規 定 下，證 監 會 可 藉 書 面 通 (1) Subject to section 53ZSY, the Commission may by 知 —— written notice— (a) 禁止持牌提供者或其任何有聯繫實體 —— (a) prohibit a licensed provider or any of its (i) 作出任何以下作為 —— associated entities— (A) 處置任何相關財產； (i) from doing any of the following— (B) 以 指 明 方 式，或 以 指 明 方 式 以 外 的 (A) disposing of any relevant property; 方式，處理任何相關財產；及 (B) dealing with any relevant property in a specified manner or other than in a specified manner; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1002 第4條 Section 4 A1003 (ii) 輔 助、慫 使 或 促 致 另 一 人 作 出 任 何 以 下 (ii) from assisting, counselling or procuring 作為 —— another person to do any of the (A) 處置任何相關財產； following— (B) 以 指 明 方 式，或 以 指 明 方 式 以 外 的 (A) dispose of any relevant property; 方式，處理任何相關財產；及 (B) deal with any relevant property in a (b) 要求持牌提供者或其任何有聯繫實體以指明方 specified manner or other than in a 式，並且只以指明方式，處理任何相關財產。 specified manner; and (2) 在本條中 —— (b) require a licensed provider or any of its associated entities to deal with any relevant 相 關 財 產 (relevant property) 就 某 持 牌 提 供 者 或 其 任 何 property in, and only in, a specified manner. 有聯繫實體而言，指 —— (2) In this section— (a) 符合以下說明的財產 —— relevant property (相關財產), in relation to a licensed (i) 由該持牌提供者代其任何客户持有； provider or any of its associated entities, means— (ii) 由該持牌提供者的有聯繫實體代該持牌 (a) any property— 提供者或該持牌提供者的任何客户持有； 或 (i) held by the licensed provider on behalf of any of the clients of the licensed provider; (iii) 由其他人代該持牌提供者 ( 或該持牌提供 者的有聯繫實體 ) 持有，或由其他人依照 (ii) held by an associated entity of the licensed 該持牌提供者 ( 或該持牌提供者的有聯繫 provider, on behalf of the licensed provider 實體 ) 的指示持有；或 or any of the clients of the licensed provider; or (b) 證監會合理地相信，屬該持牌提供者或其任何 有聯繫實體所擁有或控制的其他財產。 (iii) held by any other person on behalf of, or to the order of, the licensed provider, or an associated entity of the licensed provider; or (b) any other property that the Commission reasonably believes to be owned or controlled by the licensed provider or any of its associated entities. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1004 第4條 Section 4 A1005 (3) 在 第 (2) 款 中相 關 財 產 的 定 義 的 (a) 段 中 提 述 持 牌 (3) A reference to licensed provider in paragraph (a) of 提供者，指以其獲發牌的身分行事的該持牌提供者。 the definition of relevant property in subsection (2) means the licensed provider acting within the capacity for which the licensed provider is licensed. 53ZTA. 保存財產 53ZTA. Maintenance of property (1) 在 符 合 第 53ZSY 條 的 規 定 下，證 監 會 可 藉 書 面 通 (1) Subject to section 53ZSY, the Commission may by 知，要求某持牌提供者或其任何有聯繫實體，在香 written notice require a licensed provider or any of 港保存財產，並在香港以外的指明地方保存財產， its associated entities to maintain property in Hong 而使 —— Kong, and in any specified place outside Hong Kong, (a) 所保存的財產的價值及種類，是證監會覺得對 such that— 旨在確保以下情況屬可取：該持牌提供者將會 (a) the property maintained is of the value and of 有能力應付構成該持牌提供者提供虛擬資產服 the description that appear to the Commission 務的業務的債務；及 to be desirable with a view to ensuring that the (b) 保存上述財產的方式，將會使該持牌提供者或 licensed provider will be able to meet its 其任何有聯繫實體能隨時隨意轉移該財產，或 liabilities in relation to the business that 以其他方式處置該財產。 constitutes providing a VA service by the licensed provider; and (2) 證監會可在根據本條施加的要求中，指示為該要求 的目的而將屬指明種類的財產計算在內，或不得為 (b) the property is maintained in a manner that will 該要求的目的而將屬指明種類的財產計算在內。 enable the licensed provider or any of its associated entities at any time freely to transfer or otherwise dispose of the property. (2) The Commission may in any requirement imposed under this section direct that, for the purposes of the requirement, property of a specified description is or is not to be taken into account. 53ZTB. 撤回、取代或更改禁止或要求 53ZTB. Withdrawal, substitution or variation of prohibitions or (1) 原有禁止或要求除非本身另有規定，否則按照其條 requirements 款持續有效，直至有以下情況為止 —— (1) An original prohibition or requirement, unless it provides otherwise, remains in force in accordance with its terms until it is— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1006 第4條 Section 4 A1007 證監會根據第 (2)(a) 款，撤回該項原有禁止或 (a) (a) withdrawn by the Commission under subsection 要求；或 (2)(a); or (b) 證監會根據第 (2)(b) 款，以另一項禁止或要求， (b) substituted by another prohibition or 取代該項原有禁止或要求，或更改該項原有禁 requirement, or varied, by the Commission 止或要求。 under subsection (2)(b). (2) 凡原有禁止或要求是對某人 ( 施加對象 ) 施加的， (2) The Commission may, if it considers appropriate to 證 監 會 如 認 為 適 當，可 藉 給 予 施 加 對 象 書 面 通 do so, by written notice given to the person on whom 知 —— an original prohibition or requirement is imposed (a) 撤回該項原有禁止或要求；或 (subject person)— (b) 以另一項禁止或要求，取代該項原有禁止或要 (a) withdraw the original prohibition or 求，或更改該項原有禁止或要求。 requirement; or (3) 根據第 (2)(b) 款取代或更改的禁止或要求，限於證 (b) substitute another prohibition or requirement 監會可根據第 53ZSZ、53ZT 或 53ZTA 條施加的禁 for, or vary, the original prohibition or 止或要求。 requirement. (4) 證監會可主動行使第 (2) 款賦予的權力，亦可應施 (3) A prohibition or requirement as substituted or varied 加對象或受原有禁止或要求影響的其他人的請求， under subsection (2)(b) may only be a prohibition or 行使該權力。 requirement that the Commission may impose under section 53ZSZ, 53ZT or 53ZTA. (5) 第 (1)、(2)、(3) 及 (4) 款 在 作 出 必 要 的 變 通 後，適 用於經修改禁止或要求，猶如該等條文適用於原有 (4) The Commission may exercise its power under 禁止或要求。 subsection (2) of its own volition or on the request of the subject person or any other person affected by (6) 在本條中 —— an original prohibition or requirement. 原 有 禁 止 或 要 求 (original prohibition or requirement) 指 (5) Subsections (1), (2), (3) and (4) apply, with necessary 根據第 53ZSZ、53ZT 或 53ZTA 條對某人施加的禁 modifications, to a revised prohibition or requirement 止或要求； as they apply to an original prohibition or requirement. (6) In this section— original prohibition or requirement (原有禁止或要求) means a prohibition or requirement imposed on a person under section 53ZSZ, 53ZT or 53ZTA; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1008 第4條 Section 4 A1009 經 修 改 禁 止 或 要 求 (revised prohibition or requirement) revised prohibition or requirement (經修改禁止或要求) 指 —— means— (a) 根據本條，取代以下事項的禁止或要求 —— (a) a prohibition or requirement that substitutes (i) 原有禁止或要求；或 under this section— (ii) 先前的經修改禁止或要求；或 (i) an original prohibition or requirement; or (b) 根據本條更改的原有禁止或要求，或根據本條 (ii) an earlier revised prohibition or 更改的先前的經修改禁止或要求。 requirement; or (b) an original prohibition or requirement, or an earlier revised prohibition or requirement, as varied under this section. 53ZTC. 行使第 2 次分部權力 ——程序要求及對協議的效力 53ZTC. Exercise of Subdivision 2 power—procedural requirements (1) 在本條中 —— and effect on agreement (a) 凡提述證監會決定行使第 2 次分部權力，即提 (1) In this section— 述 —— (a) a reference to the Commission deciding to (i) 證 監 會 根 據 第 53ZSZ、53ZT 或 53ZTA exercise a Subdivision 2 power is a reference 條，施加某項禁止或要求； to— (ii) 證 監 會 根 據 第 53ZTB 條，撤 回 某 項 禁 止 (i) the Commission imposing a prohibition or 或要求；或 requirement under section 53ZSZ, 53ZT or 53ZTA; (iii) 證 監 會 根 據 第 53ZTB 條，以 另 一 項 禁 止 或 要 求 取 代 某 項 禁 止 或 要 求，或 更 改 某 (ii) the Commission withdrawing a prohibition 項禁止或要求；及 or requirement under section 53ZTB; or (b) 凡提述證監會決定不行使第 2 次分部權力，須 (iii) the Commission substituting another 據此解釋。 prohibition or requirement for, or varying, a prohibition or requirement under section 53ZTB; and (b) a reference to the Commission deciding not to exercise a Subdivision 2 power is to be construed accordingly. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1010 第4條 Section 4 A1011 (2) 證監會如主動決定就某人行使第 2 次分部權力，須 (2) If the Commission, of its own volition, decides to 藉 書 面 通 知，將 該 決 定 告 知 該 人，該 通 知 須 載 exercise a Subdivision 2 power in relation to a 有 —— person, the Commission must inform the person of (a) 一項陳述，說明作出該決定的理由；及 the decision by written notice and the notice must include— ( 除撤回禁止或要求外 ) 一項陳述，指出該人 (b) 可向覆核審裁處提出申請，要求覆核該決定。 (a) a statement of the reasons for the decision; and (3) 如某人依據第 53ZTB(4) 條向證監會提出請求，要 (b) (except for a withdrawal of a prohibition or 求該會行使第 53ZTB 條提述的第 2 次分部權力 —— requirement) a statement that the person may apply to the Review Tribunal for a review of the (a) 證監會如決定應請求而行使第 2 次分部權力， decision. 須藉書面通知，將該決定告知該人，而該通知 須載有一項陳述，說明作出該決定的理由；或 (3) If a request is made by any person to the Commission pursuant to section 53ZTB(4) for the (b) 證監會如決定不按照該請求而行使第 2 次分部 Commission to exercise its Subdivision 2 power 權力，不論是否同時決定以其他方式行使第 2 referred to in section 53ZTB— 次分部權力，須藉書面通知，將該決定 ( 或該 等決定 ) 告知該人，該通知須載有 —— (a) if the Commission decides to exercise a Subdivision 2 power as requested, the (i) 一項陳述，說明作出該決定 ( 或該等決定 ) Commission must inform the person of the 的理由；及 decision by written notice and the notice must (ii) 一 項 陳 述，指 出 該 人 可 向 覆 核 審 裁 處 提 include a statement of the reasons for the 出申請，要求覆核該決定。 decision; or (b) if the Commission decides not to exercise a Subdivision 2 power as requested, with or without also deciding to exercise a Subdivision 2 power in another way, the Commission must inform the person of the decision or decisions by written notice and the notice must include— (i) a statement of the reasons for the decision or decisions; and (ii) a statement that the person may apply to the Review Tribunal for a review of the decision or decisions. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1012 第4條 Section 4 A1013 (4) 就某人行使第 2 次分部權力的決定，在該人收到就 (4) A decision to exercise a Subdivision 2 power in 該決定發出的通知時生效，或在該通知指明的時間 relation to a person takes effect at the time the 生效，兩者以較後者為準。 person receives the notice given in respect of the (5) 如 —— decision or at the time specified in the notice, whichever is the later. (a) 證監會決定就某人 ( 干預對象 ) 行使第 2 次分 部權力；及 (5) If— (b) 按 照 第 (2) 或 (3) 款 給 予 的 理 由，明 確 地 關 乎 (a) the Commission decides to exercise a 某事宜，而 —— Subdivision 2 power in relation to a person (intervention subject); and (i) 該事宜指涉某位被該項決定理由的陳述 所識辨但不是干預對象的人 ( 被識辨人 )； (b) the reasons provided in accordance with 及 subsection (2) or (3) relate specifically to matters that— (ii) 證 監 會 認 為，該 事 宜 在 任 何 方 面 對 被 識 辨人不利， (i) refer to any person (identified person) who is identified in the statement of the reasons 則證監會須在作出該決定後，在合理地切實可行的 for the decision but who is not the 範圍內，盡快採取一切合理步驟，向被識辨人送達 intervention subject; and 就該決定而給予的通知的複本。 (ii) are, in the opinion of the Commission, (6) 就行使第 2 次分部權力的決定而給予某人的通知或 prejudicial to the identified person in any 其複本，如已根據本部任何其他條文送達該人，則 respect, 第 (2)、(3) 及 (5) 款 並 不 規 定 將 該 通 知 或 複 本 送 達 該人。 the Commission must, as soon as reasonably practicable after the decision, take all reasonable (7) 證監會須就行使第 2 次分部權力的決定，於憲報刊 steps to serve on the identified person a copy of the 登公告，亦可用該會認為適當的額外方式發布公告。 notice given in respect of the decision. (6) Subsections (2), (3) and (5) do not require a notice, or a copy of a notice, given in respect of a decision to exercise a Subdivision 2 power to be served on any person if the notice or copy has been served on the person under any other provision of this Part. (7) The Commission must publish in the Gazette, and may publish by any additional means that it considers appropriate, a notice regarding a decision to exercise a Subdivision 2 power. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1014 第4條 Section 4 A1015 (8) 證監會如認為適當，可在根據第 (7) 款發布的公告 (8) A notice published under subsection (7) may, if the 附加陳述，述明作出該公告所關乎的行使第 2 次分 Commission considers appropriate, include a 部權力的決定的理由。 statement of the reasons for the decision to exercise a (9) 凡符合指明條件，行使第 2 次分部權力的決定，不 Subdivision 2 power to which the notice relates. 具有使某協議不能由該協議的一方強制執行的效 (9) A decision to exercise a Subdivision 2 power does 力，上 述 指 明 條 件 是 該 方 證 明 其 在 訂 立 該 協 議 not operate so as to render an agreement 時 —— unenforceable by a party to the agreement if the (a) 以真誠行事；及 party proves that in entering into the agreement the party— (b) 並不察覺根據本次分部給予、送達、刊登或發 布的、關於該決定的通知或公告。 (a) acted in good faith; and (10) 如某人因本次分部適用，或因根據本次分部給予、 (b) was unaware of any notice given, served or 送 達、刊 登 或 發 布 的 通 知 或 公 告，而 撤 銷 任 何 協 published under this Subdivision in respect of 議，則該人須將根據該協議而從該協議的任何另一 or regarding the decision to exercise the 方收到或取得的任何款項或其他利益，歸還該另一 Subdivision 2 power. 方。 (10) If, because of the application of this Subdivision or of the giving, service or publication of any notice under this Subdivision, a person rescinds an agreement, the person must restore to any other party to the agreement any money or other benefit received or obtained by the person under the agreement from that party. 53ZTD. 施加禁止或要求的權力，不受牌照的撤銷或暫時吊銷影 53ZTD. Power to impose prohibition or requirement not affected by 響 revocation or suspension of licence (1) 儘管有本部任何其他條文的規定，本條仍然適用， (1) This section applies despite any other provisions of 但不影響第 53ZSW 條的施行。 this Part, but does not affect the operation of section (2) 第 (3) 款在以下情況下適用 —— 53ZSW. (a) 一 項 第 2 次 分 部 禁 止 或 要 求，就 ( 或 藉 指 涉 ) (2) Subsection (3) applies if— 某持牌提供者或其任何有聯繫實體施加；及 (a) in respect of, or with reference to, a licensed provider or any of its associated entities, a Subdivision 2 prohibition or requirement is imposed; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1016 第4條 Section 4 A1017 (b) 在上述施加生效後的任何時間，該持牌提供者 (b) at any time after the imposition takes effect, the 的牌照被撤銷或暫時吊銷。 licence of the licensed provider is revoked or (3) 上述撤銷或暫時吊銷 —— suspended. (a) 不影響該項已施加並生效的第 2 次分部禁止或 (3) The revocation or suspension— 要求的有效性；及 (a) does not affect the validity of the imposition of (b) 在不局限 (a) 段的原則下，不影響證監會可在 the Subdivision 2 prohibition or requirement 該項撤銷或暫時吊銷生效時或其後任何時間根 that has taken effect; and 據第 53ZTB 條行使的權力， (b) without limiting paragraph (a), does not affect 而在本部中提述持牌提供者，須據此解釋。 any power exercisable by the Commission under section 53ZTB, at the time when the revocation (4) 第 (5) 款適用於符合以下說明的持牌提供者 —— or suspension takes effect or at any later time, (a) 該持牌提供者的牌照被撤銷或暫時吊銷；及 and a reference in this Part to a licensed provider is (b) 就 ( 或藉指涉 ) 該持牌提供者或其任何有聯繫 to be construed accordingly. 實體施加的第 2 次分部禁止或要求 ( 不論是在 (4) Subsection (5) applies to a licensed provider if— 該項撤銷或暫時吊銷之前或之後施加 ) 仍然有 效。 (a) the licence of the licensed provider is revoked or suspended; and (5) 有關持牌提供者並不僅因遵守第 2 次分部禁止或要 求，而屬違反第 53ZRD(1) 條對經營提供虛擬資產 (b) a Subdivision 2 prohibition or requirement 服務業務的禁止。 imposed in respect of, or with reference to, the licensed provider or any of its associated entities (6) 為免生疑問，證監會如決定撤銷或暫時吊銷持牌提 (whether before or after the revocation or 供者的牌照，可在該項撤銷或暫時吊銷生效之前任 suspension) is in force. (5) The licensed provider does not contravene the prohibition in section 53ZRD(1) on carrying on a business of providing a VA service merely because it complies with the Subdivision 2 prohibition or requirement. (6) To avoid doubt, if the Commission has decided to revoke or suspend the licence of a licensed provider, the Commission may, at any time before the revocation or suspension takes effect, impose or withdraw a Subdivision 2 prohibition or requirement <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1018 第4條 Section 4 A1019 何時間，就 ( 或藉指涉 ) 該持牌提供者或其任何有 in respect of, or with reference, to the licensed 聯繫實體，施加或撤回第 2 次分部禁止或要求。 provider or any of its associated entities. (7) 為 免 生 疑 問，即 使 持 牌 提 供 者 的 牌 照 已 被 暫 時 吊 (7) To avoid doubt, this section does not affect the 銷，證監會施加或撤回就 ( 或藉指涉 ) 該持牌提供 power of the Commission to impose or withdraw a 者或其任何有聯繫實體施加的第 2 次分部禁止或要 Subdivision 2 prohibition or requirement imposed in 求的權力，不受本條影響。 respect of, or with reference to, a licensed provider or (8) 在本條中 —— any of its associated entities where the licence of the licensed provider has been suspended. (a) 提 述 施 加 第 2 次 分 部 禁 止 或 要 求，須 解 釋 為 指 —— (8) In this section— (i) 根據第 53ZSZ、53ZT 或 53ZTA 條施加禁 (a) a reference to imposing a Subdivision 2 止或要求； prohibition or requirement is to be read to mean— (ii) 根 據 第 53ZTB 條，以 禁 止 或 要 求，取 代 另一項禁止或要求；或 (i) imposing a prohibition or requirement under section 53ZSZ, 53ZT or 53ZTA; (iii) 根據第 53ZTB 條，更改禁止或要求， (ii) substituting a prohibition or requirement 而提述已施加的第 2 次分部禁止或要求，須據 for another prohibition or requirement 此解釋； under section 53ZTB; or (b) 提 述 第 2 次 分 部 禁 止 或 要 求，指 如 (a)(i)、(ii) (iii) varying a prohibition or requirement under 或 (iii) 段所述般施加、取代或更改的禁止或要 section 53ZTB, 求；及 and a reference to a Subdivision 2 prohibition (c) 提 述 撤 回 第 2 次 分 部 禁 止 或 要 求，指 根 據 第 or requirement being imposed is to be read 53ZTB 條撤回禁止或要求。 accordingly; (b) a reference to a Subdivision 2 prohibition or requirement means a prohibition or requirement imposed, substituted or varied as mentioned in paragraph (a)(i), (ii) or (iii); and (c) a reference to withdrawing a Subdivision 2 prohibition or requirement means withdrawing a prohibition or requirement under section 53ZTB. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1020 第4條 Section 4 A1021 (9) 在本條中 —— (9) In this section— (a) 提述持牌提供者的牌照被撤銷 —— (a) a reference to a licence of a licensed provider (i) 指該牌照根據第 53ZSP 或 53ZSQ 條被撤 being revoked— 銷；及 (i) means the licence being revoked under (ii) 包括該牌照根據第 53ZRX 條當作被撤銷； section 53ZSP or 53ZSQ; and 及 (ii) includes the licence being deemed under (b) 提述持牌提供者的牌照被暫時吊銷，指該牌照 section 53ZRX to be revoked; and 根據第 53ZSP 或 53ZSQ 條被暫時吊銷。 (b) a reference to a licence of a licensed provider being suspended means the licence being suspended under section 53ZSP or 53ZSQ. 53ZTE. 就禁止或要求不獲遵從，向原訟法庭提出申請 53ZTE. Application to Court of First Instance relating to non- (1) 如施加對象沒有遵從第 2 次分部禁止或要求，則證 compliance with prohibition or requirement 監會可根據第 (2) 款，向原訟法庭申請命令。 (1) The Commission may apply to the Court of First (2) 原訟法庭可應第 (1) 款所指的申請，查訊有關個案， Instance for an order under subsection (2) if a 並可 —— subject person fails to comply with a Subdivision 2 prohibition or requirement. (a) 如原訟法庭信納，有關施加對象不遵從有關的 第 2 次分部禁止或要求，並無合理辯解 ——命 (2) On an application under subsection (1), the Court of 令該施加對象在原訟法庭指明的限期內，遵從 First Instance may inquire into the case and may— 該項禁止或要求；及 (a) if the Court is satisfied that there is no (b) 如原訟法庭信納，有關施加對象沒有遵從該項 reasonable excuse for the subject person not to 第 2 次分部禁止或要求，並無合理辯解 ——懲 comply with the Subdivision 2 prohibition or 罰該施加對象及明知而牽涉入該項不遵從的任 requirement—order the subject person to 何其他人，懲罰方式猶如該施加對象及 ( 如適 comply with the prohibition or requirement 用的話 ) 該其他人犯藐視法庭罪一樣。 within the period specified by the Court; and (b) if the Court is satisfied that the failure was without reasonable excuse—punish the subject person, and any other person knowingly involved in the failure, in the same manner as if the subject person and, where applicable, that other person had been guilty of contempt of court. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1022 第4條 Section 4 A1023 (3) 凡某人不遵從第 2 次分部禁止或要求，屬有合理可 (3) The Commission may apply to the Court of First 能會發生，證監會可向原訟法庭申請第 (4) 款所指 Instance for an order under subsection (4) if there is 的命令。 a reasonable likelihood that a subject person will fail (4) 原訟法庭可應第 (3) 款所指的申請，命令以下的人 to comply with a Subdivision 2 prohibition or 採取或避免採取原訟法庭所指示的任何行動 —— requirement. (a) 施加對象； (4) On an application under subsection (3), the Court of First Instance may order the following persons to (b) 原訟法庭信納有能力促致該施加對象遵從有關 take any action, or refrain from taking any action, 的第 2 次分部禁止或要求的任何其他人。 that the Court directs— (5) 本條所指的申請，須藉原訴傳票或原訴動議而提出。 (a) the subject person; (6) 本條所指的原訴傳票，須採用《高等法院規則》( 第 (b) any other person whom the Court is satisfied is 4 章，附屬法例 A) 附錄 A 表格 10 。 able to procure the subject person to comply (7) 在本條中 —— with the Subdivision 2 prohibition or 施加對象 (subject person) 在某第 2 次分部禁止或要求就 requirement. 某人有效的情況下，就該項禁止或要求而言，指該 (5) An application under this section must be made by 人； originating summons or originating motion. 第 2 次 分 部 禁 止 或 要 求 (Subdivision 2 prohibition or (6) An originating summons under this section must be requirement) ——參閱第 53ZTD(8) 條。 in Form No. 10 in Appendix A to the Rules of the High Court (Cap. 4 sub. leg. A). (7) In this section— Subdivision 2 prohibition or requirement (第2次分部禁止或 要求)—see section 53ZTD(8); subject person (施加對象), in relation to a Subdivision 2 prohibition or requirement, means the person in respect of whom the prohibition or requirement is in force. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1024 第4條 Section 4 A1025 第 3 次分部 ——清盤令及其他命令 Subdivision 3—Winding Up and Other Orders 53ZTF. 清盤令 53ZTF. Winding up orders (1) 證監會可基於根據《公司 ( 清盤及雜項條文 ) 條例》( 第 (1) The Commission may present a petition for a 32 章 ) 將某持牌提供者或某持牌提供者的有聯繫實 licensed provider, or an associated entity of a licensed 體清盤屬公正公平的理由，而提出呈請，要求根據 provider, to be wound up under the Companies 該條例將其清盤，但行使上述提出呈請的權力有以 (Winding Up and Miscellaneous Provisions) 下前提 —— Ordinance (Cap. 32) on the ground that it is just and (a) 該持牌提供者或該有聯繫實體屬一個法團，而 equitable that the licensed provider or the associated 原訟法庭具有司法管轄權，根據該條例，將該 entity should be so wound up if— 法團清盤；及 (a) the licensed provider or the associated entity is (b) 證監會覺得，將該持牌提供者或該有聯繫實體 a corporation in respect of which the Court of 清盤，對維護公眾利益屬可取。 First Instance has jurisdiction to wind up under that Ordinance; and (2) 《公 司 ( 清 盤 及 雜 項 條 文 ) 條 例》( 第 32 章 ) 適 用 於 上述呈請，一如該條例適用於根據該條例提出的呈 (b) it appears to the Commission that it is desirable 請。 in the public interest that the licensed provider or the associated entity should be wound up. (2) The Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32) applies to the petition as it applies in relation to a petition presented under that Ordinance. 53ZTG. 破產令 53ZTG. Bankruptcy orders (1) 證 監 會 可 按 照《破 產 條 例》( 第 6 章 ) 提 出 呈 請，要 (1) The Commission may present a petition for a 求針對某持牌代表作出破產令，但行使上述提出呈 bankruptcy order against a licensed representative in 請的權力有以下前提 —— accordance with the Bankruptcy Ordinance (Cap. 6) (a) 該持牌代表的債權人有理由按照該條例提出呈 if— 請，要求針對該持牌代表作出破產令；及 (a) grounds exist for the presentation of a petition for a bankruptcy order against the licensed representative by his or her creditor in accordance with that Ordinance; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1026 第4條 Section 4 A1027 證監會覺得，按照該條例提出呈請，要求針對 (b) (b) it appears to the Commission that it is desirable 該持牌代表作出破產令，對維護公眾利益屬可 in the public interest to present a petition for a 取。 bankruptcy order against the licensed (2) 《破 產 條 例》( 第 6 章 ) 適 用 於 上 述 呈 請，一 如 該 條 representative in accordance with that 例適用於由債權人提出的呈請。 Ordinance. (2) The Bankruptcy Ordinance (Cap. 6) applies to the petition as it applies in relation to a petition presented by a creditor. 53ZTH. 禁制令及其他命令 53ZTH. Injunctions and other orders (1) 如 —— (1) The Court of First Instance may, on an application (a) 任何人作出任何關乎違反的行為；或 of the Commission, make one or more of the orders specified in subsection (2) if— (b)證監會覺得，有人已經作出、正在作出或可能 作出任何關乎違反的行為， (a) a person has committed any contravention- related conduct; or 原訟法庭可應證監會的申請，作出第 (2) 款指明的 一項或多於一項命令。 (b) it appears to the Commission that any contravention-related conduct has been, is being (2) 為施行第 (1) 款而指明的命令是 —— or may be committed. (a) 效力如下的命令：制止或禁止作出或繼續作出 (2) The orders specified for the purposes of subsection (1) 關乎違反的行為； are— (b) 如某人曾經、正在或可能會 ( 或看來是曾經、 (a) an order restraining or prohibiting the 正在或可能會 ) 牽涉入作出關乎違反的行為， commission or the continued commission of 不論該人是否明知而牽涉 入 作 出 該 行 為 —— any contravention-related conduct; 效力如下的命令：飭令該人採取原訟法庭所指 示的步驟，包括使交易各方回復交易訂立之前 (b) if a person, or it appears that a person, has 所處的狀況的步驟； been, is or may become, involved in the commission of any contravention-related conduct, whether knowingly or otherwise—an order requiring the person to take any step that the Court of First Instance directs, including steps to restore the parties to any transaction to the position in which they were before the transaction was entered into; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1028 第4條 Section 4 A1029 (c) 效力如下的命令：制止或禁止某人取得或處置 (c) an order restraining or prohibiting a person 該命令所指明的任何財產或以其他方式，進行 from acquiring, disposing of, or otherwise 該等財產的交易； dealing in, any property specified in the order; (d) 委任某人管理另一人的財產的命令； (d) an order appointing a person to administer the (e) 宣布任何關乎虛擬資產的合約在命令所指明的 property of another person; 範圍內屬無效或可使無效的命令； (e) an order declaring a contract relating to any (f) ( 為確保根據本條作出的其他命令獲遵從 ) 指 virtual assets to be void or voidable to the 示某人作出或不得作出命令所指明的作為的命 extent specified in the order; 令；及 (f) for the purpose of securing compliance with any (g) 原訟法庭認為在作出 (a)、(b)、(c)、(d)、(e) 及 other order made under this section, an order (f) 段提述的任何命令後有必要作出的附帶命令。 directing a person to do or refrain from doing any act specified in the order; and (3) 原訟法庭作出第 (2) 款指明的命令前，須在合理地 可能的範圍內信納 —— (g) any ancillary order that the Court of First Instance considers necessary in consequence of (a) 作出該命令屬可取；及 the making of any of the orders referred to in 該命令不會不公平地損害任何人。 (b) paragraphs (a), (b), (c), (d), (e) and (f). (4) 原訟法庭作出第 (2) 款指明的命令前，可指示作出 (3) The Court of First Instance must, before making an 以下其中一項或兩者 —— order specified in subsection (2), satisfy itself so far (a) 就該命令提出的申請的通知，向其認為適當的 as it can reasonably do so— 人發出； (a) that it is desirable that the order be made; and (b) 按其認為適當的方式，公布上述通知。 (b) that the order will not unfairly prejudice any person. (4) The Court of First Instance may, before making an order specified in subsection (2), direct either or both of the following— (a) a notice of the application made in respect of the order be given to the persons that the Court considers appropriate; (b) such a notice be published in the manner that the Court considers appropriate. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1030 第4條 Section 4 A1031 (5) 原訟法庭如認為可取，可在依據第 (1) 款提出的申 (5) If the Court of First Instance considers it desirable 請仍待決時，發出其認為適當的臨時命令。 to do so, it may grant an interim order that it (6) 原訟法庭不論是否覺得出現以下情況，均可作出第 considers appropriate pending the determination of (2) 款指明的命令 —— an application made pursuant to subsection (1). (a) 有關命令將要針對的人，意圖再次從事或繼續 (6) An order specified in subsection (2) may be made 從事作出關乎違反的行為； whether or not it appears to the Court of First Instance that— (b) 有關命令將要針對的人，先前曾從事作出關乎 違反的行為；或 (a) the person against whom the order is to be made intends to engage again, or to continue to (c) 如不作出該命令，會使任何人有蒙受損害的迫 engage, in the commission of any contravention- 切危險。 related conduct; (7) 如原訟法庭有權針對某人作出第 (2) 款指明的命令 (b) the person against whom the order is to be ( 該命令 )，則原訟法庭亦可增發命令，或另發命令 made has previously engaged in the commission 以取代該命令，飭令該人向任何其他人支付損害賠 of any contravention-related conduct; or 償。 (c) there is an imminent danger of damage to any (8) 如原訟法庭命令已根據第 (1) 或 (5) 款作出，則可—— person in the event of the order not being made. (a) 推翻、更改或解除該命令；或 (7) If the Court of First Instance has power to make an (b) 暫緩執行該命令。 order specified in subsection (2) against a person, it (9) 就本條而言，如某人 —— may, in addition to or in substitution for such order, make an order requiring the person to pay damages (a) 違反適用規定； to any other person. (b) 協助、教唆或以其他方式輔助、慫使或促致某 (8) If an order is made or granted under subsection (1) 人違反適用規定； or (5), the Court of First Instance may— (a) reverse, vary or discharge the order; or (b) suspend the operation of the order. (9) For the purposes of this section, a person commits contravention-related conduct if the person— (a) contravenes an applicable requirement; (b) aids, abets, or otherwise assists, counsels or procures a person to contravene an applicable requirement; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1032 第4條 Section 4 A1033 (c) 以威脅、承諾或其他方式，促使某人違反適用 (c) induces, whether by threats, promises or 規定； otherwise, a person to contravene an applicable (d) 明知而直接或間接地以任何方式，牽涉入違反 requirement; 指明規定，或直接或間接參與違反適用規定； (d) is directly or indirectly in any way knowingly 或 involved in, or a party to, any contravention of (e) 企圖違反指明規定，或與他人串謀違反適用規 an applicable requirement; or 定， (e) attempts, or conspires with others, to contravene 該人即屬作出關乎違反的行為。 an applicable requirement. (10) 在本條中 —— (10) In this section— 適 用 規 定 (applicable requirement) 指 第 53ZR 條 中 指 明 applicable requirement (適用規定) means anything falling 規 定 的 定 義 中 的 (a)、(c)、(d) 或 (e) 段 所 指 的 任 何 within paragraph (a), (c), (d) or (e) of the definition 事項。 of specified requirement in section 53ZR. 第 10 分部 ——雜項條文 Division 10—Miscellaneous 53ZTI. 申請人須提供資料 53ZTI. Applicant to provide information (1) 如某人 ( 申請人 ) 提出以下申請，則本條適用於申 (1) This section applies to a person (applicant) who 請人 —— applies— (a) 根據第 53ZRK 或 53ZRL 條申請牌照； (a) for a licence under section 53ZRK or 53ZRL; (b) 根據第 53ZRM 條申請批准隸屬關係或批准轉 (b) for approval of accreditation or approval of 移隸屬關係； transfer of accreditation to a principal under (c) 根據第 53ZRN 條申請更改虛擬資產服務； section 53ZRM; (d) 根據第 53ZRP 條申請批准擔任負責人員； (c) for variation of VA service under section 53ZRN; (e) 根據第 53ZRR 條申請批准處所； (d) for approval to be a responsible officer under (f) 根據第 53ZRQ 條申請批准成為最終擁有人； section 53ZRP; 或 (e) for approval of premises under section 53ZRR; (f) for approval to become an ultimate owner under section 53ZRQ; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1034 第4條 Section 4 A1035 (g) 就根據本部須獲證監會批准的任何其他事宜提 (g) for any other matter requiring the approval of 出的申請。 the Commission under this Part. (2) 申請人須向證監會提供該會合理地要求的資料，以 (2) The applicant must provide the Commission with 使該會能夠考慮有關申請。 any information that the Commission reasonably (3) 證監會在考慮第 (1) 款提述的申請時，可顧及該會 requires to enable it to consider the application. 管有的任何資料 ( 不論是否由申請人提供 )。 (3) In considering an application referred to in (4) 證監會在本條以外的要求或顧及資料的權力，不受 subsection (1), the Commission may have regard to 本條影響。 any information in its possession, whether provided by the applicant or not. (4) This section does not affect the Commission’s power to require or have regard to information apart from this section. 53ZTJ. 紀律處分行動的詳情須記入登記冊 53ZTJ. Particulars of disciplinary actions to be entered on register (1) 凡根據第 53ZSP 或 53ZSQ 條針對持牌人行使權力 (決 (1) For an exercise of a power under section 53ZSP or 定 )，證監會 —— 53ZSQ (decision) against a licensed person, the (a) 須在根據第 53ZRH 條備存的登記冊 ( 登記冊 )， Commission— 記入該會認為適當的、該決定的詳情；及 (a) must enter on the register maintained under (b) 須在登記冊就該決定記入以下詳情 —— section 53ZRH (register) the particulars of the decision that the Commission considers (i) 如 該 決 定 是 覆 核 的 對 象 ——審 裁 處 對 覆 appropriate; and 核的裁決 ( 當可供記入時 )； (b) must enter the following particulars in relation (ii) 如 該 審 裁 處 的 裁 決 是 上 訴 的 對 象 ——上 to a decision on the register— 訴法庭對上訴的裁決 ( 當可供記入時 )。 (i) if the decision is the subject of a review—the Tribunal’s determination of the review (when available); (ii) if the Tribunal’s determination is the subject of an appeal—the Court of Appeal’s determination on appeal (when available). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1036 第4條 Section 4 A1037 (2) 記入登記冊的決定的詳情，須在以下日期後的 5 年 (2) The particulars of a decision entered on the register 內備存於登記冊 —— are to be kept in the register for a period of 5 years (a) 除 非 第 (1)(b)(i) 或 (ii) 款 適 用 ——該 決 定 的 生 after— 效日期； (a) unless subsection (1)(b)(i) or (ii) applies—the (b) 如 第 (1)(b)(i) 款 適 用， 但 第 (1)(b)(ii) 款 不 適 day on which the decision takes effect; 用 ——審裁處作出其裁定的日期；或 (b) if subsection (1)(b)(i) applies but subsection (c) 如第 (1)(b)(ii) 款適用 ——上訴法庭作出其裁決 (1)(b)(ii) does not apply—the day on which the 的日期。 Tribunal makes its determination; or (3) 第 (1) 及 (2) 款 不 適 用 於 根 據 第 53ZSP(3)(a) 條 作 出 (c) if subsection (1)(b)(ii) applies—the day on 的非公開譴責。 which the Court of Appeal makes its determination. (4) 儘管有第 (1) 及 (2) 款的規定，如決定被證監會撤回， 或經覆核或上訴被推翻，則該會無須在登記冊記入 (3) Subsections (1) and (2) do not apply to a private 或保存該決定的詳情或關於該決定的詳情。 reprimand under section 53ZSP(3)(a). (4) Despite subsections (1) and (2), the Commission is not required to enter on the register, or keep in the register, the particulars of, or in relation to, a decision if the decision is revoked by the Commission or is set aside on review or on appeal. 53ZTK. 第 5B 部事宜的守則或指引 53ZTK. Codes or guidelines on matters under Part 5B (1) 為了為本部任何條文提供導引，證監會可公布該會 (1) The Commission may publish codes and guidelines 認為適當的守則及指引。 that it considers appropriate for providing guidance (2) 上述守則及指引須於憲報刊登，並須以證監會認為 in relation to any provision under this Part. 適當的其他方式發布。 (2) The codes and guidelines must be published in the (3) 為免生疑問，證監會根據本條公布守則或指引的權 Gazette and in any other way the Commission 力，增補而非減損該會根據本條例或其他條例任何 considers appropriate. 條文公布守則或指引的其他權力。 (3) To avoid doubt, the power of the Commission to publish codes or guidelines under this section is in addition to, and not in derogation of, any other power of the Commission to publish codes or guidelines under any provision of this or any other Ordinance. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1038 第4條 Section 4 A1039 (4) 證監會可不時修訂根據本條公布的守則或指引的全 (4) The Commission may, from time to time, amend the 部或任何部分，修訂方式須與根據本條公布該守則 whole or any part of any code or guideline published 或指引的權力相符，而 —— under this section in a way consistent with the power (a) 本條其他條文在經必要變通後，適用於該守則 to publish the code or guideline under this section, 或指引的修訂，一如適用於該守則或指引；及 and— (b) 在本條例或任何其他條例中提述根據本條公布 (a) the other provisions of this section apply, with 的守則或指引 ( 不論如何稱述 )，除文意另有 necessary modifications, to the amendments to 所指外，須解釋為提述經如此修訂的該守則或 the code or guideline as they apply to the code 指引。 or guideline; and (5) 如某人沒有遵守根據本條公布的守則或指引的條 (b) any reference in this or any other Ordinance to 文，此事本身不會令該人可在任何法律程序 ( 不論 the code or guideline (however expressed) 是否屬司法程序的性質 ) 中被起訴。 published under this section is, unless the context otherwise requires, to be construed as a (6) 儘管有第 (5) 款的規定 —— reference to the code or guideline as amended. (a) 在為施行本條例任何條文而考慮持牌提供者或 (5) A failure on the part of a person to comply with a 持牌代表是否屬獲發牌或繼續獲發牌的適當人 provision of any code or guideline published under 選時，可考慮有關守則或指引；及 this section does not by itself make the person liable (b) 在根據本條例提起而於任何法庭進行的法律程 to any legal proceedings, whether in the nature of 序中 —— judicial proceedings or otherwise. (i) 該守則或指引可獲接納為證據；及 (6) Despite subsection (5)— (a) the codes or guidelines may be taken into account in considering, for the purposes of any provision of this Ordinance, whether a licensed provider or a licensed representative is a fit and proper person to be or to remain licensed; and (b) in any proceedings under this Ordinance before any court— (i) the code or guideline is admissible in evidence; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1040 第4條 Section 4 A1041 (ii) 該法庭如覺得該守則或指引內所列條文， (ii) if any provision set out in the code or 與 該 法 律 程 序 中 產 生 的 任 何 問 題 相 關， guideline appears to the court to be 則須在裁斷該問題時，考慮該條文。 relevant to any question arising in the (7) 任何根據本條公布的守則或指引，均不是附屬法例。 proceedings, it is to be taken into account in determining that question. (7) Any code or guideline published under this section is not subsidiary legislation. 53ZTL. 第 5B 部事宜的規則 53ZTL. Rules on matters under Part 5B (1) 證監會可訂立規則，以更佳地施行本部的條文，及 (1) The Commission may make rules for the better 達致本部的目的。 carrying out of the provisions and purposes of this (2) 在不局限第 (1) 款的原則下，證監會可訂立規則 —— Part. (a) 指 明 任 何 條 件，本 部 條 文 在 該 等 條 件 的 規 限 (2) Without limiting subsection (1), the Commission may 下 —— make rules— (i) 就指明人士或屬指明類別人士的成員而 (a) to specify any conditions subject to which the 言，不具效力或只具指明程度的效力； provisions of this Part— (ii) 就任何指明人士或指明類別人士訂立的 (i) do not have effect, or only have effect to a 任 何 指 明 交 易 或 指 明 類 別 的 交 易 而 言， specified extent, in relation to any specified 不具效力；或 person or to members of a specified class of persons; (iii) 凡該等條文規定任何申請、陳述、通知或 其他文件 ( 不論如何稱述 ) 須提交或呈交 (ii) do not have effect in relation to any 證監會或送交證監會存檔，如該申請、陳 specified transaction or class of 述、通知或文件 ( 視情況所需而定 ) 已提 transactions entered into by any specified person or class of persons; or (iii) are, where they require any application, statement, notice or other document (however described) to be lodged or filed with or submitted to the Commission, to be regarded as having been complied with if the application, statement, notice or other document (as the case requires) is <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1042 第4條 Section 4 A1043 交或呈交其他指明人士或送交其他指明 lodged or filed with or submitted to any 人士存檔 ——須視作已獲遵守；及 other specified person; and (b) 訂明根據本部須以規則訂明的任何事宜。 (b) to prescribe any matter that under this Part is to (3) 除 本 部 另 有 規 定 外，證 監 會 根 據 本 條 訂 立 的 規 be prescribed by rules. 則 —— (3) Except as otherwise provided in this Part, rules made (a) 可一般地適用，或適用於特別情況，並可只於 by the Commission under this section— 指明情況下適用； (a) may be of general or special application and (b) 可就不同情況訂定不同條文，並可就不同個案 may be made so as to apply only in specified 或不同類別的個案訂定條文； circumstances; (c) 可授權將任何事宜或事情，交由任何指明人士 (b) may make different provisions for different 裁斷、應用或規管； circumstances and provide for different cases or classes of cases; (d) 可 就 於 指 明 個 案 中 行 使 酌 情 決 定 權，訂 定 條 文；及 (c) may authorize any matter or thing to be determined, applied or regulated by any (e) 可為更佳和更有效地施行本條例或該等規則的 specified person; 任何條文，而載有保留條文、過渡條文、附帶 條文、增補條文、證據條文及相應條文 ( 不論 (d) may provide for the exercise of discretion in 是否涉及任何主體條例的條文或任何附屬法例 specified cases; and 的條文 )。 (e) may, for the better and more effectual carrying (4) 儘管有本部其他條文的規定，除第 (6) 款另有規定 into effect of any provision of this Ordinance or 外，證監會如擬根據第 (1) 款訂立規則，則須以該 the rules, include any savings, transitional, 會認為適當的方式，發表該等建議規則的草擬本， incidental, supplemental, evidential and 以邀請公眾就該等建議規則作出申述。 consequential provisions (whether involving the provisions of any principal legislation or the provisions of any subsidiary legislation). (4) Despite any other provisions of this Part but subject to subsection (6), if the Commission proposes to make rules under subsection (1), it must publish a draft of the proposed rules, in a manner that it considers appropriate, for the purpose of inviting representations on the proposed rules by the public. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1044 第4條 Section 4 A1045 (5) 證監會如在根據第 (4) 款就規則發表草擬本後，根 (5) If the Commission makes any rules under subsection 據第 (1) 款訂立該等規則，則須 —— (1) after a draft is published under subsection (4) in (a) 以該會認為適當的方式，發表敍事報告，以概 relation to the rules, it must— 括字句列出 —— (a) publish, in a manner that it considers (i) 就該草擬本作出的申述；及 appropriate, an account setting out in general terms— (ii) 該會對該等申述的回應；及 (i) the representations made on the draft; and (b) 如該等規則經過修改，而該會認為，該等修改 導 致 該 等 規 則 與 草 擬 本 有 重 大 差 異 ——以 該 (ii) the response of the Commission to the 會認為適當的方式，公布該等差異的細節。 representations; and (6) 如證監會認為在有關個案的情況下 —— (b) if the rules are made with modifications that in the opinion of the Commission result in the (a) 第 (4) 及 (5) 款適用，屬不適當或無需要；或 rules being significantly different from the draft, (b) 為遵守該兩款而涉及的延擱 —— publish, in a manner that it considers (i) 不符合投資大眾利益；或 appropriate, details of the difference. (ii) 不符合公眾利益， (6) Subsections (4) and (5) do not apply if the Commission considers, in the circumstances of the 則該兩款不適用。 case, that— (7) 為 免 生 疑 問，第 (4)、(5) 及 (6) 款 不 影 響 在 該 等 條 (a) it is inappropriate or unnecessary that those 文以外適用於根據本部任何條文訂立規則的其他規 subsections should apply; or 定。 (b) any delay involved in complying with those (8) 如證監會根據第 (1) 款訂立規則，行政長官會同行 subsections— 政會議可訂立規例，訂定任何人違反該等規則中適 (i) would not be in the interest of the investing public; or (ii) would not be in the public interest. (7) To avoid doubt, subsections (4), (5) and (6) do not affect any other requirements that, apart from those subsections, apply to the making of any rules under any provision of this Part. (8) If rules are made by the Commission under subsection (1), the Chief Executive in Council may make regulations to provide that a person who <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1046 第4條 Section 4 A1047 用於該人的指明條文，即屬犯罪，可處不超過以下 contravenes any specified provision of the rules that 罰則的指明罰則 —— applies to the person commits an offence and is liable (a) 一 經 循 公 訴 程 序 定 罪 ——罰 款 $500,000 及 監 to a specified penalty not exceeding— 禁 2 年；或 (a) on conviction on indictment a fine of $500,000 (b) 一經循簡易程序定罪 ——第 6 級罰款及監禁 6 and imprisonment for 2 years; or 個月。 (b) on summary conviction a fine at level 6 and imprisonment for 6 months. 53ZTM. 修訂附表 3B 至 3F 53ZTM. Amendment of Schedules 3B to 3F (1) 財經事務及庫務局局長可藉於憲報刊登的公告，修 (1) The Secretary for Financial Services and the Treasury 訂附表 3B。 may, by notice published in the Gazette, amend (2) 證監會可藉於憲報刊登的公告，修訂附表 3C。 Schedule 3B. (3) 證監會可在諮詢財政司司長後，藉於憲報刊登的公 (2) The Commission may, by notice published in the 告，修訂附表 3D、3E 及 3F。 Gazette, amend Schedule 3C. (3) The Commission may, after consultation with the Financial Secretary, by notice published in the Gazette, amend Schedules 3D, 3E and 3F. 53ZTN. 證監會可寬免或退還費用 53ZTN. Commission may waive or refund fees 證監會可就某人或某類別的人 —— The Commission may, in relation to any person or class (a) 寬免本部規定繳付的整項或部分費用；或 of persons— (b) 退還已根據本部繳付的整項或部分費用， (a) waive, in whole or in part, the payment of any fee under this Part; or 前提是證監會認為若非如此，則繳付該等費用會是過重 的負擔或並不適當。 (b) refund, in whole or in part, any fee paid under this Part, if the Commission is of the opinion that otherwise the payment of the fee would be unduly burdensome or inappropriate. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1048 第4條 Section 4 A1049 53ZTO. 在申請的相關情況下，作出虛假或具誤導性的表述的罪 53ZTO. Offence for making false or misleading representation in 行 connection with application (1) 任何人 —— (1) A person commits an offence if the person— (a) 在根據本部向證監會提出的申請 ( 不論是為該 (a) in connection with an application made to the 人或另一人而提出 ) 的相關情況下，作出任何 Commission under this Part, whether for the 在要項上屬虛假或具誤導性的表述 ( 不論藉書 person or for another person, makes a 面或口頭或其他形式作出 )；及 representation, whether in writing, orally or (b) 知道該項表述在要項上屬虛假或具誤導性，或 otherwise, that is false or misleading in a 罔顧該項表述是否在要項上屬虛假或具誤導性， material particular; and 即屬犯罪。 (b) knows that, or is reckless as to whether, the representation is false or misleading in a (2) 任何人在根據本部向證監會提出的申請 ( 不論是為 material particular. 該人或另一人而提出 ) 的相關情況下 —— (2) A person commits an offence if the person, in (a) 在任何表述中遺漏任何要項，以致該項表述成 connection with an application made to the 為虛假或具誤導性的表述；及 Commission under this Part, whether for the person (b) 知道該項表述遺漏該要項，或罔顧該項表述是 or for another person— 否遺漏該要項， (a) omits a material particular from a representation 即屬犯罪。 with the result that the representation is (3) 任何人犯第 (1) 或 (2) 款所訂罪行 —— rendered false or misleading; and (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (b) knows that, or is reckless as to whether, the 監禁 2 年；或 material particular is omitted from the representation. (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 6 個月。 (3) A person who commits an offence under subsection (1) or (2) is liable— (4)在本條中 —— (a) on conviction on indictment to a fine of 表述 (representation) 指 —— $1,000,000 and to imprisonment for 2 years; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months. (4) In this section— representation (表述) means a representation or statement— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1050 第4條 Section 4 A1051 (a) 現時或過往的事實的表述或陳述； (a) of a matter of fact, either present or past; (b) 關於未來事件的表述或陳述；或 (b) about a future event; or (c) 關於現有的意圖、意見、信念、認知或其他思 (c) about an existing intention, opinion, belief, 想狀態的表述或陳述。 knowledge or other state of mind. 53ZTP. 如須根據本條例提供資料，提供虛假或具誤導性資料的 53ZTP. Offence for providing false or misleading information, if 罪行 information required under this Ordinance (1) 任何人 —— (1) A person commits an offence if the person— (a) 作出以下作為 —— (a) in purported compliance with a requirement to (i) 向證監會提供在要項上屬虛假或具誤導 provide information imposed by or under any 性的資料；或 provision of this Ordinance— (ii) 在 任 何 陳 述 中 遺 漏 某 要 項，以 致 該 項 陳 (i) provides to the Commission any 述成為虛假或具誤導性的， information that is false or misleading in a material particular; or 充作遵從本條例任何條文施加或根據本條例任 何條文施加的提供資料要求；及 (ii) omits a material particular from a statement with the result that the statement (b) 知道該等資料在要項上屬虛假或具誤導性，或 is rendered false or misleading; and 罔顧該等資料是否在要項上屬虛假或具誤導性， (b) knows that, or is reckless as to whether, the 即屬犯罪。 information is false or misleading in a material (2) 如任何人提供在要項上屬虛假或具誤導性的資料， particular. 充作遵從本條例任何條文施加或根據本條例任何條 (2) Subsection (1) does not apply to the provision of 文施加的要求而提供該資料，而該作為除因第 (1) information that is false or misleading in a material 款外，亦根據本條例任何條文構成罪 行，則第 (1) particular if the provision of the information in 款不適用於提供該資料。 purported compliance with a requirement imposed (3) 任何人犯第 (1) 款所訂罪行 —— by or under any provision of this Ordinance would, apart from subsection (1), also constitute an offence under any provision of this Ordinance. (3) A person who commits an offence under subsection (1) is liable— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1052 第4條 Section 4 A1053 (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (a) on conviction on indictment to a fine of 監禁 2 年；或 $1,000,000 and to imprisonment for 2 years; or (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 (b) on summary conviction to a fine at level 6 and 1 年。 to imprisonment for 1 year. 53ZTQ. 在證監會職能的相關情況下，提供虛假或具誤導性的文 53ZTQ. Offence for providing false or misleading document, if 件的罪行 document required in connection with Commission’s function (1) 在符合第 (2) 款的規定下，任何人 —— (1) Subject to subsection (2), a person commits an (a) 並非看來是遵從本條例任何條文施加或根據本 offence if the person— 條例任何條文施加的提供資料要求，但卻在證 (a) otherwise than in purported compliance with a 監會執行本條例授予職能的相關情況下，向證 requirement to provide information imposed by 監會提供在要項上屬虛假或具誤導性的紀錄或 or under any provision of this Ordinance but, in 文件；及 connection with the performance by the (b) 該人 —— Commission of a function under this Ordinance, provides to the Commission any record or (i) 知道該紀錄或文件在要項上屬虛假或具 document that is false or misleading in a 誤 導 性，或 罔 顧 該 紀 錄 或 文 件 是 否 在 要 material particular; and 項上屬虛假或具誤導性；及 (b) the person— (ii) 事 前 曾 就 提 供 該 紀 綠 或 文 件，接 獲 證 監 會 的 書 面 警 告，表 明 在 有 關 個 案 的 情 況 (i) knows that, or is reckless as to whether, 下，提 供 在 要 項 上 屬 虛 假 或 具 誤 導 性 的 the record or document is false or 紀 錄 或 文 件 或 在 陳 述 中 遺 漏 要 項，會 構 misleading in a material particular; and 成本款所訂罪行， (ii) has, in relation to the provision of the 即屬犯罪。 record or document, received prior written warning from the Commission to the effect (2) 控方須證明以下事項，某人方可被裁定犯第 (1) 款 that the provision of any record or 所訂罪行 —— document that is false or misleading in a material particular or omission of a material particular from a statement in the circumstances of the case would constitute an offence under this subsection. (2) A person may be convicted of an offence under subsection (1) only if the prosecution proves that— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1054 第4條 Section 4 A1055 (a) 證監會曾合理地依賴有關紀錄或文件；或 (a) the Commission has reasonably relied on the (b) 該人的用意是證監會依賴有關紀錄或文件。 record or document in question; or (3) 然而，第 (2)(a) 款並不規定證明，曾合理地依賴任 (b) the person intended that the Commission would 何 紀 錄 或 文 件 的 證 監 會，因 依 賴 該 紀 錄 或 文 件 rely on the record or document in question. 而 —— (3) However, subsection (2)(a) does not require it to be (a) 被誤導； proved that the Commission who has reasonably relied on any record or document— (b) 蒙受損害；或 (a) was misled; 招致任何損失。 (c) (b) suffered any detriment; or (4) 任何人犯第 (1) 款所訂罪行 —— (c) incurred any loss, (a) 一經循公訴程序定罪，可處罰款 $500,000 及監 禁 6 個月；或 as a result of the reliance. (b) 一經循簡易程序定罪，可處第 5 級罰款及監禁 (4) A person who commits an offence under subsection 6 個月。 (1) is liable— (a) on conviction on indictment to a fine of $500,000 and to imprisonment for 6 months; or (b) on summary conviction to a fine at level 5 and to imprisonment for 6 months. 53ZTR. 禁止作出某些表述 53ZTR. Certain representations prohibited (1) 除第 (2) 款另有規定外，持牌提供者或持牌代表 —— (1) Subject to subsection (2), a licensed provider or a (a) 不得作出表述，表示該持牌提供者或持牌代表 licensed representative— ( 視情況所需而定 ) 的能力或資格，已獲政府 (a) must not represent that the abilities or 或證監會認可或保證；及 qualifications of the licensed provider or the (b) 不得准許任何其他人作出具有 (a) 段提述的效 licensed representative (as the case requires) 果的表述。 have been endorsed or warranted by the Government or the Commission; and (b) must not permit any other person to make representations to the effect referred to in paragraph (a). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1056 第4條 Section 4 A1057 (2) 指某人根據本條例獲發牌的表述，本身不構成違反 (2) A statement to the effect that a person is licensed 第 (1) 款。 under this Ordinance does not by itself constitute a (3) 如持牌提供者或持牌代表無合理辯解而違反第 (1) contravention of subsection (1). 款，該 持 牌 提 供 者 或 持 牌 代 表 即 屬 犯 罪，一 經 定 (3) If a licensed provider or a licensed representative, 罪，可處第 5 級罰款。 without reasonable excuse, contravenes subsection (1), (4)在本條中 —— the licensed provider or the licensed representative commits an offence and is liable on conviction to a 表述 (represent) 包括以任何方式表述，不論屬明示或隱 fine at level 5. 含。 (4) In this section— represent (表述) includes represent in any way, whether expressly or by implication. 53ZTS. 妨礙執行職能的人的罪行 53ZTS. Offence for obstructing person in performance of functions (1) 任何人在無合理辯解下，妨礙指明人士執行本條例 (1) A person who, without reasonable excuse, obstructs 任何條文授予的職能或施行本條例任何條文，即屬 any specified person in the performance of a function 犯罪 —— under or in carrying into effect any provision of this (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 Ordinance commits an offence and is liable— 監禁 2 年；或 (a) on conviction on indictment to a fine of (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 $1,000,000 and to imprisonment for 2 years; or 6 個月。 (b) on summary conviction to a fine at level 6 and (2) 在本條中 —— to imprisonment for 6 months. 指明人士 (specified person) 指 —— (2) In this section— (a) 證監會； specified person (指明人士) means— (b) 證監會的任何成員、僱員、顧問或代理人；或 (a) the Commission; (c) 根據本條例獲委任調查任何事宜的人。 (b) any member, employee, or consultant, agent or adviser, of the Commission; or (c) any person appointed to investigate any matter under this Ordinance. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1058 第4條 Section 4 A1059 53ZTT. 檢控時限 53ZTT. Time limitation for prosecution 儘管有《裁判官條例》( 第 227 章 ) 第 26 條的規定，就本 Despite section 26 of the Magistrates Ordinance (Cap. 部所訂罪行 ( 可公訴罪行除外 ) 而提起的法律程序，可 227), proceedings may be instituted for an offence, other 於有關罪行發生後 3 年內提起。 than an indictable offence, under this Part within 3 years after the commission of the offence. 53ZTU. 證監會介入法律程序的權力 53ZTU. Power of Commission to intervene in proceedings (1) 凡 —— (1) If— (a) 有任何司法或其他法律程序 ( 刑事法律程序除 (a) there are any judicial or other proceedings (other 外 ) 涉及本條例任何條文有所規定的事宜，或 than criminal proceedings) that concern a 證監會憑藉其在本條例之下的職能而在該程序 matter provided for in any of the provisions in 中有利害關係；及 this Ordinance, or in which the Commission has (b) 證監會信納該會介入該程序，並在該程序中陳 an interest by virtue of its functions under this 詞，是符合公眾利益的， Ordinance; and 則證監會可在諮詢財政司司長後，按照第 (2) 款， (b) the Commission is satisfied that it is in the 向聆訊該程序或具有司法管轄權聆訊該程序的法庭 public interest for the Commission to intervene 提出申請，要求介入該程序，並在該程序中陳詞。 and be heard in the proceedings, (2) 為第 (1) 款的目的而提出的申請，須 —— the Commission, after consultation with the Financial Secretary, may, by an application made in (a) 藉書面提出；及 accordance with subsection (2) to the court hearing (b) 由 誓 章 支 持，表 明 第 (1)(a) 及 (b) 款 所 列 條 件 or otherwise having competent authority to hear the 已獲符合。 proceedings, apply to intervene and be heard in the proceedings. (2) An application made for the purposes of subsection (1) must be— (a) made in writing; and (b) supported by an affidavit showing that the conditions set out in subsection (1)(a) and (b) are satisfied. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1060 第4條 Section 4 A1061 (3) 為第 (1) 款的目的而提出的申請的文本，須於該申 (3) A copy of the application made for the purposes of 請提出後，在合理地切實可行的範圍內，盡快送達 subsection (1) must be served on each of the parties 該申請所關乎的法律程序的每一方。 to the proceedings to which the application relates as (4) 在第 (5) 款的規限下，接獲為第 (1) 款的目的而提出 soon as reasonably practicable after the application is 的申請的法庭可藉命令 —— made. (a) 在該法庭認為公正的條款的規限下，批准該申 (4) Subject to subsection (5), the court to which an 請；或 application is made for the purposes of subsection (1) may by order— (b) 拒絕該申請。 (a) allow the application, subject to any terms that (5) 法庭在依據第 (4)(a) 或 (b) 款就為第 (1) 款的目的而 it considers just; or 提出的申請作出命令前，須給予以下的人合理的陳 詞機會 —— (b) refuse the application. (a) 證監會； (5) The court to which an application is made for the purposes of subsection (1) must not make an order 該申請所關乎的法律程序的每一方。 (b) pursuant to subsection (4)(a) or (b) without first (6) 如 法 庭 根 據 第 (4)(a) 款 批 准 為 第 (1) 款 的 目 的 而 提 giving the following persons a reasonable opportunity 出 的 申 請，證 監 會 在 第 (4)(a) 款 提 述 的 條 款 規 限 of being heard— 下 —— (a) the Commission; (a) 可介入該申請所關乎的法律程序，並在該程序 (b) each of the parties to the proceedings to which 中陳詞；及 the application relates. (b) 就所有目的而言，須視為該程序的一方，並具 (6) If an application made for the purposes of subsection 有該程序的一方所具有的權利、責任及法律責 (1) is allowed under subsection (4)(a), the 任。 Commission, subject to the terms referred to in (7) 本條不影響《高等法院規則》( 第 4 章，附屬法例 A) subsection (4)(a)— 第 15 號命令第 6 條規則。 (a) may intervene and be heard in the proceedings to which the application relates; and (b) is to be regarded for all purposes as a party to the proceedings and has the rights, duties and liabilities of such a party. (7) Nothing in this section affects Order 15, rule 6 of the Rules of the High Court (Cap. 4 sub. leg. A). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1062 第4條 Section 4 A1063 (8)在本條中 —— (8) In this section— 法庭 (court) 包括裁判官及審裁處 ( 覆核審裁處除外 )。 court (法庭) includes a magistrate and a tribunal, other than the Review Tribunal. 53ZTV. 證監會提出民事法律程序 53ZTV. Civil proceedings by Commission 證監會可透過或不透過律師，開展或進行任何民事法律 The Commission may begin or carry on any civil 程序。 proceedings by a solicitor or otherwise. 53ZTW. 利益衝突 53ZTW. Conflict of interest (1) 證監會成員或任何執行在本條例之下的職能的人 ( 該 (1) Any member of the Commission or any person 成員或該人在本條中稱為指明人士 )，在以下情況 performing any function under this Ordinance (the 下，不得為其本人或為他人的利益，直接或間接地 member or person called in this section a specified 達成或安排達成關於任何虛擬資產的交易 —— person) must not directly or indirectly effect or cause (a) 指明人士知道，該宗交易是證監會根據本條例 to be effected, on the specified person’s own account 進行的調查或程序的對象，或與該等調查或程 or for the benefit of any other person, a transaction 序所針對的交易或人有關；或 regarding any virtual assets— (b) 指明人士知道，證監會正於其他情況下考慮該 (a) which transaction the specified person knows is, 宗交易。 or is connected with a transaction or a person that is, the subject of any investigation or (2) 第 (1) 款不適用於虛擬資產持有人以其持有人身分， proceedings by the Commission under this 憑藉以下權利而達成或安排達成的交易 —— Ordinance; or (a) 參 與 原 訟 法 庭 根 據《公 司 條 例》( 第 622 章 ) 認 (b) which transaction the specified person knows is 許的債務償還安排； otherwise being considered by the Commission. (b) 將該虛擬資產作為押記或質押，以保證款項的 (2) Subsection (1) does not apply to any transaction that 償還； a holder of virtual assets effects or causes to be effected by reference to any of their rights as such holder— (a) to participate in a scheme of arrangement sanctioned by the Court of First Instance under the Companies Ordinance (Cap. 622); (b) to charge or pledge the virtual assets to secure the repayment of money; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1064 第4條 Section 4 A1065 (c) 為償還 (b) 段保證的款項，將該虛擬資產變現； (c) to realize the virtual assets for the purpose of 或 repaying money secured under paragraph (b); or (d) 在履行法律施加的責任的過程中，將該虛擬資 (d) to realize the virtual assets in the course of 產變現。 performing a duty imposed by law. (3) 指明人士如在執行本部之下的職能的過程中，按規 (3) A specified person must inform the Commission if, 定須考慮符合以下說明的任何事宜，則須通知證監 in the course of performing any function under this 會 —— Part, the specified person is required to consider any (a) 關乎某虛擬資產，而 —— matter relating to— (i) 該指明人士擁有該虛擬資產的權益； (a) any virtual assets— (ii) 該 指 明 人 士 擁 有 某 法 團 的 股 份 的 權 益， (i) in which the specified person has an 而該法團擁有該虛擬資產的權益；或 interest; (iii) 該虛擬資產與該指明人士擁有權益的虛 (ii) in which a corporation, in the shares of 擬 資 產，屬 於 同 一 發 行 人 或 由 同 一 發 行 which the specified person has an interest, 人發行；或 has an interest; or (b) 關乎某人，而 —— (iii) that are of or issued by the same issuer as those in which the specified person has an (i) 該 指 明 人 士 正 受 僱 於 該 人，或 曾 受 僱 於 interest; or 該人； (b) a person— (ii) 該指明人士是 ( 或曾是 ) 該人的客户； (i) by whom the specified person is or was (iii) 該人是 ( 或曾是 ) 該指明人士的有聯繫者； employed; 或 (ii) of whom the specified person is or was a (iv) 該指明人士知道，該人是 ( 或曾是 ) 另一 client; 人的客户，而該另一人 —— (iii) who is or was the specified person’s (A) 正僱用 ( 或曾僱用 ) 該指明人士；或 associate; or (B) 是 ( 或曾是 ) 該指明人士的有聯繫者。 (iv) whom the specified person knows is or was a client of a person— (A) with whom the specified person is or was employed; or (B) who is or was the specified person’s associate. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1066 第4條 Section 4 A1067 (4) 任 何 人 無 合 理 辯 解 而 違 反 第 (1) 或 (3) 款，即 屬 犯 (4) A person who, without reasonable excuse, 罪 —— contravenes subsection (1) or (3) commits an offence (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 and is liable— 監禁 2 年；或 (a) on conviction on indictment to a fine of (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 $1,000,000 and to imprisonment for 2 years; or 6 個月。 (b) on summary conviction to a fine at level 6 and 在本條中 —— (5) to imprisonment for 6 months. 有聯繫者 (associate) 就某人而言，指 —— (5) In this section— (a) 該人的配偶、親生或領養的未成年子女，或未 associate (有聯繫者), in relation to a person, means— 成年繼子女； (a) the spouse, or any minor child (natural or (b) 該人擔任董事的法團； adopted) or minor step-child, of the person; (c) 該人的僱員或合夥人； (b) any corporation of which the person is a director; (d) 某信託的受託人，而該人、其配偶、其親生或 領養的未成年子女或其未成年繼子女，是該信 (c) any employee or partner of the person; 託的受益人或酌情對象； (d) the trustee of a trust of which the person, his or (e) 另一人，而該人慣於或有義務按照該另一人的 her spouse, minor child (natural or adopted) or 指示或指令行事； minor step-child, is a beneficiary or a discretionary object; (f) 慣於或有義務按照該人的指示或指令行事的另 一人； (e) another person in accordance with whose directions or instructions the person is (g) 任何法團，而該人慣於或有義務按照該法團 ( 或 accustomed or obliged to act; 該法團的董事 ) 的指示或指令行事； (f) another person accustomed or obliged to act in accordance with the directions or instructions of the person; (g) a corporation in accordance with the directions or instructions of which, or the directions or instructions of the directors of which, the person is accustomed or obliged to act; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1068 第4條 Section 4 A1069 (h) 任何法團，而該法團 ( 或該法團的董事 ) 慣於 (h) a corporation that is, or the directors of which 或有義務按照該人的指示或指令行事； are, accustomed or obliged to act in accordance (i) 任何法團，而該人 ( 不論單獨或聯同另一人 ) with the directions or instructions of the person; 直接或間接地有權行使該法團的成員大會上的 (i) a corporation at general meetings of which the 投 票 權 的 33% 或 以 上，或 支 配 33% 或 以 上 的 person, either alone or together with another, is 投票權的行使； directly or indirectly entitled to exercise or (j) 任何法團，而該人控制該法團董事局的組成； control the exercise of 33% or more of the voting power; (k) 如該人屬法團 —— (j) a corporation of which the person controls the (i) 該 法 團 的 任 何 董 事、該 法 團 的 任 何 有 連 composition of the board of directors; 繫 法 團，以 及 該 等 有 連 繫 法 團 的 任 何 董 事或僱員；及 (k) if the person is a corporation— (ii) 該法團 ( 或該法團的有連繫法團 ) 的退休 (i) any of its directors or any of its related 金計劃、公積金計劃或僱員股份計劃；或 corporations or any director or employee of any of its related corporations; and (l) ( 在不局限 (a)、(b)、(c)、(d)、(e)、(f)、(g)、(h)、 (i)、(j) 及 (k) 段適用的情況的原則下，如有關 (ii) a pension fund, provident fund or 情況涉及法團的證券或其他權益，或因持有該 employee share scheme of the corporation 等證券或權益而產生的權利 ) —— or of a related corporation of the corporation; or (i) 與 該 人 訂 立 關 於 取 得、持 有 或 處 置 該 等 證券或權益的協議或安排的另一人；或 (l) without limiting the circumstances in which paragraphs (a), (b), (c), (d), (e), (f), (g), (h), (i), (ii) 與 該 人 訂 立 某 項 協 議 或 安 排 的 人，而 根 (j) and (k) apply, in circumstances concerning 據 該 項 協 議 或 安 排，他 們 承 諾 在 該 法 團 the securities of or other interest in a 的成員大會上行使投票權時行動一致。 corporation, or rights arising out of the holding of such securities or such interest, any other person with whom the person has an agreement or arrangement— (i) with respect to the acquisition, holding or disposal of such securities or such interest; or (ii) under which they undertake to act together in exercising their voting power at general meetings of the corporation. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1070 第4條 Section 4 A1071 53ZTX. 關於證監會的紀錄或文件的證據 53ZTX. Evidence regarding Commission’s records or documents (1) 第 (2) 款適用於符合以下說明的紀錄或文件 —— (1) Subsection (2) applies to a record or document (a) 看來是由證監會或由他人代該會簽署、簽立或 purporting— 發出；及 (a) to be signed, executed or issued by or on behalf (b) 看來是由該會任何成員或執行在本條例任何條 of the Commission; and 文之下的職能的人所簽署或簡簽。 (b) to be signed or initialled by any member of the (2) 在任何程序中，上述紀錄或文件均可獲接納為其中 Commission or any person performing any 所述事實的證據，而無須證明其上的簽署或簡簽確 function under any provision of this Ordinance. 屬看來是簽署或簡簽該紀錄或文件的人的簽署或簡 (2) The record or document is admissible in any 簽。 proceedings as evidence of the facts stated in it, without proof of the signature or initials of the person purporting to sign or initial the record or document. 53ZTY. 過渡條文 53ZTY. Transitional provisions 附表 3G 指明的過渡條文，具有效力。 The transitional provisions specified in Schedule 3G have effect. 第 5C 部 Part 5C 規管從事貴金屬及寶石交易 Regulation of Dealings in Precious Metals and Stones 第 1 分部 ——導言 Division 1—Preliminary 第 1 次分部 ——釋義及不適用的情況 Subdivision 1—Interpretation and Disapplication 53ZTZ. 第 5C 部的釋義 53ZTZ. Interpretation of Part 5C 在本部中 —— In this Part— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1072 第4條 Section 4 A1073 分 行 (branch) 除 第 53ZVP 條 另 有 規 定 外，指 符 合 以 下 branch (分行), subject to section 53ZVP, means any 說明的處所 —— premises that— (a) 由某註冊人用作與客户進行面對面交易；但 (a) are used by a registrant for the purpose of the (b) 並非該註冊人的主要營業地點； carrying out of face-to-face transactions with customers; but 分行證明書 (branch certificate) 指根據第 53ZUG(1)(c) 或 53ZUP(1)(c) 條就 A 類註冊人或 B 類註冊人發出的 (b) are not the principal place of business of the 證明書，並包括根據第 53ZVA 條發出以替代上述 registrant; 證明書的證明書； branch certificate (分行證明書) means a certificate issued 非 香 港 貴 金 屬 及 寶 石 交 易 商 (non-Hong Kong precious under section 53ZUG(1)(c) or 53ZUP(1)(c) in respect metals and stones dealer) 指在香港從事貴金屬及寶 of a Category A registrant or a Category B registrant 石交易的人，前提是 —— and includes any certificate issued under section 53ZVA for replacing such a certificate; (a) 該人 —— business premises (業務處所), in relation to a person who (i) 屬 —— is registered as a registrant or who applies to be (A) 並非通常居於香港的個人；或 registered as a registrant, means, subject to section (B) 在香港以外地方成立或設立的法人 53ZVP, any premises at which the registrant carries ( 並 非 個 人 ) 及 不 屬《公 司 條 例》( 第 on a precious metals and stones business, including 622 章 ) 第 2(1) 條所界定的註冊非香 any premises used by the registrant for the purpose 港公司；及 of— (ii) 在香港沒有營業地點；及 (a) the carrying out of face-to-face transactions with customers; (b) 該人在香港經營貴金屬及寶石業務的總日數， 在任何公曆年中不超過 60 日； (b) the administration of the affairs or business of the registrant; (c) the processing of transactions; or (d) the storage of documents, data or records; cash (現金) includes cash in any currency; Category A registrant (A類註冊人) means a person whose name is entered in the register as such under section 53ZUG and whose registration has not been suspended under section 53ZUL; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1074 第4條 Section 4 A1075 指 明 交 易 (specified transaction) 指 符 合 以 下 說 明 的 交 Category B registrant (B類註冊人) means a person whose 易 —— name is entered in the register as such under section (a) 交易由正在經營貴金屬及寶石業務的人進行， 53ZUP and whose registration has not been 而一項金額不少於附表 3I 指明的款額的付款 suspended under section 53ZUU and, except in 或總額不少於該款額的多於一項付款，就該交 sections 53ZUO, 53ZUP, 53ZUQ, 53ZUR, 53ZUS 易而藉現金以外的任何方式或方式組合在香港 and 53ZUT, includes a person deemed under section 作出或收取，不論該交易是 —— 53ZW to be a Category B registrant; (i) 以單一次操作執行；或 certificate of registration (註冊證明書) means a certificate issued under section 53ZUG(1)(b) or 53ZUP(1)(b) in (ii) 以有關連的或看來是有關連的若干次操 respect of a Category A registrant or a Category B 作執行；及 registrant and includes any certificate issued under (b) 不是指明現金交易； section 53ZVA for replacing such a certificate; 指明現金交易 (specified cash transaction) 指符合以下說 dealing in precious metals and stones (從事貴金屬及寶石交 明的交易：交易由正在經營貴金屬及寶石業務的人 易)—see section 53ZU; 進行，而一項或多於一項總額不少於附表 3H 指明 non-Hong Kong precious metals and stones dealer (非香港 的現金付款，在香港就該交易而作出或收取，不論 貴金屬及寶石交易商) means any person who deals 該交易是 —— in precious metals and stones in Hong Kong if— (a) 以單一次操作執行；或 (a) the person— (b) 以有關連的或看來是有關連的若干次操作執 (i) either— 行； (A) is an individual who does not 從 事 貴 金 屬 及 寶 石 交 易 (dealing in precious metals and ordinarily reside in Hong Kong; or stones) ——參閱第 53ZU 條； (B) is a legal person, other than an individual, that is incorporated or established outside Hong Kong and is not a registered non-Hong Kong company as defined by section 2(1) of the Companies Ordinance (Cap. 622); and (ii) does not have a place of business in Hong Kong; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1076 第4條 Section 4 A1077 現金 (cash) 包括任何貨幣的現金； (b) the total number of days on which the person’s 最終擁有人 (ultimate owner) —— precious metals and stones business is carried on in Hong Kong does not exceed 60 days in a (a) 就經營貴金屬及寶石業務的個人 ( 經營者 ) 而 calendar year; 言 —— precious-asset-backed instruments (貴重資產支持工具)— (i) 指最終擁有或控制該項貴金屬及寶石業 務的另一名個人；或 (a) means any certificate or instrument backed by one or more precious metals, precious stones or (ii) 在 經 營 者 是 代 表 另 一 人 行 事 的 情 況 下， precious products that entitles the holder to 指該另一人； such assets (in entirety or in part); but (b) 就合夥而言，指符合以下說明的個人 —— (b) does not include— (i) 直接或間接地有權攤分該合夥的資本或 (i) any securities as defined by section 1 of 利潤的 25% 以上； Part 1 of Schedule 1 to the Securities and (ii) 直接或間接地控制該合夥的資本或利潤 Futures Ordinance (Cap. 571) (Cap. 571 的 25% 以上； interpretation section); (iii) 直接或間接地有權行使在該合夥的投票 (ii) a futures contract as defined by the Cap. 權 的 25% 以 上，或 支 配 25% 以 上 的 投 票 571 interpretation section; 權的行使；或 (iii) any interest in a collective investment (iv) 行使對該合夥的管理的最終控制權；或 scheme as defined by the Cap. 571 interpretation section; (iv) a structured product as defined by the Cap. 571 interpretation section; (v) an OTC derivative product as defined by the Cap. 571 interpretation section; or (vi) a virtual asset; precious metal (貴金屬) means gold, silver, platinum, iridium, osmium, palladium, rhodium or ruthenium, in a manufactured or unmanufactured state; precious metals and stones business (貴金屬及寶石業務) means the business of dealing in precious metals and stones; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1078 第4條 Section 4 A1079 (c) 就法團而言，指符合以下說明的個人 —— precious product (貴重產品) means any jewellery or watch (i) 直接或間接地擁有或控制 ( 包括透過信託 made up of, containing or having attached to it, any 或持票人股份持有 ) 該法團已發行股本的 precious metal or precious stone, or both; 25% 以上； precious stone (寶石) means diamond, sapphire, ruby, (ii) 直接或間接地有權行使該法團的成員大 emerald, jade or pearl, whether natural or otherwise; 會 上 的 投 票 權 的 25% 以 上，或 支 配 25% register (註冊紀錄冊), when used as a noun, means the 以上的投票權的行使；或 register maintained under section 53ZUC; (iii) 行使對該法團的管理的最終控制權； register (註冊), when used as a verb, means enter in the 註冊 (register) 指記入註冊紀錄冊； register and a reference to registration is to be construed accordingly; 註冊人 (registrant) 指 A 類註冊人或 B 類註冊人； registrant (註冊人) means a Category A registrant or a 註冊紀錄冊 (register) 指根據第 53ZUC 條備存的註冊紀 Category B registrant; 錄冊； specified cash transaction (指明現金交易) means a 註 冊 證 明 書 (certificate of registration) 指 根 據 第 transaction carried out by a person, while carrying 53ZUG(1)(b) 或 53ZUP(1)(b) 條 就 A 類 註 冊 人 或 B on a precious metals and stones business, in respect 類註冊人發出的證明書，並包括根據第 53ZVA 條 of which transaction a payment or payments in cash, 發出以替代上述證明書的證明書； of at least the amount specified in Schedule 3H in 貴 金 屬 (precious metal) 指 屬 成 品 或 非 成 品 狀 態 的 金、 total, is or are made or received in Hong Kong, 銀、白金或鉑金、銥、鋨、鈀、銠或釕； whether the transaction is executed— 貴 金 屬 及 寶 石 業 務 (precious metals and stones business) (a) in a single operation; or 指從事貴金屬及寶石交易的業務； (b) in several operations that are linked or appear to be linked; specified transaction (指明交易) means a transaction that— (a) is a transaction carried out by a person, while carrying on a precious metals and stones business, in respect of which transaction a payment or payments, of at least the amount specified in Schedule 3I in total, is or are made or received in any way or combination of ways <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1080 第4條 Section 4 A1081 貴 重 產 品 (precious product) 指 符 合 以 下 說 明 的 珠 寶 或 (other than in cash) in Hong Kong, whether the 錶：由任何貴金屬或寶石或兼由上述兩者組成，或 transaction is executed— 包含或附有任何貴金屬或寶石或兼包含或附有上述 (i) in a single operation; or 兩者； (ii) in several operations that are linked or 貴 重 資 產 支 持 工 具 (precious-asset-backed appear to be linked; and instruments) —— (b) is not a specified cash transaction; (a) 指以一件或多於一件貴金屬、寶石或貴重產品 trading in (買賣), in relation to precious metals, precious 支持的、使有關持有人有權享有該等資產 ( 整 stones, precious products or precious-asset-backed 體或部分 ) 的證明書或工具；但 instruments, means selling, offering for sale, (b) 不包括 —— purchasing, offering to purchase or possessing for the (i) 《證券及期貨條例》( 第 571 章 ) 附表 1 第 1 purpose of sale; 部 第 1 條 《第 ( 571 章》釋 義 條 文 ) 所 界 定 ultimate owner (最終擁有人)— 的任何證券； (a) in relation to an individual (first-mentioned (ii) 《第 571 章》釋義條文所界定的期貨合約； individual) carrying on a precious metals and (iii) 《第 571 章》釋 義 條 文 所 界 定 的 集 體 投 資 stones business— 計劃的任何權益； (i) means another individual who ultimately (iv) 《第 571 章》釋 義 條 文 所 界 定 的 結 構 性 產 owns or controls the precious metals and 品； stones business; or (v) 《第 571 章》釋 義 條 文 所 界 定 的 場 外 衍 生 (ii) if the first-mentioned individual is acting 工具產品；或 on behalf of another person, means that (vi) 虛擬資產； other person; 買賣 (trading in) 就貴金屬、寶石、貴重產品或貴重資產 (b) in relation to a partnership, means an individual 支持工具而言，指出售、要約出售、購買、要約購 who— 買或為作出售而管有； (i) is entitled, directly or indirectly, to more 業 務 處 所 (business premises) 就 獲 註 冊 為 註 冊 人 或 申 請 than a 25% share of the capital or profits 要求註冊為註冊人的人而言 ——除第 53ZVP 條另 of the partnership; 有規定外，指該註冊人經營貴金屬及寶石業務所在 (ii) controls, directly or indirectly, more than a 的 任 何 處 所，包 括 該 註 冊 人 用 作 以 下 用 途 的 處 25% share of the capital or profits of the 所 —— partnership; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1082 第4條 Section 4 A1083 (a) 與客户進行面對面交易； (iii) is, directly or indirectly, entitled to exercise (b) 該註冊人的事務或業務的行政管理； or control the exercise of more than 25% of the voting rights in the partnership; or (c) 處理交易；或 (iv) exercises ultimate control over the (d) 儲存文件、數據或紀錄； management of the partnership; or 寶 石 (precious stone) 指 鑽 石、藍 寶 石、紅 寶 石、綠 寶 (c) in relation to a corporation, means an individual 石、玉石或珍珠，不論其為天然與否； who— A 類註冊人 (Category A registrant) 指姓名或名稱根據第 (i) owns or controls, directly or indirectly, 53ZUG 條記入註冊紀錄冊為 A 類註冊人的人，而 including through a trust or bearer share 該人的註冊沒有根據第 53ZUL 條暫時吊銷； holding, more than 25% of the issued B 類註冊人 (Category B registrant) 指姓名或名稱根據第 share capital of the corporation; 53ZUP 條 記 入 註 冊 紀 錄 冊 為 B 類 註 冊 人 的 人，而 (ii) is, directly or indirectly, entitled to exercise 該人的註冊沒有根據第 53ZUU 條暫時吊銷，並 ( 除 or control the exercise of more than 25% 在 第 53ZUO、53ZUP、53ZUQ、53ZUR、53ZUS of the voting rights at general meetings of 及 53ZUT 條 以 外 ) 包 括 根 據 第 53ZW 條 當 作 B 類 the corporation; or 註冊人的人。 (iii) exercises ultimate control over the management of the corporation. 53ZU. 從事貴金屬及寶石交易 的涵義 53ZU. Meaning of dealing in precious metals and stones (1) 為施行本條例，如任何人以業務形式，進行任何以 (1) For the purposes of this Ordinance, a person deals in 下活動，該人即屬從事貴金屬及寶石交易 —— precious metals and stones if the person carries on (a) 買賣、進口或出口貴金屬、寶石或貴重產品； any of the following activities by way of business— (b) 生產或提煉貴金屬、寶石或貴重產品，或對其 (a) trading in, importing or exporting precious 進行增值加工； metals, precious stones or precious products; (c) 發行、贖回或買賣貴重資產支持工具； (b) manufacturing, refining or carrying out any value-adding work on precious metals, precious (d) 就 (a)、(b) 或 (c) 段 所 述 的 任 何 活 動，擔 任 中 stones or precious products; 介人。 (c) issuing, redeeming or trading in precious-asset- backed instruments; (d) acting as an intermediary in respect of any of the activities in paragraph (a), (b) or (c). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1084 第4條 Section 4 A1085 (2) 然而，凡任何人經營物流服務業務，該人並不僅因 (2) However, a person who carries on a logistics service 在該業務的通常業務運作中，進口或出口貴金屬、 business does not deal in precious metals and stones 寶石或貴重產品，而屬從事貴金屬及寶石交易。 only because the person imports or exports precious (3) 在第 (2) 款中 —— metals, precious stones or precious products in the ordinary course of that business. 物流服務業務 (logistics service business) 指為他人運送 ( 或 安排為他人運送 ) 貨品的業務。 (3) In subsection (2)— logistics service business (物流服務業務) means a business of transporting, or arranging for the transportation of, goods for other persons. 53ZUA. 第 5C 部不適用的情況 53ZUA. Disapplication of Part 5C (1) 本部不適用於 —— (1) This Part does not apply to— (a) 政府； (a) the Government; (b) 認可機構； (b) an authorized institution; (c) 根 據《當 押 商 條 例》( 第 166 章 ) 領 有 牌 照 的 當 (c) a pawnbroker licensed under the Pawnbrokers 押商； Ordinance (Cap. 166); (d) 經營貴金屬及寶石業務的持牌法團 ( 前提是該 (d) a licensed corporation that carries on a precious 業務附屬於由該法團根據《證券及期貨條例》( 第 metals and stones business that is ancillary to 571 章 ) 獲 發 牌 進 行 的 受 規 管 活 動 ( 該 條 例 附 any regulated activity (as defined by section 1 of 表 1 第 1 部第 1 條所界定者 ))； Part 1 of Schedule 1 to the Securities and (e) 經營貴金屬及寶石業務的獲授權保險人 ( 前提 Futures Ordinance (Cap. 571)) carried out by 是該業務附屬於該保險人的主要業務 )； the corporation for which the corporation is licensed under that Ordinance; (f) 經營貴金屬及寶石業務的持牌保險經紀公司 ( 前 提是該業務附屬於該公司的主要業務 )； (e) an authorized insurer that carries on a precious metals and stones business that is ancillary to the insurer’s principal business; (f) a licensed insurance broker company that carries on a precious metals and stones business that is ancillary to the company’s principal business; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1086 第4條 Section 4 A1087 (g) 經營貴金屬及寶石業務的持牌個人保險代理或 (g) a licensed individual insurance agent or a 持牌保險代理機構 ( 前提是該業務附屬於該代 licensed insurance agency that carries on a 理或該機構的主要業務 )； precious metals and stones business that is (h) 經營貴金屬及寶石業務的工具持牌人 ( 前提是 ancillary to the agent’s or agency’s principal 該業務附屬於該持牌人的主要業務 )；或 business; (i) 經營貴金屬及寶石業務的指定零售支付系統的 (h) an SVF licensee that carries on a precious 系統營運者或交收機構 ( 前提是該業務附屬於 metals and stones business that is ancillary to 其作為系統營運者或交收機構的業務 )。 the SVF licensee’s principal business; or (2) 除第 1 、7 、8 及 9 分部外，本部不適用於非香港貴 (i) a system operator or settlement institution of a 金屬及寶石交易商。 designated retail payment system that carries on a precious metals and stones business that is (3) 財經事務及庫務局局長可藉訂立規例，訂明不適用 ancillary to its business as a system operator or 本部的某類別或描述的人。 settlement institution. (2) Except for Divisions 1, 7, 8 and 9, this Part does not apply to a non-Hong Kong precious metals and stones dealer. (3) The Secretary for Financial Services and the Treasury may by regulation prescribe a class or description of persons to whom this Part does not apply. 第 2 次分部 ——轉授職能，貴金屬及寶石交易商註冊紀 Subdivision 2—Delegation of Functions and Register of 錄冊 Precious Metals and Stones Dealers 53ZUB. 轉授職能 53ZUB. Delegation of functions (1) 除第 (2) 款另有規定外，海關關長可藉書面將其在 (1) Subject to subsection (2), the Commissioner of 本條例之下的職能，轉授予任何受僱於香港海關服 Customs and Excise may in writing delegate any of 務的公職人員。 his or her functions under this Ordinance to a public (2) 海關關長不可轉授 —— officer employed in the Customs and Excise Department. (a) 第 (1) 款所指的轉授權力； (2) The Commissioner of Customs and Excise may not delegate— (a) the power to delegate under subsection (1); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1088 第4條 Section 4 A1089 (b) 根據第 53ZVQ 條修訂附表 3J 或 3K 的權力； (b) the power to amend Schedule 3J or 3K under 或 section 53ZVQ; or (c) 根據第 53ZVS 條訂立規例的權力。 (c) the power to make regulations under section 53ZVS. 53ZUC. 關長須備存註冊紀錄冊 53ZUC. Commissioner to maintain register (1) 關長須以其認為適當的格式，備存一份根據本部註 (1) The Commissioner must maintain a register of 冊的人的註冊紀錄冊。 persons registered under this Part in a form the (2) 註冊紀錄冊須就每名 A 類註冊人或 B 類註冊人指 Commissioner considers appropriate. 明以下詳情 —— (2) In relation to every Category A registrant or (a) 有關註冊人的姓名或名稱； Category B registrant, the register must specify— (b) 有關註冊人是 A 類註冊人抑或 B 類註冊人； (a) the name of the registrant; (c) 該註冊人的主要營業地點的地址；及 (b) whether the registrant is a Category A registrant or a Category B registrant; (d) 該註冊人每間分行 ( 如有的話 ) 的地址。 (c) the address of the registrant’s principal place of (3) 註冊紀錄冊須提供予公眾人士查閱，以使任何公眾 business; and 人士能確定自己是否正與 A 類註冊人或 B 類註冊 人有往來。 (d) the address of each branch of the registrant (if any). (4) 公眾人士有權在通常辦公時間內，免費查閱註冊紀 錄冊。 (3) The register must be made available for inspection by a member of the public to enable him or her to (5) 儘管有第 (4) 款的規定，關長可保留註冊紀錄冊中 ascertain whether he or she is dealing with a 某註冊人的主要營業地點或分行的地址 ( 或部分地 Category A registrant or a Category B registrant. 址 )，而不提供予查閱該註冊紀錄冊的人，前提是 在有關情況下屬合理之舉。 (4) A member of the public is entitled, without charge, to inspect the register during normal office hours. (5) Despite subsection (4), the Commissioner may, if satisfied that it is reasonable to do so in the circumstances, withhold the address of the principal place of business or a branch of a registrant (or part of the address) in the register from a person who inspects the register. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1090 第4條 Section 4 A1091 53ZUD. 註冊紀錄冊的核證複本 53ZUD. Certified copy of register (1) 任何人可在繳付附表 3K 指明的費用後，取得 —— (1) A person may, on the payment of the fee specified in (a) 註冊紀錄冊的記項或摘錄的核證複本或未經核 Schedule 3K, obtain— 證複本；或 (a) a certified copy or an uncertified copy of an (b) 由關長發出的證明書，述明 —— entry in, or extract from, the register; or (i) 某人的姓名或名稱，已記入該紀錄冊，而 (b) a certificate by the Commissioner stating— 該人獲指明為 A 類註冊人或 B 類註冊人； (i) that the name of a person has been entered (ii) 某人的姓名或名稱，未有記入該紀錄冊； in the register and that the person is 或 specified to be a Category A registrant or a Category B registrant; (iii) 某人的姓名或名稱，已從該紀錄冊刪除。 (ii) that the name of a person has not been (2) 如註冊紀錄冊的記項或摘錄的複本，看來是經關長 entered in the register; or 核 證，則 在 任 何 刑 事 或 民 事 法 律 程 序 中，該 複 本 —— (iii) that the name of a person has been removed from the register. (a) 一經交出，即可獲接納為證據，而無須進一步 證明；及 (2) In any criminal or civil proceedings, a copy of an entry in, or extract from, the register, purporting to (b) 即為其內所述事實的證據。 be certified by the Commissioner— (3) 如看來是經關長核證的註冊紀錄冊的任何記項或摘 (a) is admissible in evidence on production without 錄的複本，並沒有某人的姓名或名稱，此一事實可 further proof; and 作為證據，證明該人在該複本看來是獲核證當日， 並不是註冊人。 (b) is evidence of the facts stated in it. (3) The fact that the name of a person does not appear on a copy of an entry in, or extract from, the register, purporting to be certified by the Commissioner is evidence that, at the date on which the copy is purporting to be certified, the person was not a registrant. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1092 第4條 Section 4 A1093 (4) 看來是經關長簽署並述明任何以下事項的證明 (4) In any criminal or civil proceedings, a certificate 書 —— purporting to be signed by the Commissioner and (a) 某人的姓名或名稱，已記入註冊紀錄冊，而該 stating any of the following is admissible in evidence 人獲指明為 A 類註冊人或 B 類註冊人； on production without further proof and is to be conclusive evidence of the facts stated in the (b) 某人的姓名或名稱，未有記入註冊紀錄冊； certificate— (c) 某人的姓名或名稱，已從註冊紀錄冊刪除， (a) that the name of a person has been entered in 在任何刑事或民事法律程序中一經交出，即可獲接 the register and that the person is specified to 納為證據，而無須進一步證明，並屬該證明書所述 be a Category A registrant or a Category B 事實的確證。 registrant; (5) 儘管有第 (1) 款的規定，關長可保留註冊紀錄冊中 (b) that the name of a person has not been entered 某註冊人的主要營業地點或分行的地址 ( 或部分地 in the register; 址 )，而不提供予要求取得該註冊紀錄冊的記項或 (c) that the name of a person has been removed 摘錄的複本的人，前提是在有關情況下屬合理之舉。 from the register. (5) Despite subsection (1), the Commissioner may, if satisfied that it is reasonable to do so in the circumstances, withhold the address of the principal place of business or a branch of a registrant (or part of the address) in the register or part of the address from a person who requests for a copy of an entry in, or extract from, the register. 第 2 分部 ——對從事貴金屬及寶石交易的限制 Division 2—Restriction on Dealing in Precious Metals and Stones 53ZUE. 未經註冊而進行某些交易屬罪行 53ZUE. Offence of carrying out certain transaction without (1) 除註冊人以外，任何人均不得在香港進行指明交易。 registration (2) 除 B 類註冊人以外，任何人均不得在香港進行指明 (1) No person other than a registrant may carry out a 現金交易。 specified transaction in Hong Kong. (2) No person other than a Category B registrant may carry out a specified cash transaction in Hong Kong. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1094 第4條 Section 4 A1095 (3) 任何並非註冊人的人，不得聲稱或顯示 —— (3) A person who is not a registrant must not claim or (a) 自己是註冊人；或 hold out— (b) 自己獲得授權，能在香港進行指明交易。 (a) that the person is a registrant; or (4) 任何並非 B 類註冊人的人，不得聲稱或顯示 —— (b) that the person is authorized to carry out a specified transaction in Hong Kong. (a) 自己是 B 類註冊人；或 (4) A person who is not a Category B registrant must (b) 自己獲得授權，能在香港進行指明現金交易。 not claim or hold out— (5) 任 何 人 違 反 第 (1)、(2)、(3) 或 (4) 款，即 屬 犯 罪， (a) that the person is a Category B registrant; or 一經定罪，可處第 6 級罰款及監禁 6 個月。 (b) that the person is authorized to carry out a (6) 如任何人被裁定犯本條所訂罪行，裁判官可命令該 specified cash transaction in Hong Kong. 人在某段期間內，沒有資格註冊為註冊人，該段期 間 —— (5) A person who contravenes subsection (1), (2), (3) or (4) commits an offence and is liable on conviction to (a) 始於該命令的日期；及 a fine at level 6 and to imprisonment for 6 months. (b) 於該命令中指明。 (6) If a person is convicted of an offence under this section, the magistrate may order that the person be disqualified from being registered as a registrant for a period— (a) beginning on the date of the order; and (b) specified in the order. 第 3 分部 ——A 類註冊人：申請註冊、批予註冊、 Division 3—Category A Registrant: Application for, 取消和暫時吊銷註冊 Grant, Cancellation and Suspension of, Registration 53ZUF. 申請及批予註冊 53ZUF. Application for and grant of registration (1) 關長可應申請，將某人註冊為 A 類註冊人，以經營 (1) The Commissioner may, on application, register a 包括進行指明交易、但不包括進行指明現金交易的 person as a Category A registrant for carrying on a 貴金屬及寶石業務。 precious metals and stones business that includes the carrying out of specified transactions but excludes the carrying out of specified cash transactions. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1096 第4條 Section 4 A1097 (2) 要求批予註冊為 A 類註冊人的申請，須 —— (2) An application for the grant of registration as a (a) 以關長指明的格式及方式提出；及 Category A registrant must be— (b) 附有附表 3K 指明的費用。 (a) made in the form and way specified by the Commissioner; and (3) 在不局限第 (2)(a) 款的原則下，有關申請 —— (b) accompanied by the fee specified in Schedule (a) 須附有有關申請人的有效商業登記證的複本； 3K. (b) 須附有該申請人的一項聲明，聲明內容為 —— (3) Without limiting subsection (2)(a), the application— (i) 該 申 請 人 擬 經 營 的 貴 金 屬 及 寶 石 業 務， (a) must be accompanied by a copy of a valid 將會為合法目的而經營；或 business registration certificate of the applicant; (ii) 如 在 緊 接 2023 年 4 月 1 日 前，該 申 請 人 (b) must be accompanied by a declaration by the 一 直 經 營 貴 金 屬 及 寶 石 業 務，而 該 項 申 applicant that— 請，是 在 過 渡 期 內 提 出 的 ——該 申 請 人 的 貴 金 屬 及 寶 石 業 務，正 在 並 繼 續 會 為 (i) the precious metals and stones business 合法目的而經營；及 which the applicant proposes to carry on will be carried on for a lawful purpose; or 須載有該申請人擬用作業務處所的每個處所的 (c) 地址，及該申請人的通訊地址。 (ii) if the applicant has been carrying on a precious metals and stones business (4) 關長僅可在信納第 (5) 及 (6) 款指明的事宜的前提下， immediately before 1 April 2023 and makes 將某人註冊為 A 類註冊人。 the application during the transitional period—the applicant’s precious metals and stones business is carried on, and will continue to be carried on, for a lawful purpose; and (c) must contain the address of each premises that the applicant intends to be used as business premises and the applicant’s correspondence address. (4) The Commissioner may register a person as a Category A registrant only if the Commissioner is satisfied of the matters specified in subsections (5) and (6). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1098 第4條 Section 4 A1099 (5) 為第 (4) 款而指明的事宜如下 —— (5) The matter specified for the purposes of subsection (4) (a) 有關的人擬經營的貴金屬及寶石業務，將會為 is that— 合法目的而經營；或 (a) the precious metals and stones business that the (b) 如 有 關 的 人 在 緊 接 2023 年 4 月 1 日 前，一 直 person proposes to carry on will be carried on 經營貴金屬及寶石業務，而有關申請是在過渡 for a lawful purpose; or 期 內 提 出 的 ——有 關 申 請 人 的 貴 金 屬 及 寶 石 (b) if the person has been carrying on a precious 業務，正在並繼續會為合法目的而經營。 metals and stones business immediately before 1 (6) 為第 (4) 款而指明的事宜如下：就擬將住宅處所用 April 2023 and makes the application during the 作業務處所的申請人而言，該申請人已確實取得該 transitional period—the person’s precious 處所的每名佔用人的書面同意，讓第 8 條所界定的 metals and stones business is carried on, and 獲授權人為行使第 9 條所指的權力而進入該處所。 will continue to be carried on, for a lawful purpose. (7) 關長在將某人註冊為 A 類註冊人時，可施加其認為 適當的任何條件。 (6) The matter specified for the purposes of subsection (4) is that, in relation to an applicant who intends to use (8) 第 53ZUJ 條適用於裁斷第 (1) 款所指的申請。 any domestic premises as business premises, the 在本條中 —— (9) applicant has secured the written consent of every 過渡期 (transitional period) 具有第 53ZW(8) 條所給予的 occupant of the premises for any authorized person, 涵義。 as defined by section 8, to enter the premises for the purpose of exercising the powers under section 9. (7) On registering a person as a Category A registrant, the Commissioner may impose any conditions that the Commissioner considers appropriate. (8) Section 53ZUJ applies to the determination of an application under subsection (1). (9) In this section— transitional period (過渡期) has the meaning given by section 53ZW(8). 53ZUG. 註冊證明書及分行證明書 53ZUG. Certificate of registration and branch certificates (1) 在批予某人要求註冊為 A 類註冊人的申請時，關長 (1) On granting a person’s application for registration as 須 —— a Category A registrant, the Commissioner must— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1100 第4條 Section 4 A1101 (a) 將該人的姓名或名稱，記入註冊紀錄冊，並指 (a) enter the person’s name in the register and 明該人是 A 類註冊人； specify that the person is a Category A (b) 發出註冊證明書；及 registrant; (c) 為該註冊人的每間分行 ( 如有的話 )，發出分 (b) issue a certificate of registration; and 行證明書。 (c) issue a branch certificate for each branch of the (2) 就註冊為 A 類註冊人的人發出的註冊證明書 —— registrant (if any). (a) 須述明該人獲註冊為 A 類註冊人； (2) A certificate of registration issued in respect of a person registered as a Category A registrant— (b) 須符合關長指明的格式；及 (a) must state that the person is so registered; (c) 須指明該註冊人的主要營業地點的地址。 (b) must be in a form specified by the (3) 為 A 類註冊人的某分行發出的分行證明書，須符合 Commissioner; and 關長指明的格式，並須指明該分行的地址。 (c) must specify the address of the principal place of business of the registrant. (3) A branch certificate issued for a branch of a Category A registrant must be in a form specified by the Commissioner and must specify the address of the branch. 53ZUH. 每年費用 53ZUH. Annual fee A 類註冊人須在每一年，於其註冊生效日期的周年日或 A Category A registrant must pay to the Commissioner 之前，向關長繳付附表 3K 指明的每年費用。 an annual fee specified in Schedule 3K annually on or before each anniversary of the date on which the registrant’s registration takes effect. 53ZUI. 修改註冊條件 53ZUI. Amendment of conditions of registration (1) 關 長 如 信 納 就 任 何 註 冊 為 A 類 註 冊 人 的 人 的 註 (1) In relation to the registration of a person as a 冊 —— Category A registrant, the Commissioner may, at any (a) 施加任何新的條件； time, if satisfied that it is reasonable to do so in the circumstances— (b) 修改任何先前施加的條件；或 (a) impose any new conditions; (b) amend any previously imposed conditions; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1102 第4條 Section 4 A1103 (c) 免除任何先前施加的條件， (c) remove any previously imposed conditions. 在有關情況下屬合理之舉，則可隨時如此行事。 (2) Section 53ZUJ applies to a decision made under (2) 第 53ZUJ 條適用於根據第 (1) 款作出的決定。 subsection (1). 53ZUJ. 第 53ZUF 及 53ZUI 條的補充條文 53ZUJ. Provisions supplementary to sections 53ZUF and 53ZUI (1) 第 (2) 及 (3) 款在以下情況下適用 —— (1) Subsections (2) and (3) apply if— (a) 在根據第 53ZUF 條批予某人註冊為 A 類註冊 (a) the Commissioner decides to impose a condition 人的註冊時，關長決定施加任何條件；或 on granting the registration of a person as a (b) 就 某 人 註 冊 為 A 類 註 冊 人 的 註 冊，關 長 決 定 Category A registrant under section 53ZUF; or 根 據 第 53ZUI 條，施 加 新 的 條 件，或 修 改 或 (b) in relation to the registration of a person as a 免除條件。 Category A registrant, the Commissioner (2) 關長須藉書面通知，將第 (1) 款提述的決定，告知 decides to impose a new condition or amend or 有關 A 類註冊人，該通知須載有 —— remove a condition under section 53ZUI. (a) 一項陳述，說明作出該決定的理由；及 (2) The Commissioner must inform the Category A registrant of the decision referred to in subsection (1) (b) 一項陳述，指出該註冊人可向覆核審裁處提出 by written notice and the notice must include— 申請，要求覆核該決定。 (a) a statement of the reasons for the decision; and (3) 就第 (1) 款提述的施加、修改或免除任何條件，自 以下時間起生效 —— (b) a statement that the registrant may apply to the Review Tribunal for a review of the decision. (a) 如第 (1)(a) 款適用 ——有關註冊生效時；或 (3) The imposition, amendment or removal of a (b) 如 第 (1)(b) 款 適 用 ——根 據 第 (2) 款 給 予 通 知 condition referred to in subsection (1) takes effect— 時，或在有關通知指明的時間，兩者以較後者 為準。 (a) if subsection (1)(a) applies—at the time the registration takes effect; or (4) 關長如決定不批予任何人註冊為 A 類註冊人的註 冊，則須藉書面通知，將該決定告知該人，該通知 (b) if subsection (1)(b) applies—at the time the 須載有 —— notice is given under subsection (2) or at the time specified in the notice, whichever is later. (4) If the Commissioner decides not to grant the registration of a person as a Category A registrant, the Commissioner must inform the person of the decision by written notice and the notice must include— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1104 第4條 Section 4 A1105 (a) 一項陳述，說明作出該決定的理由；及 (a) a statement of the reasons for the decision; and (b) 一 項 陳 述，指 出 該 人 可 向 覆 核 審 裁 處 提 出 申 (b) a statement that the person may apply to the 請，要求覆核該決定。 Review Tribunal for a review of the decision. 53ZUK. 註冊失效 53ZUK. Cessation of registration A 類註冊人的人的註冊 —— The registration of a person as a Category A registrant (a) 如 該 註 冊 人 向 關 長 具 報，該 註 冊 人 的 意 向 是 ceases to have effect— 第 53ZVB(1)(a) 或 (b) 條 所 提 述 者 ——在 所 具 (a) if the registrant notifies the Commissioner that 報的擬停業日期 ( 第 53ZVB(3) 條所界定者 )， the registrant has the intention referred to in 即不再具有效力； section 53ZVB(1)(a) or (b)—on the intended (b) 在關長已根據第 53ZUO 條批准該註冊人註冊 date of cessation (as defined by section 為 B 類註冊人的申請的情況下，即不再具有效 53ZVB(3)) as notified; 力； (b) if the Commissioner has approved an (c) 如該註冊人屬個人 ——在該名個人去世時，即 application by the registrant to be registered as 不再具有效力； a Category B registrant under section 53ZUO; (d) 如該註冊人屬合夥 ——在該合夥解散時，即不 (c) if the registrant is an individual—on the death 再具有效力；或 of the individual; (e) 如該註冊人屬法團 ——在該法團開始清盤時， (d) if the registrant is a partnership—on the 即不再具有效力。 dissolution of the partnership; or (e) if the registrant is a corporation—on the commencement of winding up of the corporation. 53ZUL. 取消或暫時吊銷註冊 53ZUL. Cancellation or suspension of registration (1) 就獲註冊為 A 類註冊人的人而言，關長可在第 (2) (1) In relation to a person registered as a Category A 款指明的任何情況下 —— registrant, the Commissioner may in any of the (a) 取消該人的註冊；或 situations specified in subsection (2)— (b) 在關長指明的期間，或在其指明的某事件發生 (a) cancel the person’s registration; or 之前，暫時吊銷該人的註冊。 (b) suspend the person’s registration for a period, or until the occurrence of an event, specified by the Commissioner. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1106 第4條 Section 4 A1107 (2) 有關情況是 —— (2) The situations are that— (a) 有 關 的 人 被 裁 定 犯 違 反 第 53ZUE(2) 或 (4) 條 (a) the person is convicted of an offence for 的罪行； contravening section 53ZUE(2) or (4); (b) 有關的人違反根據第 53ZVS 條訂立的規例； (b) the person contravenes a regulation made under (c) 有關的人違反其註冊的任何條件； section 53ZVS; (d) 有關的人在附表 3K 指明的每年費用到期繳付 (c) the person contravenes any of the conditions of 時，沒有繳付； the person’s registration; (e) 有關的人沒有遵從根據第 53ZVE(3)(b) 條作出 (d) the person fails to pay the annual fee specified 的命令而採取糾正行動； in Schedule 3K when it is due; (f) 有關的人不再持有有效商業登記證； (e) the person fails to comply with an order made under section 53ZVE(3)(b) to take remedial (g) 有情況顯示，有關的人的業務曾經、正在或將 action; 會為非法目的而經營；及 (f) the person ceases to hold a valid business (h) 有關的人將任何住宅處所用作其貴金屬及寶石 registration certificate; 業務的業務處所，而 —— (g) there are circumstances suggesting that the (i) 凡 該 處 所 的 任 何 佔 用 人，先 前 給 予 書 面 person’s business has been, is being or will be 同意，讓第 8 條所界定的獲授權人為行使 carried on for an unlawful purpose; and 第 9 條 所 指 的 權 力 而 進 入 該 處 所 ——該 佔用人撤銷該項同意；或 (h) the person uses any domestic premises as business premises for its precious metals and (ii) 該處所的任何新佔用人拒絕給予上述書 stones business, and— 面同意。 (i) any occupant of the premises revokes his or her written consent previously given for any authorized person, as defined by section 8, to enter the premises for the purpose of exercising the powers under section 9; or (ii) any new occupant of the premises refuses to give such a written consent. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1108 第4條 Section 4 A1109 (3) 關長根據第 (1) 款就某人行使權力前，須給予該人 (3) The Commissioner may exercise a power under 合理的陳詞機會。 subsection (1) in relation to a person only after giving the person a reasonable opportunity to be heard. 53ZUM. 在取消或暫時吊銷註冊時適用的補充條文 53ZUM. Supplementary provisions on cancellation or suspension of (1) 關長決定根據第 53ZUL 條取消或暫時吊銷 A 類註 registration 冊人 ( 受影響人士 ) 的註冊時，須藉書面通知，將 (1) On deciding to cancel or suspend the registration of 該決定告知受影響人士，該通知須 —— a person as a Category A registrant (affected person) (a) 載有一項陳述，說明作出該決定的理由； under section 53ZUL, the Commissioner must inform the affected person of the decision by written (b) 如 屬 暫 時 吊 銷 註 冊 的 決 定 ——指 明 該 項 吊 銷 notice and the notice must— 的持續期及條款；及 (a) include a statement of the reasons for the (c) 載有一項陳述，指出受影響人士可向覆核審裁 decision; 處提出申請，要求覆核該決定。 (b) for a decision to suspend registration, specify (2) 凡 A 類註冊人的註冊被取消或暫時吊銷，已就批予 the duration and terms of the suspension; and 該項註冊繳付的費用，或已作為該項註冊的每年費 用而繳付的費用，均不予退回。 (c) include a statement that the affected person may apply to the Review Tribunal for a review of the (3) 如受影響人士的註冊根據第 53ZUL 條被取消，則 decision. 自該項取消根據第 75 條作為指明決定而生效之日 起，關於受影響人士的註冊證明書及每份分行證明 (2) Any fee paid for the grant of registration as a 書 ( 如有的話 )，即不再具有效力。 Category A registrant, or as an annual fee for the registration, is not refundable on the cancellation or suspension of the registration. (3) If the registration of the affected person is cancelled under section 53ZUL, the certificate of registration and each branch certificate (if any) in respect of the affected person cease to have effect from the day on which the cancellation takes effect as a specified decision under section 75. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1110 第4條 Section 4 A1111 第 4 分部 ——B 類註冊人 Division 4—Category B Registrant 第 1 次分部 ——申請註冊、批予註冊、註冊續期、取消 Subdivision 1—Application for, Grant, Renewal, 和暫時吊銷註冊 Cancellation and Suspension of, Registration 53ZUN. 適當人選的評定準則 53ZUN. Fit and proper test (1) 在本條例中，凡提述經營貴金屬及寶石業務的適當 (1) In a reference in this Ordinance to a fit and proper 人選、或與該業務有聯繫的適當人選，該提述中的 person to carry on a precious metals and stones 業務指包括進行指明交易及指明現金交易的貴金屬 business or a fit and proper person to be associated 及寶石業務。 with such a business, the business concerned is a (2) 關 長 在 斷 定 某 人 是 否 就 第 53ZUO、53ZUQ、 precious metals and stones business that includes the 53ZUU、53ZUW、53ZUX 或 53ZUY 條 而 言 屬 適 carrying out of specified transactions and specified 當人選時，除須顧及關長認為有關的任何其他事宜 cash transactions. 外，亦須顧及以下事宜 —— (2) In determining whether a person is a fit and proper (a) 該人是否曾被裁定犯了 —— person for the purposes of section 53ZUO, 53ZUQ, 53ZUU, 53ZUW, 53ZUX or 53ZUY, the (i) 第 5(5)、(6)、(7) 或 (8)、10(1)、(3)、(5)、 Commissioner must, in addition to any other matter (6)、(7) 或 (8)、13(1)、(3)、(5)、(6)、(7) that the Commissioner considers relevant, have 或 (8)、17(9)、20(1)、61(2) 或 66(3) 條 所 regard to the following matters— 訂罪行； (a) whether the person has been convicted of— (ii) 《聯合國 ( 反恐怖主義措施 ) 條例》( 第 575 章 ) 第 14 條所訂罪行； (i) an offence under section 5(5), (6), (7) or (8), 10(1), (3), (5), (6), (7) or (8), 13(1), (3), (5), (iii) 《販 毒 ( 追 討 得 益 ) 條 例》( 第 405 章 ) 第 (6), (7) or (8), 17(9), 20(1), 61(2) or 66(3); 25(1) 或 25A(5) 或 (7) 條 所 訂 罪 行，或 該 條例附表 1 指明的罪行；或 (ii) an offence under section 14 of the United Nations (Anti-Terrorism Measures) Ordinance (Cap. 575); (iii) an offence under section 25(1) or 25A(5) or (7) of, or an offence specified in

  45. Schedule 1 to, the Drug Trafficking — to, the Drug Trafficking

    Schedule 1 to, the Drug Trafficking (Recovery of Proceeds) Ordinance (Cap. 405); or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1112 第4條 Section 4 A1113 (iv) 《有 組 織 及 嚴 重 罪 行 條 例》( 第 455 章 ) 第 (iv) an offence under section 25(1) or 25A(5) 25(1) 或 25A(5) 或 (7) 條 所 訂 罪 行，或 該 or (7) of, or an offence specified in 條例附表 1 或 2 指明的罪行； Schedule 1 or 2 to, the Organized and (b) 該人是否曾在香港以外地方被裁定 —— Serious Crimes Ordinance (Cap. 455); (i) 就 某 作 為 犯 了 某 罪 行，而 該 作 為 假 若 是 (b) whether the person has a conviction in a place 在香港作出，便會構成 (a) 段指明的罪行； outside Hong Kong— (ii) 犯了關乎洗錢或恐怖分子資金籌集的罪 (i) for an offence in respect of an act that 行；或 would have constituted an offence specified in paragraph (a) had it been done in Hong (iii) 犯了某罪行，而對該項定罪而言，裁斷該 Kong; 人 曾 有 欺 詐 性、舞 弊 或 不 誠 實 的 作 為 屬 必要條件； (ii) for an offence relating to money laundering or terrorist financing; or (c) 該人是否曾不遵守根據本條例施加的規定或根 據第 53ZVS 條訂立的規例； (iii) for an offence for which it was necessary to find that the person had acted fraudulently, (d) ( 如該人屬個人 ) 該人是否屬未獲解除破產的 corruptly or dishonestly; 破 產 人，或 是 否 屬《破 產 條 例》( 第 6 章 ) 下 的 破產程序所針對的人； (c) whether the person has failed to comply with a requirement imposed under this Ordinance or a (e) ( 如該人屬法團 ) 該人是否正在清盤當中，或 regulation made under section 53ZVS; 是否屬任何清盤令所針對的法團，或是否已有 接管人就該法團而獲委任。 (d) if the person is an individual, whether he or she is an undischarged bankrupt or is the subject of any bankruptcy proceedings under the Bankruptcy Ordinance (Cap. 6); (e) if the person is a corporation, whether it is in liquidation or is the subject of a winding up order, or there is a receiver appointed in relation to it. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1114 第4條 Section 4 A1115 53ZUO. 申請及批予註冊 53ZUO. Application for and grant of registration (1) 關長可應申請，將某人註冊為 B 類註冊人，以經營 (1) The Commissioner may, on application, register a 包括進行指明交易及指明現金交易的貴金屬及寶石 person as a Category B registrant for carrying on a 業務。 precious metals and stones business that includes the (2) 關長僅可在信納第 (3) 及 (4) 款指明的事宜的前提下， carrying out of specified transactions and specified 將某人註冊為 B 類註冊人。 cash transactions. (3) 為第 (2) 款而指明的事宜如下 —— (2) The Commissioner may register a person as a Category B registrant only if the Commissioner is (a) 如有關申請人屬個人 —— satisfied of the matters specified in subsections (3) (i) 該名個人屬經營貴金屬及寶石業務的適 and (4). 當人選；及 (3) The matters specified for the purposes of subsection (ii) ( 如就該名個人而言有最終擁有人 ) 該名 (2) are that— 最終擁有人屬與貴金屬及寶石業務有聯 (a) if the applicant is an individual— 繫的適當人選； (i) the individual is a fit and proper person to (b) 如有關申請人屬合夥 —— carry on a precious metals and stones (i) 該 合 夥 的 每 名 合 夥 人，均 屬 經 營 貴 金 屬 business; and 及寶石業務的適當人選；及 (ii) if there is an ultimate owner in relation to (ii) ( 如就該合夥而言有最終擁有人 ) 該名最 the individual—the ultimate owner is a fit 終擁有人屬與貴金屬及寶石業務有聯繫 and proper person to be associated with a 的適當人選；或 precious metals and stones business; (b) if the applicant is a partnership— (i) each partner in the partnership is a fit and proper person to carry on a precious metals and stones business; and (ii) if there is an ultimate owner in relation to the partnership—the ultimate owner is a fit and proper person to be associated with a precious metals and stones business; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1116 第4條 Section 4 A1117 (c) 如有關申請人屬法團 —— (c) if the applicant is a corporation— (i) 該 法 團 的 每 名 董 事，均 屬 與 貴 金 屬 及 寶 (i) each director of the corporation is a fit 石業務有聯繫的適當人選；及 and proper person to be associated with a (ii) ( 如就該法團而言有最終擁有人 ) 該名最 precious metals and stones business; and 終擁有人屬與貴金屬及寶石業務有聯繫 (ii) if there is an ultimate owner in relation to 的適當人選。 the corporation—the ultimate owner is a (4) 為第 (2) 款而指明的事宜如下：就擬將住宅處所用 fit and proper person to be associated with 作業務處所的申請人而言，該申請人已確實取得該 a precious metals and stones business. 處所的每名佔用人的書面同意，讓第 8 條所界定的 (4) The matter specified for the purposes of subsection (2) 獲授權人為行使第 9 條所指的權力而進入該處所。 is that, in relation to an applicant who intends to use (5) 第 53ZUN 條適用於裁斷第 (1) 款所指的申請。 any domestic premises as business premises, the applicant has secured the written consent of every (6) 關長在將某人註冊為 B 類註冊人時，可施加其認為 occupant of the premises for any authorized person, 適當的任何條件。 as defined by section 8, to enter the premises for the (7) 第 53ZUS 條適用於第 (1) 款所指的申請，以及就該 purpose of exercising the powers under section 9. 申請作出的裁斷。 (5) Section 53ZUN applies to a determination of an (8) 除第 53ZUU 條另有規定外，將某人根據本條註冊 application under subsection (1). 的有效期為 —— (6) On registering a person as a Category B registrant, (a) 3 年；或 the Commissioner may impose any conditions that (b) 如 關 長 在 特 定 個 案 中 認 為 適 當 ——關 長 決 定 the Commissioner considers appropriate. 的、自註冊生效的日期起計的其他期間。 (7) Section 53ZUS applies to an application under subsection (1) and to the determination of the application. (8) Subject to section 53ZUU, registration of a person under this section have effect— (a) for 3 years; or (b) if the Commissioner considers it appropriate in any particular case—for any other period determined by the Commissioner, beginning on the date on which the registration takes effect. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1118 第4條 Section 4 A1119 53ZUP. 註冊證明書及分行證明書 53ZUP. Certificate of registration and branch certificates (1) 在批予某人要求註冊為 B 類註冊人的申請時，關長 (1) On granting a person’s application for registration as 須 —— a Category B registrant, the Commissioner must— (a) 將該人的姓名或名稱，記入註冊紀錄冊，並指 (a) enter the person’s name in the register and 明該人是 B 類註冊人； specify that the person is a Category B (b) 發出註冊證明書；及 registrant; (c) 為該註冊人的每間分行 ( 如有的話 )，發出分 (b) issue a certificate of registration; and 行證明書。 (c) issue a branch certificate for each branch of the (2) 就註冊為 B 類註冊人的人發出的註冊證明書 —— registrant (if any). (a) 須述明該人獲註冊為 B 類註冊人； (2) A certificate of registration issued in respect of a person registered as a Category B registrant— (b) 須符合關長指明的格式； (a) must state that the person is so registered; (c) 須指明該註冊人的主要營業地點的地址；及 (b) must be in a form specified by the (d) 須指明有關註冊的有效期。 Commissioner; (3) 為 B 類註冊人的某分行發出的分行證明書，須符合 (c) must specify the address of the principal place 關長指明的格式，並須指明該分行的地址。 of business of the registrant; and (d) must specify the period for which the registration has effect. (3) A branch certificate issued for a branch of a Category B registrant must be in a form specified by the Commissioner and must specify the address of the branch. 53ZUQ. B 類註冊人的人的註冊續期 53ZUQ. Renewal of registration as Category B registrant (1) 關長可應 B 類註冊人提出的申請，將該註冊人的註 (1) The Commissioner may, on application by a 冊續期。 Category B registrant, renew the registration of the (2) 提出上述申請的日期，不得遲於有關註冊的有效期 registrant. 屆滿前的第 60 日。 (2) The application must be made at least 60 days before the registration is due to expires. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1120 第4條 Section 4 A1121 (3) 第 53ZUN、53ZUO(2)、(3)、(4) 及 (7) 及 53ZUP 條 (3) Sections 53ZUN, 53ZUO(2), (3), (4) and (7) and 適用於註冊續期申請，一如其適用於註冊申請。 53ZUP apply to an application for a renewal of the (4) 如有關註冊的有效期，在上述申請獲裁斷前已告屆 registration as they apply to an application for 滿，則除非該申請被撤回，或該項註冊被取消或暫 registration. 時吊銷，否則 —— (4) If the registration expires before the determination (a) 該項註冊在獲續期前，維持有效；或 of the application, unless the application is withdrawn or the registration is cancelled or (b) 如該項註冊不獲續期，則在不續期的裁斷根據 suspended, the registration remains in force— 第 75 條作為指明決定而生效前，該項註冊維 持有效。 (a) until it is renewed; or (5) 關長在將 B 類註冊人的註冊續期時，如認為適當， (b) if it is not renewed, until the decision not to 可 —— renew takes effect as a specified decision under section 75. (a) 施加任何新的條件； (5) On renewing a Category B registration, the (b) 修改任何先前施加的條件；或 Commissioner may, if the Commissioner considers (c) 免除任何先前施加的條件。 appropriate— (6) 註冊續期在以下日子生效 —— (a) impose any new conditions; (a) 有關註冊的有效期屆滿之日的翌日；或 (b) amend any previously imposed conditions; or (b) 如屬第 (4) 款適用 ——若無該款規定，有關註 (c) remove any previously imposed conditions. 冊的有效期本應屆滿之日的翌日。 (6) A renewal takes effect— (7) 除第 53ZUU 條另有規定外，如註冊為 B 類註冊人 (a) on the day following the expiry of the 的人的註冊獲續期，該項註冊在以下期間有效 —— registration; or (a) 自該項註冊獲續期的日期起計的 3 年；或 (b) if subsection (4) applies, on the day following the day on which the registration would have expired but for that subsection. (7) Subject to section 53ZUU, the registration of a person as a Category B registrant, if renewed, has effect— (a) for 3 years beginning on the date on which the registration is renewed; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1122 第4條 Section 4 A1123 (b) 如 關 長 在 特 定 個 案 中 認 為 適 當 ——符 合 以 下 (b) if the Commissioner considers it appropriate in 說明的其他期間 —— any particular case—for any other period— (i) 關長決定的；及 (i) determined by the Commissioner; and (ii) 自該項註冊獲續期的日期起計的。 (ii) beginning on the date on which the registration is renewed. 53ZUR. 修改註冊條件 53ZUR. Amendment of conditions of registration (1) 關 長 如 信 納 就 任 何 註 冊 為 B 類 註 冊 人 的 人 的 註 (1) In relation to the registration of a person as a 冊 —— Category B registrant, the Commissioner may, at any (a) 施加任何新的條件； time, if satisfied that it is reasonable to do so in the circumstances— (b) 修改任何先前施加的條件；或 (a) impose any new conditions; (c) 免除任何先前施加的條件， (b) amend any previously imposed conditions; or 在有關情況下屬合理之舉，則可隨時如此行事。 (c) remove any previously imposed conditions. (2) 第 53ZUS 條適用於根據第 (1) 款作出的決定。 (2) Section 53ZUS applies to a decision made under subsection (1). 53ZUS. 第 53ZUO、53ZUQ 及 53ZUR 條的補充條文 53ZUS. Provisions supplementary to sections 53ZUO, 53ZUQ and (1) 要求批予註冊為 B 類註冊人的註冊申請或續期申 53ZUR 請，須 —— (1) An application for the grant or renewal of (a) 以關長指明的格式及方式提出；及 registration as a Category B registrant must be— (b)附有附表 3K 指明的費用。 (a) made in the form and way specified by the Commissioner; and (2) 在不局限第 (1)(a) 款的原則下，要求批予註冊為 B 類註冊人的註冊申請或續期申請 —— (b) accompanied by the fee specified in Schedule 3K. (2) Without limiting subsection (1)(a), an application for the grant or renewal of registration as a Category B registrant— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1124 第4條 Section 4 A1125 (a) 須附有有關申請人的有效商業登記證的複本； (a) must be accompanied by a copy of a valid 及 business registration certificate of the applicant; (b) 須載有該申請人擬用作業務處所的每個處所的 and 地址，及該申請人的通訊地址。 (b) must contain the address of each premises that (3) 如關長作出以下決定，則第 (4) 及 (5) 款適用 —— the applicant intends to be used as business premises and the applicant’s correspondence 在批予某人註冊為 B 類註冊人的註冊時，根據 (a) address. 第 53ZUO(6) 條施加條件； (3) Subsections (4) and (5) apply if the Commissioner (b) 根據第 53ZUQ(5) 條，在 B 類註冊人的註冊續 decides to— 期時，施加新的條件，或修改或免除條件；或 (a) impose a condition on granting the registration (c) 根據第 53ZUR(1) 條，在其他情況下就註冊為 of a person as a Category B registrant under B 類註冊人的人，施加新的條件，或修改或免 section 53ZUO(6); 除條件。 (b) impose a new condition or amend or remove a (4) 關長須藉書面通知，將第 (3) 款提述的決定，告知 condition on renewing the registration of a 有關的人，該通知須載有 —— person as a Category B registrant under section (a) 一項陳述，說明作出該決定的理由；及 53ZUQ(5); or (b) 一項陳述，指出該註冊人可向覆核審裁處提出 (c) in relation to the registration of a person as a 申請，要求覆核該決定。 Category B registrant, impose a new condition (5) 就第 (3) 款提述的施加、修改或免除任何條件，自 or amend or remove a condition in any other 以下時間起生效 —— case under section 53ZUR(1). (a) 如第 (3)(a) 款適用 ——有關註冊生效時；或 (4) The Commissioner must inform the person of the decision referred to in subsection (3) by written notice and the notice must include— (a) a statement of the reasons for the decision; and (b) a statement that the registrant may apply to the Review Tribunal for a review of the decision. (5) The imposition, amendment or removal of a condition referred to in subsection (3) takes effect— (a) if subsection (3)(a) applies—at the time the registration takes effect; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1126 第4條 Section 4 A1127 (b) 如第 (3)(b) 或 (c) 款適用 ——根據第 (4) 款給予 (b) if subsection (3)(b) or (c) applies—at the time 通知時，或在有關通知指明的時間，兩者以較 the notice is given under subsection (4) or at the 後者為準。 time specified in the notice, whichever is later. (6) 關長如決定不批予任何人註冊為 B 類註冊人的註 (6) If the Commissioner decides not to grant or renew 冊，或 不 將 該 註 冊 人 的 註 冊 續 期，則 須 藉 書 面 通 the registration of a person as a Category B 知，將該決定告知該人，該通知須載有 —— registrant, the Commissioner must inform the person (a) 一項陳述，說明作出該決定的理由；及 of the decision by written notice and the notice must include— (b) 一 項 陳 述，指 出 該 人 可 向 覆 核 審 裁 處 提 出 申 請，要求覆核該決定。 (a) a statement of the reasons for the decision; and (b) a statement that the person may apply to the Review Tribunal for a review of the decision. 53ZUT. 註冊失效 53ZUT. Cessation of registration B 類註冊人的人的註冊 —— The registration of a person as a Category B registrant (a) 如 該 註 冊 人 向 關 長 具 報，該 註 冊 人 的 意 向 是 ceases to have effect— 第 53ZVB(2)(a) 或 (b) 條 所 提 述 者 ——在 所 具 (a) if the registrant notifies the Commissioner that 報的擬停業日期 ( 第 53ZVB(3) 條所界定者 )， the registrant has the intention referred to in 即不再具有效力； section 53ZVB(2)(a) or (b)—on the intended (b) 在關長已根據第 53ZUF 條批准該註冊人註冊 date of cessation (as defined by section 為 A 類 註 冊 人 的 申 請 的 情 況 下，即 不 再 具 有 53ZVB(3)) as notified; 效力； (b) if the Commissioner has approved an (c) 如該註冊人屬個人 ——在該名個人去世時，即 application by the registrant to be registered as 不再具有效力； a Category A registrant under section 53ZUF; (d) 如該註冊人屬合夥 ——在該合夥解散時，即不 (c) if the registrant is an individual—on the death 再具有效力；或 of the individual; (e) 如該註冊人屬法團 ——在該法團開始清盤時， (d) if the registrant is a partnership—on the 即不再具有效力。 dissolution of the partnership; or (e) if the registrant is a corporation—on the commencement of winding up of the corporation. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1128 第4條 Section 4 A1129 53ZUU. 取消或暫時吊銷註冊 53ZUU. Cancellation or suspension of registration (1) 就獲註冊為 B 類註冊人的人而言，關長可在第 (2) (1) In relation to a person registered as a Category B 款指明的任何情況下 —— registrant, the Commissioner may in any of the (a) 取消該人的註冊；或 situations specified in subsection (2)— (b) 在關長指明的期間，或在其指明的某事件發生 (a) cancel the person’s registration; or 之前，暫時吊銷該人的註冊。 (b) suspend the person’s registration for a period, (2) 有關情況是 —— or until the occurrence of an event, specified by the Commissioner. (a) 有關的人違反其註冊的任何條件； (2) The situations are that— (b) 如有關的人屬個人，而關長不再信納 —— (a) the person contravenes any of the conditions of (i) 該名個人屬經營貴金屬及寶石業務的適 the person’s registration; 當人選；或 (b) if the person is an individual, the Commissioner (ii) 如 就 該 名 個 人 而 言 有 最 終 擁 有 人 ——該 is no longer satisfied that— 名最終擁有人屬與貴金屬及寶石業務有 聯繫的適當人選； (i) the individual is a fit and proper person to carry on a precious metals and stones (c) 如有關的人屬合夥，而關長不再信納 —— business; or (i) 該 合 夥 的 每 名 合 夥 人，均 屬 經 營 貴 金 屬 (ii) if there is an ultimate owner in relation to 及寶石業務的適當人選；或 the individual—the ultimate owner is a fit (ii) 如 就 該 合 夥 而 言 有 最 終 擁 有 人 ——該 名 and proper person to be associated with a 最終擁有人屬與貴金屬及寶石業務有聯 precious metals and stones business; 繫的適當人選； (c) if the person is a partnership, the Commissioner is no longer satisfied that— (i) each partner in the partnership is a fit and proper person to carry on a precious metals and stones business; or (ii) if there is an ultimate owner in relation to the partnership—the ultimate owner is a fit and proper person to be associated with a precious metals and stones business; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1130 第4條 Section 4 A1131 (d) 如有關的人屬法團，而關長不再信納 —— (d) if the person is a corporation, the Commissioner (i) 該 法 團 的 每 名 董 事，均 屬 與 貴 金 屬 及 寶 is no longer satisfied that— 石業務有聯繫的適當人選；或 (i) each director of the corporation is a fit (ii) 如 就 該 法 團 而 言 有 最 終 擁 有 人 ——該 名 and proper person to be associated with a 最終擁有人屬與貴金屬及寶石業務有聯 precious metals and stones business; or 繫的適當人選； (ii) if there is an ultimate owner in relation to (e) 有關的人沒有遵從根據第 53ZVF(3)(b) 條作出 the corporation, the ultimate owner is a fit 的命令而採取該條所指的糾正行動； and proper person to be associated with a precious metals and stones business; (f) 有關的人不再持有有效商業登記證；及 (e) the person fails to comply with an order made (g) 有關的人將任何住宅處所用作其貴金屬及寶石 under section 53ZVF(3)(b) to take remedial 業務的業務處所，而 —— action within the meaning of that section; (i) 凡 該 處 所 的 任 何 佔 用 人，先 前 給 予 書 面 (f) the person ceases to hold a valid business 同意，讓第 8 條所界定的獲授權人為行使 registration certificate; and 第 9 條 所 指 的 權 力 而 進 入 該 處 所 ——該 佔用人撤銷該項同意；或 (g) the person uses any domestic premises as business premises for its precious metals and (ii) 該處所的任何新佔用人拒絕給予上述書 stones business, and— 面同意。 (i) any occupant of the premises revokes his (3) 第 53ZUN 條適用於第 (2)(b)、(c) 或 (d) 款所指的斷 or her written consent previously given for 定。 any authorized person, as defined by (4) 關長根據第 (1) 款就任何人行使權力前，須給予該 section 8, to enter the premises for the 人合理的陳詞機會。 purpose of exercising the powers under section 9; or (ii) any new occupant of the premises refuses to give such a written consent. (3) Section 53ZUN applies to a determination under subsection (2)(b), (c) or (d). (4) The Commissioner may exercise a power under subsection (1) in relation to a person only after giving the person a reasonable opportunity to be heard. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1132 第4條 Section 4 A1133 53ZUV. 在取消或暫時吊銷註冊時適用的補充條文 53ZUV. Supplementary provisions on cancellation or suspension of (1) 關長決定根據第 53ZUU 條取消或暫時吊銷 B 類註 registration 冊人 ( 受影響人士 ) 的註冊時，須藉書面通知，將 (1) On deciding to cancel or suspend the registration of 該決定告知受影響人士，該通知須 —— a person as a Category B registrant (affected person) (a) 載有一項陳述，說明作出該決定的理由； under section 53ZUU, the Commissioner must inform the affected person of the decision by written (b) 如 屬 暫 時 吊 銷 註 冊 的 決 定 ——指 明 該 項 吊 銷 notice and the notice must— 的持續期及條款；及 (a) include a statement of the reasons for the (c) 載有一項陳述，指出受影響人士可向覆核審裁 decision; 處提出申請，要求覆核該決定。 (b) for a decision to suspend registration, specify (2) 凡 B 類註冊人的註冊被取消或暫時吊銷，已就批予 the duration and terms of the suspension; and 該 項 註 冊 繳 付 的 費 用，或 已 就 註 冊 續 期 繳 付 的 費 用，均不予退回。 (c) include a statement that the affected person may apply to the Review Tribunal for a review of the (3) 如受影響人士的註冊根據第 53ZUU 條被取消，則 decision. 自該項取消根據第 75 條作為指明決定而生效之日 起，關於受影響人士的註冊證明書及每份分行證明 (2) Any fee paid for the grant or renewal of registration 書 ( 如有的話 )，即不再具有效力。 as a Category B registrant is not refundable on the cancellation or suspension of the registration. (3) If the registration of the affected person is cancelled under section 53ZUU, the certificate of registration and each branch certificate (if any) in respect of the affected person cease to have effect from the day on which the cancellation takes effect as a specified decision under section 75. 第 2 次分部 ——關長的批准 Subdivision 2—Approvals by Commissioner 53ZUW. 成為 B 類註冊人的最終擁有人，須獲批准 53ZUW. Approval required for becoming ultimate owner of Category (1) 除非關長已給予書面批准，否則任何人不得成為 B B registrant 類註冊人的最終擁有人。 (1) A person must not become an ultimate owner of a (2) 關長僅可在以下前提下給予批准 —— Category B registrant unless the Commissioner has given approval in writing. (2) The Commissioner may give approval only if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1134 第4條 Section 4 A1135 (a) 有 關 B 類 註 冊 人 提 出 申 請，要 求 給 予 有 關 批 (a) the Category B registrant makes an application 准；及 for the approval; and (b) 關長信納有關的人屬與貴金屬及寶石業務有聯 (b) the Commissioner is satisfied that the person is 繫的適當人選。 a fit and proper person to be associated with a (3) 第 53ZUN 條適用於第 (2)(b) 款所指的斷定。 precious metals and stones business. (4) 第 53ZUZ 條適用於第 (2)(a) 款所指的申請，以及就 (3) Section 53ZUN applies to a determination under 該申請作出的裁斷。 subsection (2)(b). (5) 任何人無合理辯解而違反第 (1) 款，即屬犯罪，一 (4) Section 53ZUZ applies to an application under 經定罪，可處第 5 級罰款及監禁 6 個月。 subsection (2)(a) and to the determination of the application. (5) A person who, without reasonable excuses, contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 5 and to imprisonment for 6 months. 53ZUX. 成為 B 類註冊人的合夥人，須獲批准 53ZUX. Approval required for becoming partner of Category B (1) 除非關長已給予書面批准，否則任何人不得成為屬 registrant 合夥的 B 類註冊人的合夥人。 (1) A person must not become a partner of a Category (2) 關長僅可在以下前提下給予批准 —— B registrant that is a partnership unless the Commissioner has given approval in writing. (a) 有 關 B 類 註 冊 人 提 出 申 請，要 求 給 予 有 關 批 准；及 (2) The Commissioner may give approval only if— (b) 關長信納有關的人屬經營貴金屬及寶石業務的 (a) the Category B registrant makes an application 適當人選。 for the approval; and (3) 第 53ZUN 條適用於第 (2)(b) 款所指的斷定。 (b) the Commissioner is satisfied that the person is a fit and proper person to carry on a precious (4) 第 53ZUZ 條適用於第 (2)(a) 款所指的申請，以及就 metals and stones business. 該申請作出的裁斷。 (3) Section 53ZUN applies to a determination under subsection (2)(b). (4) Section 53ZUZ applies to an application under subsection (2)(a) and to the determination of the application. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1136 第4條 Section 4 A1137 (5) 任何人無合理辯解而違反第 (1) 款，即屬犯罪，一 (5) A person who, without reasonable excuses, 經定罪，可處第 5 級罰款及監禁 6 個月。 contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 5 and to imprisonment for 6 months. 53ZUY. 成為 B 類註冊人的董事，須獲批准 53ZUY. Approval required for becoming director of Category B (1) 除非關長已給予書面批准，否則任何人不得成為屬 registrant 法團的 B 類註冊人的董事。 (1) A person must not become a director of a Category (2) 關長僅可在以下前提下給予批准 —— B registrant that is a corporation unless the Commissioner has given approval in writing. (a) 有 關 B 類 註 冊 人 提 出 申 請，要 求 給 予 有 關 批 准；及 (2) The Commissioner may give approval only if— (b) 關長信納有關的人屬與貴金屬及寶石業務有聯 (a) the Category B registrant makes an application 繫的適當人選。 for the approval; and (3) 第 53ZUN 條適用於第 (2)(b) 款所指的斷定。 (b) the Commissioner is satisfied that the person is a fit and proper person to be associated with a (4) 第 53ZUZ 條適用於第 (2)(a) 款所指的申請，以及就 precious metals and stones business. 該申請作出的裁斷。 (3) Section 53ZUN applies to a determination under (5) 任何人無合理辯解而違反第 (1) 款，即屬犯罪，一 subsection (2)(b). 經定罪，可處第 5 級罰款及監禁 6 個月。 (4) Section 53ZUZ apply to an application under subsection (2)(a) and to the determination of the application. (5) A person who, without reasonable excuse, contravenes subsection (1) commits an offence and is liable on conviction to a fine at level 5 and to imprisonment for 6 months. 53ZUZ. 第 53ZUW、53ZUX 及 53ZUY 條的補充條文 53ZUZ. Provisions supplementary to sections 53ZUW, 53ZUX and (1) 根 據 第 53ZUW、53ZUX 或 53ZUY 條 向 關 長 提 出 53ZUY 的、要求給予批准的申請 —— (1) An application for an approval of the Commissioner under section 53ZUW, 53ZUX or 53ZUY— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1138 第4條 Section 4 A1139 (a) 須以關長指明的格式及方式提出；及 (a) must be made in the form and way specified by (b) 須附有附表 3K 指明的費用。 the Commissioner; and (2) 關 長 如 就 B 類 註 冊 人 根 據 第 53ZUW、53ZUX 或 (b) must be accompanied by the fee specified in 53ZUY 條 提 出 的 申 請，決 定 不 給 予 批 准，則 須 藉 Schedule 3K. 書 面 通 知，將 該 決 定 告 知 該 註 冊 人，該 通 知 須 載 (2) If the Commissioner decides not to give the approval 有 —— applied for by a Category B registrant under section (a) 一項陳述，說明作出該決定的理由；及 53ZUW, 53ZUX or 53ZUY, the Commissioner must inform the registrant of the decision by written (b) 一項陳述，指出該註冊人可向覆核審裁處提出 notice and the notice must include— 申請，要求覆核該決定。 (a) a statement of the reasons for the decision; and (b) a statement that the registrant may apply to the Review Tribunal for a review of the decision. 第 5 分部 ——註冊人有責任展示證明書和作出具報 Division 5—Registrant’s Duty to Display Certificate and Give Notifications 53ZV. 展示註冊證明書 53ZV. Display of certificate of registration (1) 註冊人須在其主要營業地點的顯眼地方，展示註冊 (1) A registrant must display the certificate of 證明書。 registration in a conspicuous place at the principal (2) 註冊人須在其每間分行 ( 如有的話 ) 的顯眼地方， place of business of the registrant. 展示有關的分行證明書。 (2) A registrant must display, in a conspicuous place at (3) 如註冊證明書或分行證明書是以電子紀錄的形式發 each branch of the registrant (if any), the branch 出，而有關註冊人按第 (1) 或 (2) 款 ( 視情況所需而定 ) certificate concerned. 描述的方式，展示該證明書的列印文本，則該註冊 (3) If a certificate of registration or a branch certificate 人須視為遵守第 (1) 或 (2) 款 ( 視情況所需而定 )。 is issued in the form of an electronic record, the registrant concerned is to be regarded as complying with subsection (1) or (2) (as the case requires) if the registrant display a printed copy of the certificate in the manner described in subsection (1) or (2) (as the case requires). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1140 第4條 Section 4 A1141 (4) 在某個互聯網透過網址或藉其他電子方式經營貴金 (4) A registrant who carries on a precious metals and 屬及寶石業務的註冊人，須在該網址或以其他電子 stones business, on a website through the Internet or 方式，提供由關長指明的、用以核實該註冊人的註 by other electronic means, must provide on the 冊人地位的方法。 website or other electronic means a means specified (5) 註 冊 人 無 合 理 辯 解 而 違 反 第 (1)、(2) 或 (4) 款，即 by the Commissioner for verifying the registrant’s 屬犯罪，一經定罪，可處第 5 級罰款。 status as such. (6) 關長可藉於憲報刊登的公告，指明公告中指明的、 (5) A registrant who, without reasonable excuse, 符合某描述的註冊人，會視為已遵守第 (1) 或 (2) 款， contravenes subsection (1), (2) or (4) commits an 前提是該註冊人以該公告中指明的方式，展示註冊 offence and is liable on conviction to a fine at level 5. 證明書或分行證明書。 (6) The Commissioner may, by notice published in the (7) 根據第 (6) 款刊登的公告，不是附屬法例。 Gazette, specify that a registrant of a description specified in the notice is to be regarded as having (8)在本條中 —— complied with subsection (1) or (2) if the registrant 電 子 紀 錄 (electronic record) 具 有《電 子 交 易 條 例》( 第 displays a certificate of registration or a branch 553 章 ) 第 2(1) 條所給予的涵義。 certificate in the manner specified in the notice. (7) A notice published under subsection (6) is not subsidiary legislation. (8) In this section— electronic record (電子紀錄) has the meaning given by section 2(1) of the Electronic Transactions Ordinance (Cap. 553). 53ZVA. 具報詳情改變 53ZVA. Notification of changes of particulars (1) 就 註 冊 人 而 言，本 條 適 用 於 以 下 詳 情 ( 指 明 詳 (1) In relation to a registrant, this section applies to the 情 ) —— following (specified particulars)— (a) 該註冊人已在與根據本部提出的以下申請相關 (a) the particulars that the registrant has provided 的情況下，向關長提供的詳情 —— to the Commissioner in connection with an (i) 要求註冊為 A 類註冊人或 B 類註冊人的 application under this Part for— 申請；或 (i) registration as a Category A registrant or a Category B registrant; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1142 第4條 Section 4 A1143 (ii) B 類註冊人的註冊續期申請； (ii) renewal of registration as a Category B (b) 根據本條具報的任何其他詳情。 registrant; (2) 凡註冊人的任何指明詳情於某日有所改變，該註冊 (b) any other particulars notified under this section. 人須在自該日起計的 1 個月內，藉書面將該項改變 (2) Within 1 month of beginning on the day on which a 向關長具報。 change in any specified particulars occurs in relation (3) 註冊人無合理辯解而違反第 (2) 款，即屬犯罪，一 to a registrant, the registrant must notify the 經定罪，可處第 5 級罰款。 Commissioner, in writing, of the change. (4) 如根據第 (2) 款作出具報的任何改變，是關乎註冊 (3) A registrant who, without reasonable excuse, 證明書或分行證明書 (先前證明書 ) 上指明的詳 contravenes subsection (2) commits an offence and is 情 —— liable on conviction to a fine at level 5. (a) 關長可發出載有經改變的詳情的註冊證明書或 (4) If a change notified under subsection (2) relates to 分行證明書 ( 視情況所需而定 )，以作替代； any particulars specified in a certificate of registration 及 or a branch certificate (earlier certificate)— (b) 自根據 (a) 段發出證明書以作替代先前證明書 (a) the Commissioner may issue, for replacement, a 之日起，先前證明書即不再具有效力。 certificate of registration or a branch certificate (as the case requires) containing the particulars (5) 關長須在接獲第 (2) 款所指的具報後，在合理地切 as changed; and 實可行範圍內，盡快在有需要的情況下，修改註冊 紀錄冊的任何指明詳情。 (b) the earlier certificate ceases to have effect from the day on which a certificate is issued under paragraph (a) for replacing it. (5) The Commissioner must, as soon as reasonably practicable after receiving the notification under subsection (2), amend any specified particulars in the register if necessary. 53ZVB. 具報擬停業等 53ZVB. Notification of intended cessation of business etc. (1) 任何人如屬 A 類註冊人，並有以下意向，須藉書面 (1) A person who is a Category A registrant must notify 向關長具報 —— the Commissioner, in writing, if the person intends— (a) 該人擬停止經營其貴金屬及寶石業務；或 (a) to cease to carry on the person’s precious metals and stones business; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1144 第4條 Section 4 A1145 (b) 該人擬停止在經營其貴金屬及寶石業務中進行 (b) to cease to carry out specified transactions while 指明交易。 carrying on the person’s precious metals and (2) 任何人如屬 B 類註冊人，並有以下意向，須藉書面 stones business. 向關長具報 —— (2) A person who is a Category B registrant must notify (a) 該人擬停止經營其貴金屬及寶石業務；或 the Commissioner, in writing, if the person intends— 該人擬停止在經營其貴金屬及寶石業務中進行 (b) (a) to cease to carry on the person’s precious metals 指明交易及指明現金交易。 and stones business; or (3) 具報須在停業或停止進行交易的生效日期 ( 擬停業 (b) to cease to carry out specified transactions and 日期 ) 前作出。 specified cash transactions while carrying on the person’s precious metals and stones business. (4) 具報須述明 —— (3) The notification must be given before the date on (a) 有關的人的意向是第 (1)(a) 或 (b) 或 (2)(a) 或 (b) which the cessation is to take effect (intended date of 款所提述者；及 cessation). (b) 擬停業日期。 (4) The notification must state— (5) 關長須在所具報的擬停業日期之後，在合理地切實 (a) the person’s intention as referred to in 可行範圍內，盡快從註冊紀錄冊刪除有關詳情。 subsection (1)(a) or (b) or (2)(a) or (b); and (6) 任何人無合理辯解而違反第 (1) 或 (2) 款，即屬犯罪， (b) the intended date of cessation. 一經定罪，可處第 5 級罰款。 (5) The Commissioner must, as soon as reasonably (7) 任何人的註冊一經取消，已就批予該註冊或將該註 practicable after the intended date of cessation, as 冊續期而繳付的費用，均不予退回。 notified, remove the relevant particulars from the (8) 關於有關的人的有關註冊證明書及每份分行證明書 register. ( 如有的話 )，自所具報的擬停業日期起，即不再具 (6) A person who, without reasonable excuse, 有效力。 contravenes subsection (1) or (2) commits an offence and is liable on conviction to a fine at level 5. (7) Any fee paid for the grant or renewal of the registration of a person is not refundable on the cancellation of the registration. (8) The certificate of registration and each branch certificate (if any) in respect of the person cease to have effect from the intended date of cessation, as notified. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1146 第4條 Section 4 A1147 53ZVC. 如何作出具報 53ZVC. How to give notifications 本分部所指的具報須 —— A notification under this Division must be given— (a) 符合關長指明的格式；及 (a) in the form specified by the Commissioner; and (b) 以關長指明的方式作出。 (b) in the way specified by the Commissioner. 第 6 分部 ——紀律處分權力 Division 6—Disciplinary Powers 53ZVD. 第 6 分部的釋義 53ZVD. Interpretation of Division 6 在本分部中 —— In this Division— 紀 律 處 分 權 力 (disciplinary power) 指 關 長 可 根 據 第 disciplinary power (紀律處分權力) means a power that 53ZVE 或 53ZVF 條行使的權力。 may be exercised by the Commissioner under section 53ZVE or 53ZVF. 53ZVE. 針對 A 類註冊人採取的紀律處分行動 53ZVE. Disciplinary action against Category A registrant (1) 在符合第 53ZVG 條的規定下，關長可在第 (2) 款指 (1) Subject to section 53ZVG, the Commissioner may, in 明的任何情況下，就 A 類註冊人行使第 (3) 款指明 any of the situations specified in subsection (2), 的一項或多於一項權力。 exercise, in respect of the Category A registrant, one (2) 有關情況是 —— or more of the powers specified in subsection (3). (a) A 類註冊人違反 —— (2) The situations are that— (i) 根據第 53ZVS 條訂立的規例；或 (a) a Category A registrant contravenes— (ii) 有關註冊的任何條件；及 (i) a regulation made under section 53ZVS; or (b) 第 53ZV、53ZVA 或 53ZVB 條遭違反。 (ii) a condition of the registration; and (3) 有關權力是 —— (b) there is a contravention of section 53ZV, 53ZVA or 53ZVB. (a) 公開譴責有關註冊人；及 (3) The powers are— (b) 命令有關註冊人在關長指明的日期或之前，採 取關長為糾正有關的違反指明的行動。 (a) to publicly reprimand the registrant; and (b) to order the registrant to take, by a date specified by the Commissioner, any action specified by the Commissioner for the purpose of remedying the contravention. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1148 第4條 Section 4 A1149 (4) 在行使紀律處分權力的決定根據第 75 條作為指明 (4) After a decision to exercise a disciplinary power takes 決定而生效後，關長可向公眾披露 —— effect as a specified decision under section 75, the (a) 該決定的細節； Commissioner may disclose to the public— (b) 作出該決定的理由；及 (a) details of the decision; (c) 關於有關個案的任何重要事實。 (b) the reasons for which the decision was made; and (5) 關長行使紀律處分權力前，須給予有關註冊人合理 的陳詞機會。 (c) any material facts relating to the case. (5) The Commissioner may exercise a disciplinary power only after giving the registrant a reasonable opportunity to be heard. 53ZVF. 針對 B 類註冊人採取的紀律處分行動 53ZVF. Disciplinary action against Category B registrant (1) 在符合第 53ZVG 及 53ZVH 條的規定下，關長可在 (1) Subject to sections 53ZVG and 53ZVH, the 第 (2) 款指明的任何情況下，就 B 類註冊人行使第 (3) Commissioner may, in any of the situations specified 款指明的一項或多於一項權力。 in subsection (2), exercise, in respect of the Category (2) 有關情況是 —— B registrant, one or more of the powers specified in subsection (3). (a) B 類註冊人違反 —— (2) The situations are that— (i) 附 表 2 所 列 適 用 於 屬 B 類 註 冊 人 的 指 定 非金融業人士的規定； (a) a Category B registrant contravenes— (ii) 根據第 53ZVS 條訂立的規例；及 (i) a requirement set out in Schedule 2 that applies to DNFBP who is a Category B (iii) 有關註冊的任何條件；及 registrant; (b) 第 53ZUW、53ZUX、53ZUY、53ZV、53ZVA (ii) a regulation made under section 53ZVS; 或 53ZVB 條遭違反。 and (3) 有關權力是 —— (iii) a condition of the registration; and (a) 公開譴責有關註冊人； (b) there is a contravention of section 53ZUW, 53ZUX, 53ZUY, 53ZV, 53ZVA or 53ZVB. (3) The powers are— (a) to publicly reprimand the registrant; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1150 第4條 Section 4 A1151 (b) 命令有關註冊人在關長指明的日期 ( 遵從期限 ) (b) to order the registrant to take, by a date 或之前，採取關長為糾正有關的違反指明的行 specified by the Commissioner (compliance 動 ( 糾正行動 )；及 deadline), any action specified by the 命令有關註冊人繳付不多於 $500,000 的罰款。 (c) Commissioner for the purpose of remedying the contravention (remedial action); and (4) 如 B 類註冊人沒有遵從飭令採取糾正行動的命令 ( 原 命令 )，關長可進一步命令該註冊人，就沒有遵從 (c) to order the registrant to pay a pecuniary 原命令的狀況在須予遵從期限後持續的每一日，繳 penalty not exceeding $500,000. 付不多於 $10,000 的按日罰款。 (4) If a Category B registrant fails to comply with an (5) 根據本條被命令繳付罰款的 B 類註冊人，須在該命 order to take remedial action, the Commissioner may 令根據第 75 條作為指明決定而生效後的以下期間 further order the registrant to pay a daily pecuniary 內，向關長繳付該項罰款 —— penalty not exceeding $10,000 for each day on which the failure continues after the compliance deadline. (a) 30 日；或 (5) A Category B registrant who is ordered to pay a (b) 第 53ZVG 條提述的通知內指明的較長期間。 pecuniary penalty under this section must pay the (6) 在行使紀律處分權力的決定根據第 75 條作為指明 penalty to the Commissioner within— 決定而生效後，關長可向公眾披露 —— (a) 30 days; or (a) 該決定的細節； (b) a longer period specified in the notice referred (b) 作出該決定的理由；及 to in section 53ZVG, (c) 關於有關個案的任何重要事實。 after the order takes effect as a specified decision (7) 關長行使紀律處分權力前，須給予有關註冊人合理 under section 75. 的陳詞機會。 (6) After a decision to exercise a disciplinary power takes effect as a specified decision under section 75, the Commissioner may disclose to the public— (a) details of the decision; (b) the reasons for which the decision was made; and (c) any material facts relating to the case. (7) The Commissioner may exercise a disciplinary power only after giving the registrant a reasonable opportunity to be heard. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1152 第4條 Section 4 A1153 53ZVG. 關於行使紀律處分權力的通知 53ZVG. Notice regarding exercise of disciplinary powers 關長如決定根據第 53ZVE 或 53ZVF 條，就某註冊人行 If the Commissioner decides to exercise a disciplinary 使紀律處分權力，則須藉書面通知，將該決定告知該註 power in respect of a registrant under section 53ZVE or 冊人，該通知 —— 53ZVF, the Commissioner must inform the registrant of (a) 須載有一項陳述，說明作出該決定的理由； the decision by written notice and the notice must— (b) 須指明有關註冊人須根據該決定採取的行動； (a) include a statement of the reasons for the decision; (c) ( 如該決定是公開譴責 ) 須指明對該註冊人的 譴責的內容； (b) specify any action that the registrant is required to take under the decision; (d) 如該決定是向 B 類註冊人施加罰款 —— (c) for a decision to publicly reprimand, specify the (i) 須指明罰款金額；及 terms in which the registrant is to be (ii) ( 如 繳 付 罰 款 的 限 期，是 第 53ZVF(5)(a) reprimanded; 條所提述以外的其他期間 ) 須指明繳付罰 (d) for a decision to impose a pecuniary penalty on 款的該其他期間；及 a Category B registrant— (e) 須載有一項陳述，指出該註冊人可向覆核審裁 (i) specify the amount of the penalty; and 處提出申請，要求覆核該決定。 (ii) if the penalty is to be paid within a period other than that referred to in section 53ZVF(5)(a), specify that other period within which it must be paid; and (e) include a statement that the registrant may apply to the Review Tribunal for a review of the decision. 53ZVH. 對 B 類註冊人施加罰款的指引 53ZVH. Guidelines for imposing pecuniary penalty on Category B (1) 關長須公布指引，示明關長擬採用何種方式，根據 registrant 第 53ZVF 條，行 使 有 關 紀 律 處 分 權 力，以 對 B 類 (1) The Commissioner must publish guidelines indicating 註冊人施加罰款。 the way in which the Commissioner proposes to exercise the disciplinary power to impose a pecuniary penalty on a Category B registrant under section 53ZVF. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1154 第4條 Section 4 A1155 (2) 上述指引須 —— (2) The guidelines must be— (a) 在關長第一次行使紀律處分權力以施加罰款之 (a) published before the Commissioner exercises a 前公布；及 disciplinary power to impose a pecuniary (b) 在憲報刊登，並以關長認為適當的任何其他方 penalty for the first time; and 式發布。 (b) published in the Gazette and in any other way (3) 關長在行使紀律處分權力以施加罰款時，須顧及已 that the Commissioner considers appropriate. 公布的指引。 (3) In exercising the disciplinary power to impose a (4) 上述指引不是附屬法例。 pecuniary penalty, the Commissioner must have regard to the published guidelines. (4) The guidelines are not subsidiary legislation. 53ZVI. 登記施加罰款的命令 53ZVI. Registration of pecuniary penalty order (1) 原訟法庭可應關長提出的申請，將飭令繳付罰款的 (1) The Court of First Instance may, on application 命令，在該法庭登記。 made by the Commissioner, register in that Court an (2) 上述申請須藉以下方式提出：將要求將有關命令登 order to pay a pecuniary penalty. 記的書面通知，連同該命令的正本及一份複本，送 (2) The application must be made by producing to the 交高等法院司法常務官。 Registrar of the High Court a written notice, (3) 有關命令一經登記，就所有目的而言，即視為原訟 requesting that the order be registered, together with 法庭在其民事司法管轄權範圍內作出的飭令繳付款 the original and a copy of the order. 項的命令。 (3) On registration, the order is to be regarded for all (4) 在本條中 —— purposes as an order of the Court of First Instance made within the civil jurisdiction of that Court for 罰 款 (pecuniary penalty) 指 根 據 第 53ZVF(3)(c) 或 (4) 條 the payment of money. 命令繳付的罰款。 (4) In this section— pecuniary penalty (罰款) means a pecuniary penalty ordered to be paid under section 53ZVF(3)(c) or (4). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1156 第4條 Section 4 A1157 53ZVJ. 紀律處分權力就 B 類註冊人的董事適用的情況 53ZVJ. Application of disciplinary powers in respect of directors of (1) 本條在以下情況下適用 —— Category B registrants (a) 關長在與第 53ZVF(2)(a)(i) 條提述的違反行為 (1) This section applies if— 相關的情況下，就屬法團的 B 類註冊人行使紀 (a) the Commissioner exercises a disciplinary power 律處分權力；及 in respect of a Category B registrant that is a (b) 該法團的某董事符合以下其中一項描述 —— corporation in connection with a contravention referred to in section 53ZVF(2)(a)(i); and (i) 該 項 違 反 行 為，是 該 法 團 某 董 事 所 導 致 或容許的；或 (b) either— (ii) 該 董 事 沒 有 採 取 合 理 步 驟，以 防 止 該 項 (i) the contravention was caused or allowed 違反行為。 by a director of the corporation; or (2) 關長亦可就有關董事行使紀律處分權力，猶如該董 (ii) the director failed to take reasonable steps 事是 B 類註冊人一樣。 to prevent the contravention. (3) 本分部須據此解釋。 (2) A disciplinary power is also exercisable by the Commissioner in respect of the director as if the director were a Category B registrant. (3) This Division is to be construed accordingly. 第 7 分部 ——非香港貴金屬及寶石交易商 Division 7—Non-Hong Kong Precious Metals and Stones Dealers 53ZVK. 非香港貴金屬及寶石交易商，須將現金交易報告存檔 53ZVK. Non-Hong Kong precious metals and stones dealer must file (1) 非香港貴金屬及寶石交易商，須就其進行的任何指 cash transaction report 明現金交易，按照第 (2) 款向關長呈交報告。 (1) A non-Hong Kong precious metals and stones dealer (2) 上述報告 —— must give to the Commissioner a report, in respect of any specified cash transaction carried out by the (a) 須以關長指明的格式及方式呈交； dealer, in accordance with subsection (2). (2) The report must— (a) be given in the form specified by the Commissioner and in the way specified by Commissioner; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1158 第4條 Section 4 A1159 (b) 須載有附表 3J 所列的資料；及 (b) contain the information set out in Schedule 3J; (c) 須在切實可行的範圍內盡快呈交，而無論如何 and 須在以下時間 ( 以較早者為準 ) 之前呈交 —— (c) be given as soon as practicable and in any event (i) 有關交易翌日屆滿時； before the earlier of the following— 指明個人最早離開香港之時。 (ii) (i) the expiry of 1 day after the transaction; (3) 任何人無合理辯解而違反第 (1) 款，即屬犯罪，一 (ii) the earliest time when a specified individual 經定罪，可處第 5 級罰款及監禁 3 個月。 leaves Hong Kong. 在本條中 —— (4) (3) A person who, without reasonable excuse, contravenes subsection (1) commits an offence and is 指明個人 (specified individual) 就某非香港貴金屬及寶石 liable on conviction to a level 5 fine and to 交 易 商 進 行 的 指 明 現 金 交 易 而 言，指 每 名 以 下 人 imprisonment for 3 months. 士 —— (4) In this section— (a) ( 如 該 交 易 商 屬 個 人，並 在 交 易 時 身 處 香 港 ) 該交易商； specified individual (指明個人), in relation to a specified cash transaction carried out by a non-Hong Kong (b) 在該交易中代表該交易商行事的個人。 precious metals and stones dealer, means each of the following— (a) the dealer if the dealer is an individual and is in Hong Kong at the time of the transaction; (b) an individual acting on behalf of the dealer in the transaction. 第 8 分部 ——強制執行 Division 8—Enforcement 53ZVL. 關長可委任獲授權人員 53ZVL. Commissioner may appoint authorized officers 關長可為施行本部，藉書面委任受僱於香港海關服務的 The Commissioner may appoint, in writing, a public 任何公職人員，擔任獲授權人員。 officer employed in the Customs and Excise Department to be an authorized officer for the purposes of this Part. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1160 第4條 Section 4 A1161 53ZVM. 裁判官發出進入處所的手令 53ZVM. Magistrate’s warrant to enter premises (1) 如裁判官根據經宣誓而作的告發，信納有合理理由 (1) A magistrate may issue a warrant authorizing an 懷疑有符合以下說明的情況，則可發出手令，授權 authorized officer to take the actions referred to in 獲授權人員採取第 (2) 款提述的行動 —— subsection (2) if satisfied by information on oath that (a) 有人 —— there are reasonable grounds to suspect that— (i) 正 於 某 處 所，犯 第 53ZUE 或 53ZVK 條 (a) an offence under section 53ZUE or 53ZVK— 所訂罪行；或 (i) is being committed on any premises; or (ii) 曾 於 某 處 所，犯 第 53ZUE 或 53ZVK 條 (ii) has been committed on any premises; and 所訂罪行；及 (b) there is or may be on any premises anything (b) 在某處所內有或可能有任何物件，屬或包含犯 that is or contains evidence of an offence under 第 53ZUE 或 53ZVK 條所訂罪行的證據。 section 53ZUE or 53ZVK. (2) 有關行動是 —— (2) The actions are— (a) 進入和搜查有關處所；及 (a) to enter and search the premises; and (b) 以下行動 —— (b) to seize, remove or detain— (i) 檢取、移走或扣留於該處所發現的、符合 (i) any record or document, or any cash or 以下說明的任何紀錄、文件、現金或其他 other article, found on the premises that— 物品 —— (A) is, or appears to the authorized officer (A) 屬 犯 涉 嫌 罪 行 的 證 據，或 是 有 關 獲 to be or to contain, evidence of the 授權人員覺得屬或包含涉嫌犯有關 commission of the suspected offence; 罪行的證據；或 or (B) 有關獲授權人員覺得相當可能屬或 (B) appears to the authorized officer to 包含該等證據；及 be likely to be or to contain the (ii) 如 有 關 獲 授 權 人 員 有 合 理 因 由 相 信，在 evidence; and 就涉嫌犯有關罪行而進行的法律程序中， (ii) anything that the authorized officer has 某 物 件 可 能 需 用 作 證 據 ——檢 取、移 走 reasonable cause to believe may be required 或扣留該物件。 as evidence in proceedings for the suspected offence. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1162 第4條 Section 4 A1163 (3) 獲有關手令授權的獲授權人員 —— (3) An authorized officer authorized under the warrant (a) 可召請任何人協助該人員進入和搜查有關處 may— 所； (a) call on any person to assist the officer in (b) 可破門並強行進入該處所； entering and searching the premises; (c) 可動用武力，移走任何妨礙該人員行使有關權 (b) break into and forcibly enter the premises; 力的人或物件；及 (c) remove by force any person or thing obstructing (d) 如覺得於該處所內發現的某人，有能力 ( 或相 the officer in the exercise of those powers; and 當可能有能力 ) 提供與涉嫌罪行相關的調查的 (d) detain any person found on the premises who 資料，則可扣留該人，直至該處所搜查完畢為 appears to the officer to be, or to be likely to be, 止。 able to give information relevant to the (4) 獲授權人員如根據本條進入任何處所，須在有人提 investigation of the suspected offence until the 出要求時，出示有關手令供查閱。 premises have been searched. (5) 任何人妨礙獲授權人員行使本條所賦予的權力，即 (4) An authorized officer who enters any premises under 屬犯罪，一經定罪，可處第 6 級罰款及監禁 6 個月。 this section must, if required, produce the warrant for inspection. 在本條中 —— (6) (5) A person who obstructs an authorized officer in the 獲授權人員 (authorized officer) 指根據第 53ZVL 條獲委 exercise of a power conferred under this section 任擔任獲授權人員的人。 commits an offence and is liable on conviction to a fine at level 6 and to imprisonment for 6 months. (6) In this section— authorized officer (獲授權人員) means a person appointed as an authorized officer under section 53ZVL. 53ZVN. 要求交出可閱讀形式材料的權力 53ZVN. Power to require production of material in legible form (1) 如載於任何紀錄或文件內的資料或事項 ( 材料 ) 符 (1) This section applies in relation to any information or 合以下說明，則本條就其適用 —— matter (material) contained in a record or document (a) 該項材料是在根據手令進入的處所內發現的； that— 及 (a) is found on any premises entered under a (b) 該項材料並非屬可閱讀形式，或該項材料是在 warrant; and 資訊系統內的。 (b) is not in a legible form or is in an information system. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1164 第4條 Section 4 A1165 (2) 如材料並非屬可閱讀形式，但能夠以可閱讀形式重 (2) If the material that is not in a legible form can be 現，有關獲授權人員可要求第 (4) 款提述的人，交 reproduced in a legible form, the authorized officer 出屬可閱讀形式的該項材料 ( 或其有關部分 )。 may require a person referred to in subsection (4) to (3) 如材料是在資訊系統內的，有關獲授權人員可要求 produce the material or the relevant part of it in a 第 (4) 款 指 明 的 人，交 出 屬 某 形 式 的 該 項 材 料 ( 或 legible form. 其有關部分 )，而該形式須屬能夠使該項材料 ( 或 (3) If the material is in an information system, the 該有關部分 ) 以可閱讀形式重現。 authorized officer may require a person specified in (4) 現為施行第 (2) 及 (3) 款，指明以下人士 —— subsection (4) to produce the material or the relevant part of it in a form that enables it to be reproduced (a) 有關獲授權人員覺得是有關處所負責人的人； in a legible form. (b) 有關獲授權人員覺得是有能力 ( 或相當可能有 (4) The following persons are specified for the purposes 能力 ) 作出以下事情的人 —— of subsections (2) and (3)— (i) 交出屬可閱讀形式的有關材料；或 (a) a person who appears to the authorized officer (ii) 交 出 屬 某 形 式 的 有 關 材 料，而 該 形 式 屬 to be in charge of the premises; 能夠使該項材料以可閱讀形式重現者。 (b) a person who appears to the authorized officer (5) 任何人妨礙獲授權人員行使本條下的權力，即屬犯 to be able, or likely to be able, to produce the 罪，一經定罪，可處第 6 級罰款及監禁 6 個月。 material— 在本條中 —— (6) (i) in a legible form; or 獲授權人員 (authorized officer) 指獲根據第 53ZVM 條發 (ii) in a form that enables it to be reproduced 出的手令授權的獲授權人員 ( 第 53ZVM(6) 條所界 in a legible form. 定者 )。 (5) A person who obstructs an authorized officer in the exercise of a power under this section commits an offence and is liable on conviction to a fine at level 6 and to imprisonment for 6 months. (6) In this section— authorized officer (獲授權人員) means an authorized officer (as defined by section 53ZVM(6)) authorized by a warrant issued under section 53ZVM. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1166 第4條 Section 4 A1167 53ZVO. 獲授權人員拘捕及搜查等的權力 53ZVO. Authorized officer’s power to arrest and search etc. (1) 在以下情況下，獲授權人員可無需手令而將任何人 (1) An authorized officer may, without a warrant, arrest 拘捕或扣留，以作進一步查訊 —— a person or detain a person for further enquiries if— (a) 該人員有合理理由懷疑，該人曾犯或正在犯第 (a) the authorized officer has reasonable grounds to 53ZUE 或 53ZVK 條所訂罪行；或 suspect that the person has committed, or is (b) 該人員有合理理由懷疑，該人曾犯或正在犯本 committing, an offence under section 53ZUE or 部所訂罪行 ( 第 53ZUE 或 53ZVK 條所訂者除 53ZVK; or 外 )，而該人員覺得由於以下原因，送達傳票 (b) the authorized officer has reasonable grounds to 並非切實可行 —— suspect that the person has committed or is (i) 該人員既不知道亦不能輕易確定該人的 committing an offence under this Part, other 姓名； than an offence under section 53ZUE or 53ZVK, and it appears to the authorized officer (ii) 該 人 員 有 合 理 理 由 懷 疑，該 人 提 供 的 本 that service of a summons is impracticable 人姓名，並非該人的真實姓名； because— (iii) 該人未能提供令人滿意的傳票送達地址； (i) the name of the person is unknown to, and 或 cannot readily be ascertained by, the (iv) 該 人 員 有 合 理 理 由 懷 疑，該 人 提 供 的 供 authorized officer; 送達傳票的地址，並非有效地址。 (ii) the authorized officer has reasonable (2) 獲授權人員如根據本條拘捕或扣留任何人，須在有 grounds to suspect that a name given by 人提出要求時，出示其獲委任擔任獲授權人員的證 the person as his or her name is not the 據。 person’s true name; (iii) the person has failed to give a satisfactory address for service of the summons; or (iv) the authorized officer has reasonable grounds to suspect that an address given by the person as an address for service of the summons is not a valid address. (2) An authorized officer who arrests or detains a person under this section must, if requested, produce evidence of his or her appointment as an authorized officer. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1168 第4條 Section 4 A1169 (3) 獲授權人員如根據第 (1) 款拘捕任何人之後，須立 (3) An authorized officer who arrests a person under 即將該人帶往警署，以按照《警隊條例》( 第 232 章 ) subsection (1) must take the person to a police 處理。 station to be dealt with in accordance with the Police (4) 然而，如需要作進一步查訊，獲授權人員可先行將 Force Ordinance (Cap. 232). 該人帶往香港海關辦事處作進一步查訊，然後將該 (4) However, if further inquiries are necessary, an 人帶往警署，以按照《警隊條例》( 第 232 章 ) 處理。 authorized officer may first take the person to an (5) 任何人無論已被拘捕與否，均不得被扣留超過 48 office of the Customs and Excise Service for further 小時而不予落案起訴及帶到裁判官席前應訊。 inquiries and then to a police station to be dealt with in accordance with the Police Force Ordinance (Cap. (6) 如任何人強行反抗或企圖逃避根據本條進行的拘捕 232). 或扣留，則獲授權人員可使用合理所需的武力，以 拘捕或扣留該人。 (5) A person, whether arrested or not, must not be detained for more than 48 hours without being (7) 如 獲 授 權 人 員 已 根 據 本 條 拘 捕 任 何 人，該 人 員 charged and brought before a magistrate. 可 —— (6) If a person forcibly resists, or attempts to evade, (a) 對該人進行搜身，或搜查拘捕該人所在地方及 arrest or detention under this section, the authorized 其周邊範圍，以搜尋可能關乎涉嫌罪行的任何 officer may use any force that is reasonably necessary 物件；及 to effect the arrest or detention. (b) 接管因行使 (a) 段所指的權力而發現的、該人 (7) if an authorized officer has arrested a person under 員有合理理由懷疑屬關乎涉嫌罪行的任何物件。 this section, the officer may— 在本條中 —— (8) (a) search the person, or the place at which the 獲授權人員 (authorized officer) 指根據第 53ZVL 條獲委 person has been arrested and its surrounding 任擔任獲授權人員的人。 areas, for anything that may be related to the suspected offence; and (b) take possession of anything found as a result of the exercise of the power under paragraph (a) that the authorized officer has reasonable grounds to suspect is related to the suspected offence. (8) In this section— authorized officer (獲授權人員) means a person appointed as an authorized officer under section 53ZVL. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1170 第4條 Section 4 A1171 第 9 分部 ——雜項條文 Division 9—Miscellaneous 53ZVP. 本條例如何適用於小販 53ZVP. How this Ordinance applies to hawker (1) 凡任何人屬就經營貴金屬及寶石業務而持有小販牌 (1) This section applies to a person who is a hawker 照的小販，本條適用於該人。 holding a hawker licence in relation to the carrying (2) 如上述的人提出的申請附有上述小販牌照的複本， on of a precious metals and stones business. 則就該申請而言，要求申請附有有效商業登記證的 (2) A requirement under this Part for an application 複本的本部之下的規定，即視為已獲遵守。 under this Part to be accompanied by a copy of a (3) 如上述的人依賴第 (2) 款，獲註冊為註冊人，在本 valid business registration certificate is taken to be 條例中凡提述註冊人不再持有有效商業登記證，須 complied with, in respect of an application made by 視為指 —— the person, if the application is accompanied by a copy of the hawker licence. (a) 該人不再持有上述小販牌照；或 (3) If the person is registered as a registrant by relying (b) 該人的小販牌照根據《公眾衞生及巿政條例》( 第 on subsection (2), a reference in this Ordinance to a 132 章 ) 第 125(1)(b) 條被暫時吊銷。 registrant ceasing to hold a valid business registration (4) 如上述的人依賴第 (2) 款，獲註冊為註冊人，在本 certificate is taken to mean— 條例中凡提述用作與客户進行面對面交易的處所、 (a) the person ceasing to hold the hawker licence; 業務處所或營業地點，須視為包括 —— or (a) 上述牌照所指明的該人可進行販賣的固定攤位 (b) the person’s hawker licence being suspended 的位置；或 under section 125(1)(b) of the Public Health (b) 上述牌照所指明的該人可進行販賣的範圍。 and Municipal Services Ordinance (Cap. 132). (4) If the person is registered as a registrant by relying on subsection (2), a reference in this Ordinance to premises used for the purpose of the carrying out of face-to-face transactions with customers or business premises or a place of business is taken to include— (a) the location of the fixed pitch from which the person may hawk, as specified in the licence; or (b) the areas in which the person may hawk, as specified in the licence. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1172 第4條 Section 4 A1173 (5) 在經必要的變通後，本條例據此而適用。 (5) Subject to any necessary modifications, this 在本條中 —— (6) Ordinance applies accordingly. 小販牌照 (hawker licence) 指根據《小販規例》( 第 132 章， (6) In this section— 附屬法例 AI) 第 2 部發出的牌照。 hawker licence (小販牌照) means a licence issued under Part 2 of the Hawker Regulation (Cap. 132 sub. leg. AI). 53ZVQ. 修訂附表 3H 至 3K 53ZVQ. Amendment of Schedules 3H to 3K (1) 財經事務及庫務局局長可藉於憲報刊登的公告，修 (1) The Secretary for Financial Services and the Treasury 訂附表 3H 及 3I。 may, by notice published in the Gazette, (2) 關長可藉於憲報刊登的公告，修訂附表 3J 及 3K。 amend Schedules 3H and 3I. (2) The Commissioner may, by notice published in the Gazette, amend Schedules 3J and 3K. 53ZVR. 關長可寬免費用 53ZVR. Commissioner may waive fee 關長可就某人或某類別的人，寬免本部規定繳付的整項 The Commissioner may, in relation to any person or class 或部分費用。 of persons, waive, in whole or in part, the payment of any fee under this Part. 53ZVS. 規例 53ZVS. Regulations 海關關長可訂立規例，以更佳地施行本部的條文，及達 The Commissioner of Customs and Excise may make 致本部的目的。 regulations for the better carrying out of the provisions and purposes of this Part. 53ZVT. 提供虛假或具誤導性資料屬罪行 53ZVT. Offence of providing false or misleading information (1) 任何人在指明文件中或為指明目的 —— (1) A person commits an offence if the person in a (a) 作出在要項上屬虛假或具誤導性的陳述；及 specified document or for a specified purpose— (a) makes a statement that is false or misleading in a material particular; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1174 第4條 Section 4 A1175 (b) 知道該項陳述在要項上屬虛假或具誤導性，或 (b) knows that, or is reckless as to whether, the 罔顧該項陳述是否在要項上屬虛假或具誤導性， statement is false or misleading in a material 即屬犯罪。 particular. (2) 任何人在指明文件中或為指明目的 —— (2) A person commits an offence if the person in a specified document or for a specified purpose— (a) 在某項陳述中，遺漏任何要項，致使該項陳述 成為虛假或具誤導性的陳述；及 (a) omits a material particular from a statement with the result that the statement is rendered (b) 知道該項陳述遺漏該要項，或罔顧該項陳述是 false or misleading; and 否遺漏該要項， (b) knows that, or is reckless as to whether, the 即屬犯罪。 material particular is omitted from the (3) 任何人犯第 (1) 或 (2) 款所訂罪行，一經定罪，可處 statement. 第 5 級罰款及監禁 6 個月。 (3) A person who commits an offence under subsection 在本條中 —— (4) (1) or (2) is liable on conviction to a fine at level 5 指明文件 (specified document) 指 —— and to imprisonment for 6 months. (a) 根據本部向關長提出的申請； (4) In this section— (b) 根據本部向關長作出的具報；或 specified document (指明文件) means— 為本部的任何目的而向關長提供的任何其他文 (c) (a) an application made to the Commissioner under 件； this Part; 指 明 目 的 (specified purpose) 指 與 根 據 本 部 向 關 長 提 出 (b) a notification given to the Commissioner under 的申請相關的目的，或與根據本部向關長作出的具 this Part; or 報相關的目的。 (c) any other document provided to the Commissioner for any purpose under this Part; specified purpose (指明目的) means a purpose in connection with an application made to the Commissioner under this Part or a notification given to the Commissioner under this Part. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1176 第4條 Section 4 A1177 53ZVU. 檢控時限 53ZVU. Time limit for prosecution 儘管有《裁判官條例》( 第 227 章 ) 第 26 條的規定，就本 Despite section 26 of the Magistrates Ordinance (Cap. 部所訂罪行 ( 可公訴罪行除外 ) 而提起的法律程序，可 227), proceedings may be instituted for an offence, other 於關長發現有關罪行後 12 個月內提起。 than an indictable offence, under this Part within 12 months after the offence is discovered by the Commissioner. 53ZW. 原有交易商的過渡安排 53ZW. Transitional arrangements for existing dealer (1) 本條適用於原有貴金屬及寶石交易商，即符合以下 (1) This section applies to an existing precious metals 說明的人士：在緊接 2023 年 4 月 1 日前 —— and stones dealer, that is to say a person who (a) 一直經營貴金屬及寶石業務；及 immediately before 1 April 2023— (b) 為該目的而持有有效商業登記證。 (a) has been carrying on a precious metals and stones business; and (2) 自 2023 年 4 月 1 日 起，原 有 貴 金 屬 及 寶 石 交 易 商 即當作 B 類註冊人，而本條例據此就該交易商而適 (b) for that purpose, held a valid business 用。 registration certificate. (3) 如是當作註冊人的人沒有於過渡期內，申請註冊為 (2) An existing precious metals and stones dealer is A 類註冊人或 B 類註冊人，則在以下事件中最早發 deemed to be a Category B registrant with effect 生者發生時，該人即不再是當作註冊人 —— from 1 April 2023, and this Ordinance applies in relation to the dealer accordingly. (a) 過渡期結束； (3) If a person who is a deemed registrant does not (b) 如 該 人 已 向 關 長 具 報，該 人 的 意 向 是 第 apply for registration as a Category A registrant or a 53ZVB(2)(a) 或 (b) 條 所 提 述 者 ——所 具 報 的 Category B registrant during the transitional period, 擬停業日期 ( 第 53ZVB(3) 條所界定者 ) 開始時； the person ceases to be a deemed registrant when the earliest of the following events occurs— (a) the transitional period ends; (b) if the person has notified the Commissioner that the person has the intention referred to in section 53ZVB(2)(a) or (b)—the intended date of cessation (as defined by section 53ZVB(3)), as notified, begins; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1178 第4條 Section 4 A1179 (c) 該人不再持有有效商業登記證； (c) the person ceases to hold a valid business (d) 有 第 53ZUT(c)、(d) 或 (e) 條 提 述 的 事 件 就 該 registration certificate; 人發生。 (d) an event referred to in section 53ZUT(c), (d) or (4) 如是當作註冊人的人於過渡期內，申請註冊為 A 類 (e) occurs in relation to the person. 註冊人或 B 類註冊人，則在以下事件中最早發生者 (4) If a person who is a deemed registrant applies for 發生時，該人即不再是當作註冊人 —— registration as a Category A registrant or a Category (a) 關長將該人註冊為 A 類註冊人或 B 類註冊人； B registrant during the transitional period, the person ceases to be a deemed registrant when the (b) 關長拒絕將該人註冊此一決定，根據第 75 條 earliest of the following events occurs— 作為指明決定而生效； (a) the Commissioner registers the person as a (c) 該註冊申請被撤回； Category A registrant or a Category B (d) 如 該 人 已 向 關 長 具 報，該 人 的 意 向 是 第 registrant; 53ZVB(2)(a) 或 (b) 條 所 提 述 者 ——所 具 報 的 (b) the Commissioner’s decision not to register the 擬停業日期 ( 第 53ZVB(3) 條所界定者 ) 開始時； person takes effect as a specified decision under (e) 該人不再持有有效商業登記證； section 75; (f) 有 第 53ZUT(c)、(d) 或 (e) 條 提 述 的 事 件 就 該 (c) the application to register is withdrawn; 人發生。 (d) if the person has notified the Commissioner (5) 如當作註冊人屬個人，而就該註冊人而言，有最終 that the person has the intention referred to in 擁有人 —— section 53ZVB(2)(a) or (b)—the intended date (a) 當該名個人仍然是當作註冊人時，該最終擁有 of cessation (as defined by section 53ZVB(3)), 人即當作已根據第 53ZUW 條獲批准；及 as notified, begins; (e) the person ceases to hold a valid business registration certificate; (f) an event referred to in section 53ZUT(c), (d) or (e) occurs in relation to the person. (5) If the deemed registrant is an individual in relation to whom there is an ultimate owner— (a) the ultimate owner is deemed to have been approved under section 53ZUW while the individual remains to be a deemed registrant; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1180 第4條 Section 4 A1181 (b) 本條例據此就該最終擁有人而適用。 (b) this Ordinance applies in relation to the ultimate (6) 如當作註冊人屬合夥 —— owner accordingly. (a) 如就該合夥而言，有最終擁有人 ——當該合夥 (6) If the deemed registrant is a partnership— 仍然是當作註冊人時，該最終擁有人即當作已 (a) if there is an ultimate owner in relation to the 根據第 53ZUW 條獲批准； partnership—the ultimate owner is deemed to (b) 當該合夥仍然是當作註冊人時，該合夥的每名 have been approved under section 53ZUW while 合夥人，均當作已根據第 53ZUX 條獲批准； the partnership remains to be a deemed 及 registrant; (c) 本條例據此就該最終擁有人及每名合夥人而適 (b) each partner of the partnership is deemed to 用。 have been approved under section 53ZUX while the partnership remains to be a deemed (7) 如當作註冊人屬法團 —— registrant; and (a) 如就該法團而言，有最終擁有人 ——當該法團 (c) this Ordinance applies in relation to the ultimate 仍然是當作註冊人時，該最終擁有人即當作已 owner and each partner accordingly. 根據第 53ZUW 條獲批准； (7) If the deemed registrant is a corporation— (b) 當該法團仍然是當作註冊人時，該法團的每名 董事，均當作已根據第 53ZUY 條獲批准；及 (a) if there is an ultimate owner in relation to the corporation—the ultimate owner is deemed to (c) 本條例據此就該最終擁有人及每名董事而適用。 have been approved under section 53ZUW while (8)在本條中 —— the corporation remains to be a deemed 當作註冊人 (deemed registrant) 指任何根據第 (2) 款當作 registrant; 為 B 類註冊人的人； (b) each director of the corporation is deemed to have been approved under section 53ZUY while the corporation remains to be a deemed registrant; and (c) this Ordinance applies in relation to the ultimate owner and each director accordingly. (8) In this section— deemed registrant (當作註冊人) means a person who is deemed to be a Category B registrant under subsection (2); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1182 第5條 Section 5 A1183 過渡期 (transitional period) 指自 2023 年 4 月 1 日起計的 transitional period (過渡期) means the period of 9 months 9 個月期間。” 。 beginning on 1 April 2023.”. 5. 加入附表 3B 至 3K 5. Schedules 3B to 3K added 在附表 3A 之後 —— After Schedule 3A— 加入 Add “附表 3B “Schedule 3B [ 第 53ZR 及 53ZTM 條及 [ss. 53ZR & 53ZTM & 附表 3G] Sch. 3G] 虛擬資產服務 VA Service 第1部 Part 1 虛擬資產服務 VA Service 1. 經營虛擬資產交易所，即透過電子設施方式，提供符合 1. Operating a VA exchange, that is to say, providing 以下說明的服務 —— services through means of electronic facilities— (a) 藉該項服務 —— (a) whereby— (i) 買 賣 虛 擬 資 產 的 要 約，經 常 以 某 種 方 式 (i) offers to sell or purchase virtual assets are 被 提 出 或 接 受，而 以 該 種 方 式 提 出 或 接 regularly made or accepted in a way that 受該等要約，形成具約束力的交易，或導 forms or results in a binding transaction; 致具約束力的交易產生；或 or (ii) 人 與 人 之 間 經 常 互 相 介 紹 或 辨 識，以 期 (ii) persons are regularly introduced, or 洽 商 或 完 成 虛 擬 資 產 的 買 賣，或 經 常 在 identified to other persons in order that 有他們將會以某種方式洽商或完成虛擬 they may negotiate or conclude, or with 資產的買賣的合理期望的情況下互相介 the reasonable expectation that they will 紹 或 辨 識，而 以 該 種 方 式 洽 商 或 完 成 該 negotiate or conclude sales or purchases of 等買賣，形成具約束力的交易，或導致具 virtual assets in a way that forms or results 約束力的交易產生；及 in a binding transaction; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1184 第5條 Section 5 A1185 (b) 在該項服務中，客户款項或客户虛擬資產由提 (b) where client money or client virtual assets 供該項服務的人直接或間接管有。 comes into direct or indirect possession of the person providing such service. 第2部 Part 2 釋義 Interpretation 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5B 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5B, has the same meaning as 義相同。 in that Part. 附表 3C Schedule 3C [ 第 53ZR 及 53ZTM 條 ] [ss. 53ZR & 53ZTM] 關於第 5B 部的費用 Fees in relation to Part 5B 第1部 Part 1 訂明費用 Prescribed Fees 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項目 事宜詳情 費用 Item Particulars of matter Fee 1. 根據第 53ZRI(1)(a) 條就以下事 1. Prescribed fee payable under 宜須繳付的訂明費用 —— section 53ZRI(1)(a) for— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1186 第5條 Section 5 A1187 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項目 事宜詳情 費用 Item Particulars of matter Fee (a) 提供根據第 53ZRH 條 每頁 $9 (a) providing an $9 per page 備存的登記冊的記項 uncertified copy of an 或摘錄的未經核證複 entry in, or extract 本 from, a register (b) 核證上述登記冊的記 $200 maintained under 項或摘錄的複本 section 53ZRH (b) certifying a copy of $200 2. 提供第 53ZRI(1)(b) 條指明的證 $200 an entry in, or extract 明書的訂明費用 from, the register 3. 根據第 53ZRK 條申請批給持牌 每項虛擬資產 2. Prescribed fee for providing a $200 提供者牌照須繳付的訂明費用 服務 $4,740 certificate specified in section 53ZRI(1)(b) 4. 根據第 53ZRL 條申請批給持牌 每項虛擬資產 代表牌照須繳付的訂明費用 服務 $1,790 3. Prescribed fee payable under $4,740 for a section 53ZRK on an application VA service 5. 根據第 53ZRM 條申請批准持 $200 for the grant of a licence for a 牌代表隸屬關係須繳付的訂明 licensed provider 費用 4. Prescribed fee payable under $1,790 for a section 53ZRL on an application VA service for the grant of a licence for a licensed representative 5. Prescribed fee payable under $200 section 53ZRM on an application for approval of an accreditation of a licensed representative <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1188 第5條 Section 5 A1189 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項目 事宜詳情 費用 Item Particulars of matter Fee 6. 根據第 53ZRM 條申請批准轉 每項虛擬資產 6. Prescribed fee payable under $200 for a VA 移持牌代表隸屬關係須繳付的 服務 $200 section 53ZRM on an service 訂明費用 application for approval of a transfer of an accreditation of a 7. 根據第 53ZRN 條申請更改虛擬 licensed representative 資產服務須繳付的訂明費用 —— (a) 如屬持牌提供者 —— 7. Prescribed fee payable under section 53ZRN on an application (i) 增加任何虛擬資 每項虛擬資產 for variation of any VA service— 產服務 服務 $4,740 (a) in the case of a (ii) ( 在不抵觸第 (iii) 每項虛擬資產 licensed provider— 節的條文下 ) 移 服務 $200 (i) for adding any VA $4,740 for each 除任何虛擬資產 service VA service 服務 (ii) for removing any $200 for each (iii) 移除所有虛擬資 無 VA service (subject VA service 產服務 to subparagraph (b) 如屬持牌代表 —— (iii)) (i) 增加任何虛擬資 每項虛擬資產 (iii) for removing all Nil 產服務 服務 $1,790 VA services (ii) ( 在不抵觸第 (iii) 每項虛擬資產 (b) in the case of a licensed 節的條文下 ) 移 服務 $200 representative— 除任何虛擬資產 (i) for adding any VA $1,790 for each 服務 service VA service (ii) for removing any $200 for each VA service VA service (subject to subparagraph (iii)) <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1190 第5條 Section 5 A1191 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項目 事宜詳情 費用 Item Particulars of matter Fee (iii) 移除所有虛擬資 無 (iii) for removing all Nil 產服務 VA services 8. 根據第 53ZRP(1) 條申請批准某 每項虛擬資產 8. Prescribed fee payable under $2,950 for a 人擔任負責人員須繳付的訂明 服務 $2,950 section 53ZRP(1) on an VA service 費用 application for approval to be a responsible officer 9. 根據第 53ZRQ(2) 條申請批准成 $3,000 為最終擁有人須繳付的訂明費 9. Prescribed fee payable under $3,000 用 section 53ZRQ(2) on an application for approval to be an 10. 根據第 53ZRR 條申請批准處所 $1,000 ultimate owner 須繳付的訂明費用 10. Prescribed fee payable under $1,000 11. 根據第 53ZRY 條須繳付的訂明 section 53ZRR on an application 年費 —— for approval of premises (a) 如屬持牌提供者 每項虛擬資產 11. Prescribed annual fee payable 服務 $4,740 under section 53ZRY— (b) 如屬持牌代表 —— (a) in the case of a $4,740 for a licensed provider VA service (b) in the case of a licensed representative— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1192 第5條 Section 5 A1193 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項目 事宜詳情 費用 Item Particulars of matter Fee (i) 該代表未獲批准 每項虛擬資產 (i) who is not $1,790 for a 擔任持牌提供者 服務 $1,790 approved as a VA service ( 由該代表代為提 responsible officer 供虛擬資產服務 of the licensed 者 ) 的負責人員 provider on whose (ii) 該代表獲批准擔 每項虛擬資產 behalf the licensed 任持牌提供者 ( 由 服務 $4,740 representative 該代表代為提供 provides a VA 虛擬資產服務者 ) service 的負責人員 (ii) who is approved $4,740 for a as a responsible VA service officer of the licensed provider on whose behalf the licensed representative provides a VA service 第2部 Part 2 釋義 Interpretation 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5B 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5B, has the same meaning as 義相同。 in that Part. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1194 第5條 Section 5 A1195 附表 3D Schedule 3D [ 第 53ZRW 及 53ZTM 條 ] [ss. 53ZRW & 53ZTM] 有聯繫實體：訂明詳情 Associated Entities—Prescribed Particulars 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5B 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5B, has the same meaning as 義相同。 in that Part. 2. 成為有聯繫實體時須具報的詳情 2. Particulars to be notified on becoming an associated entity 為施行第 53ZRW(1) 條，在持牌提供者的有聯繫實體成 For the purposes of section 53ZRW(1), the particulars 為上述有聯繫實體後須向證監會提供的詳情如下 —— required to be provided to the Commission after an (a) 該持牌提供者的名稱； associated entity of a licensed provider becomes such an associated entity are— (b) 它成為上述有聯繫實體的日期； (a) the name of the licensed provider; (c) 其名稱及商業名稱 ( 如有不同 )； (b) the date on which it became such an associated (d) 它成立為法團的日期及所在地方； entity; (e) 其電話及傳真號碼、電郵地址及網址 ( 如有的 (c) its name and business name (if different); 話 )； (d) the date and place of its incorporation; (f) 每一以下地址，連同其始用日期 —— (e) its telephone and fax number, electronic mail (i) 它在香港的主要營業地點 ( 如有的話 ) 的 address and website address (if any); 地址； (f) each of the following addresses, together with (ii) 其註冊辦事處的地址； its effective date— (iii) 其通訊地址； (i) the address of its principal place of business in Hong Kong (if any); (ii) the address of its registered office; (iii) its correspondence address; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1196 第5條 Section 5 A1197 (iv) 存 放 關 乎 它 在 香 港 收 取 或 持 有 的、該 持 (iv) the address of each of the premises where 牌提供者的客户資產的簿冊及紀錄的每 books and records relating to client assets 一處所的地址； of the licensed provider, received or held (g) 用作持有它在香港收取或持有的、該持牌提供 by it in Hong Kong, are kept; 者的客户資產的銀行帳户的詳情，包括 —— (g) the details of its bank account for holding client (i) 該帳户所屬的銀行的名稱；及 assets of the licensed provider received or held in Hong Kong, including— (ii) 該帳户的號碼； (i) the name of the bank with which the (h) 它是否知悉有任何可令其無力償債或可引致委 account is opened; and 任清盤人的事宜； (ii) the number of the account; (i) 導致它成為上述有聯繫實體的事實；及 (h) whether it is aware of the existence of any (j) 就其每名擔任其董事的行政人員 ( 負責直接統 matter that might render it insolvent or lead to 領該持牌提供者的客户資產的收取或持有者 ) the appointment of a liquidator; 而言 —— (i) the facts that gave rise to its becoming such an (i) 該人員的姓名或名稱； associated entity; and (ii) 該 人 員 的 香 港 身 分 證 號 碼，或 由 主 管 政 (j) in relation to each of its executive officers who 府機構發出的提供身分證明的文件的詳 are its directors responsible for directly 情；及 supervising the receiving or holding of the client (iii) 該 人 員 的 聯 絡 辦 法 詳 情，包 括 在 香 港 的 assets of the licensed provider— 住址 ( 如有的話 ) 及通訊地址。 (i) the executive officer’s name; (ii) the executive officer’s Hong Kong identity card number, or details of documents issued by a competent government agency providing proof of identity; and (iii) the executive officer’s contact details, including residential address in Hong Kong (if any) and correspondence address. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1198 第5條 Section 5 A1199 3. 不再是有聯繫實體時須具報的詳情 3. Particulars to be notified on ceasing to be an associated 為施行第 53ZRW(1) 條，在持牌提供者的有聯繫實體不 entity 再是上述有聯繫實體後須向證監會提供的詳情如下 —— For the purposes of section 53ZRW(1), the particulars (a) 它不再是上述有聯繫實體的日期； required to be provided to the Commission after an associated entity of a licensed provider ceases to be such (b) 該持牌提供者的名稱； an associated entity are— (c) 所有在它不再是上述有聯繫實體之前由它收到 (a) the date of ceasing to be such an associated 或持有的、該持牌提供者的客户資產，是否已 entity; 全數記帳及適當處置，以及 ( 如否的話 ) 未獲 全數記帳及適當處置的該等客户資產的詳情； (b) the name of the licensed provider; 及 (c) whether all client assets of the licensed provider (d) 導致它不再是上述有聯繫實體的事實。 received or held by it before it ceases to be such an associated entity have been fully accounted for and properly disposed of and, if not, the particulars of any such client assets that have not been fully accounted for and properly disposed of; and (d) the facts that gave rise to its ceasing to be such an associated entity. 附表 3E Schedule 3E [ 第 53ZRY 及 53ZTM 條 ] [ss. 53ZRY & 53ZTM] 周年申報表：資料 Annual Return—Information 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5B 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5B, has the same meaning as 義相同。 in that Part. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1200 第5條 Section 5 A1201 2. 周年申報表須載有某些資料 2. Annual return must include certain information (1) 為施行第 53ZRY(4)(b) 條，持牌人須納入周年申報 (1) For the purposes of section 53ZRY(4)(b), the 表的資料如下 —— information that a licensed person must include in (a) 持牌人的申報期；及 the annual return is— (b) 任何訂明資料的任何改變的詳盡描述 ( 如該描 (a) the reporting period of the licensed person; and 述並未向證監會提供 )。 (b) a full description of any change in any 在本條中 —— (2) prescribed information (if the description has not been provided to the Commission). 申報期 (reporting period) 指 —— (2) In this section— (a) 截至某人獲證監會發牌成為持牌人的日期的每 個周年日的 1 年期間；或 prescribed information (訂明資料) means any information that has been provided to the Commission under 證監會藉書面通知所批准的其他期間； (b) Divisions 3, 4 or 7 of Part 5B or any codes or 訂明資料 (prescribed information) 指根據第 5B 部第 3 、 guidelines published under section 53ZTK; 4 或 7 分 部 或 根 據 第 53ZTK 條 公 布 的 守 則 或 指 引 reporting period (申報期) means— 向證監會提供的資料。 (a) the period of 1 year to each anniversary of the date on which a person is licensed by the Commission as a licensed person; or (b) such other period as may be approved by the Commission by written notice. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1202 第5條 Section 5 A1203 附表 3F Schedule 3F [ 第 53ZSC 及 53ZTM 條 ] [ss. 53ZSC & 53ZTM] 須予審計實體：訂明財務報表及其他訂明文件 Auditable Entities—Prescribed Financial Statements and Other Prescribed Documents 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5B 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5B, has the same meaning as 義相同。 in that Part. 2. 持牌提供者須每年呈交的財務報表等 2. Financial statements etc. required to be submitted annually (1) 為施行第 53ZSC(1)(a) 條，持牌提供者須就每個財 by licensed provider 政年度擬備的財務報表及其他文件如下 —— (1) For the purposes of section 53ZSC(1)(a), the (a) 一套按照獲普遍接納的會計原則擬備並由以下 financial statements and other documents that a 各項組成的帳目 —— licensed provider must prepare, in respect of each financial year, are— (i) 損益表； (a) a set of accounts consisting of each of the (ii) 資產負債表； following, prepared in accordance with generally (iii)帳目附註； accepted accounting principles— (b) ( 在適用範圍內 ) 以該財政年度最後一日狀況 (i) a profit and loss account; 為準的、根據第 53ZTK 條公布的任何守則或 (ii) a balance sheet; 指引規定的以下申報表 —— (iii) notes to the accounts; (i) 速動資金計算表； (b) in so far as applicable, the following returns as (ii) 規定速動資金計算表； required under any codes or guidelines published under section 53ZTK, each made up to the last day of the financial year— (i) a liquid capital computation; (ii) a required liquid capital computation; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1204 第5條 Section 5 A1205 (iii) 其可用的銀行貸款、墊款、信貸融通及其 (iii) a summary of bank loans, advances, credit 他財務通融的摘要； facilities and other financial (iv) 對其保證金客户的分析 ( 如適用的話 )； accommodation available to it; (v) 對從保證金客户收取的抵押品的分析 ( 如 (iv) an analysis of its margin clients (if 適用的話 )； applicable); (vi) 對其滾存結餘現金客户的分析； (v) an analysis of collateral received from margin clients (if applicable); (vii) 對其客户資產的分析； (vi) an analysis of its rolling balance cash (viii) 對其衍生工具自營交易持倉的狀況的分 clients; 析 ( 如適用的話 )；及 (vii) an analysis of its client assets; (c) 業務及風險管理問卷。 (viii) an analysis of its proprietary derivative 在本條中 —— (2) positions (if applicable); and 保證金客户 (margin client) 的涵義如下：凡持牌提供者 (c) a business and risk management questionnaire. 向某人提供虛擬資產保證金融資，該人即屬保證金 客户。 (2) In this section— margin client (保證金客户) means a client to whom the licensed provider provides virtual assets margin financing. 3. 有聯繫實體須每年呈交的財務報表等 3. Financial statements etc. required to be submitted annually 為施行第 53ZSC(1)(a) 條，持牌提供者的有聯繫實體須 by associated entity 就每個財政年度擬備的財務報表及其他文件如下 —— For the purposes of section 53ZSC(1)(a), the financial (a) 一套按照獲普遍接納的會計原則擬備並由以下 statements and other documents that an associated entity 各項組成的帳目 —— of a licensed provider must prepare, in respect of each financial year, are— (i) 損益表； (a) a set of accounts consisting of each of the (ii) 資產負債表； following, prepared in accordance with generally (iii) 帳目附註； accepted accounting principles— (i) a profit and loss account; (ii) a balance sheet; (iii) notes to the accounts; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1206 第5條 Section 5 A1207 (b) 以該財政年度最後一日狀況為準的對客户資產 (b) an analysis of client assets as at the end of the 的分析；及 financial year; and (c) 業務及風險管理問卷。 (c) a business and risk management questionnaire. 4. 持牌提供者終止提供虛擬資產服務時須呈交的財務報表 4. Financial statements etc. required to be submitted by 等 licensed provider on ceasing to provide VA service 為施行第 53ZSC(2)(a) 條，如持牌提供者終止提供其獲 For the purposes of section 53ZSC(2)(a), the financial 發牌提供的虛擬資產服務，該提供者須擬備的財務報表 statements and other documents that a licenser provider 及其他文件如下 —— must prepare if it ceases to provide the VA service for (a) 一套本附表第 2(1)(a) 條提述的帳目；及 which it is licensed to provide are— (b) 本附表第 2(1)(b)(i) 條提述的速動資金計算表。 (a) a set of accounts as referred to in section 2(1)(a) of this Schedule; and (b) a liquid capital computation as referred to in section 2(1)(b)(i) of this Schedule. 5. 有聯繫實體不再是上述實體時須呈交的財務報表等 5. Financial statements etc. required to be submitted by 為施行第 53ZSC(2)(a) 條，如持牌提供者的有聯繫實體 associated entity on ceasing to such entity 不再是上述有聯繫實體，該實體須擬備的財務報表及其 For the purposes of section 53ZSC(2)(a), the financial 他文件如下 —— statements and other documents that an associated entity (a) 一套本附表第 3(a) 條提述的帳目；及 of a licensed provider must prepare if it ceases to be such an associated entity are— (b) 本附表第 3(b) 條提述的對客户資產的分析。 (a) a set of accounts as referred to in section 3(a) of this Schedule; and (b) an analysis of client assets as referred to in section 3(b) of this Schedule. 6. 適用於訂明核數師報告的規定 6. Requirements applicable to prescribed auditor’s report (1) 為 施 行 第 53ZSC(1)(b) 或 (2)(b) 條，持 牌 提 供 者 或 (1) For the purposes of section 53ZSC(1)(b) or (2)(b), a 持牌提供者的有聯繫實體呈交予證監會的訂明核數 report of the prescribed auditor submitted by a licensed provider or an associated entity of a licensed provider to the Commission must contain a statement <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1208 第5條 Section 5 A1209 師報告，須載有一份由訂明核數師作出的陳述，說 by the prescribed auditor as to whether, in the 明根據該訂明核數師的意見 —— prescribed auditor’s opinion— (a) 有關損益表及資產負債表是否按照該持牌提供 (a) the profit and loss account and the balance 者或該實體根據任何守則或指引(根據第 sheet are in accordance with the records kept by 53ZTK 條公布者 ) 而備存的紀錄而擬備，及是 the licensed provider or the associated entity 否符合該等守則或指引中的規定； under any codes or guidelines published under (b) 該資產負債表是否真實而中肯地反映該持牌提 section 53ZTK and satisfy the requirements in 供者或該實體在該表所關乎的財政年度終結時 the codes or guidelines; 的業務狀況； (b) the balance sheet gives a true and fair view of (c) 該損益表是否真實而中肯地反映該持牌提供者 the state of affairs of the licensed provider or 或該實體在該表所關乎的財政年度的盈虧狀 the associated entity as at the end of the 況； financial year to which it relates; (d) ( 就持牌提供者而言 ) 本附表第 2(1)(b) 或 4(b) (c) the profit and loss account gives a true and fair 條提述的每份申報表是否均按該提供者的紀錄 view of the profit or loss of the licensed 正確地編製而成，如並非正確地編製而成的， provider or the associated entity for the financial 則指出不正確之處的性質及程度； year to which it relates; (e) ( 在適用範圍內 ) 該持牌提供者或該實體在有 (d) in the case of a licensed provider, each of the 關財政年度內，是否有足夠的監控系統 ( 包括 returns as referred to in section 2(1)(b) or 4(b) 內部監控及交易、保管、會計及交收系統 )， of this Schedule is correctly compiled from the 以確保遵守根據第 53ZTK 條公布的任何守則 records of the licensed provider or, if not 或指引之下關乎客户資產的規管性規定； correctly compiled, the nature and extent of the incorrectness; (e) in so far as applicable, during the financial year in question, the licensed provider or the associated entity had in place systems of control, including internal controls and trading, custody, accounting and settlement systems, that were adequate to ensure compliance with regulatory requirements relating to client assets under any codes or guidelines published under section 53ZTK; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1210 第5條 Section 5 A1211 (f) ( 在適用範圍內 ) 該持牌提供者或該實體在有 (f) in so far as applicable, during the financial year 關財政年度內，是否已遵守根據第 53ZTK 條 in question, the licensed provider or the 公布的任何守則或指引之下關乎客户資產及存 associated entity has complied with regulatory 放紀錄的規管性規定；及 requirements relating to client assets and record (g) ( 就持牌提供者而言 ) 該提供者是否看來曾在 keeping under any codes or guidelines published 有關財政年度內，違反根據第 53ZTK 條公布 under section 53ZTK; and 的任何守則或指引之下關乎財政資源的規管性 (g) in the case of a licensed provider, there appears 規定。 to have been any contravention of regulatory (2) 持牌提供者或持牌提供者的有聯繫實體可就同一財 requirements relating to financial resources 政年度，呈交 2 份獨立的訂明核數師報告，其中一 under any codes or guidelines published under 份報告載有有關訂明核數師所作的、關於第 (1)(a)、 section 53ZTK by the licensed provider during (b) 及 (c) 款提述事宜的陳述，而另一份報告載有有 the financial year in question. 關訂明核數師所作的、關於第 (1)(d)、(e)、(f) 及 (g) (2) A licensed provider or an associated entity of a 款提述事宜的陳述。 licensed provider may submit 2 separate reports of the prescribed auditor in respect of a financial year, one containing a statement by the prescribed auditor concerning the matters referred to in subsection (1)(a), (b) and (c) and the other containing a statement by the prescribed auditor concerning the matters referred to in subsection (1)(d), (e), (f) and (g). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1212 第5條 Section 5 A1213 附表 3G Schedule 3G [ 第 53ZR 及 53ZTY 條 ] [ss. 53ZR & 53ZTY] 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) Transitional Arrangements for Anti-Money 條例》的過渡安排 Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 第1部 Part 1 導言 Preliminary 1. 釋義 1. Interpretation (1) 凡某詞句在本附表中使用，並在第 5B 部中界定或 (1) An expression used in this Schedule, and defined or 以其他方式解釋，則該詞句的涵義，與該詞句在該 otherwise explained in Part 5B, has the same 部中的涵義相同。 meaning as in that Part. (2) 在本附表中 —— (2) In this Schedule— 反對限期 (objection period) 就證監會就某人發出的第 3 closing-down period (結業期)—see section 11 of this 條通知、第 5 條通知或第 7 條通知而言，指證監會 Schedule; 在該通知內指明的期間，該人可在該期間內，反對 first 9 months (首9個月) means the period of 9 months 該人的一項或多於一項申請根據本附表第 10 條當 beginning on 1 June 2023; 作撤回； first 12 months (首12個月) means the period of 12 months 指明格式 (specified form) 指證監會指明的格式； beginning on 1 June 2023; 首 9 個 月 (first 9 months) 指 自 2023 年 6 月 1 日 起 計 的 9 objection period (反對限期), in relation to a section 3 個月的期間； notice, section 5 notice or section 7 notice issued by 首 12 個月 (first 12 months) 指自 2023 年 6 月 1 日起計的 the Commission in respect of a person, means a 12 個月的期間； period specified by the Commission in the notice as the period within which the person may object to the deemed withdrawal of the person’s application or applications under section 10 of this Schedule; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1214 第5條 Section 5 A1215 第 3 條通知 (section 3 notice) ——參閱本附表第 3(5) 條； regulatory requirements (規管性規定) means requirements 第 5 條通知 (section 5 notice) ——參閱本附表第 5(5) 條； under this Ordinance, and codes and guidelines published under section 53ZTK; 第 7 條通知 (section 7 notice) ——參閱本附表第 7(5) 條； section 3 notice (第3條通知)—see section 3(5) of this 規管性規定 (regulatory requirements) 指本條例以及根據 Schedule; 第 53ZTK 條公布的守則及指引下的規定； section 5 notice (第5條通知)—see section 5(5) of this 結業期 (closing-down period) ——參閱本附表第 11 條； Schedule; 虛擬資產服務 (VA service) 指經營虛 擬 資 產 交 易 所 ( 附 section 7 notice (第7條通知)—see section 7(5) of this 表 3B 第 1 項所指者 )。 Schedule; specified form (指明格式) means a form specified by the Commission; VA service (虛擬資產服務) means operating a VA exchange within the meaning of item 1 of Schedule 3B. 第2部 Part 2 首 12 個月 First 12 Months 2. 在 首 12 個 月 內 繼 續 原 有 虛 擬 資 產 服 務 ， 不 違 反 第 2. Section 53ZRD not contravened by continuing pre-existing 53ZRD 條 VA service during first 12 months (1) 在以下情況下，任何法團經營或顯示自己經營提供 (1) An act by a corporation of carrying on, or holding 虛 擬 資 產 服 務 的 業 務 的 作 為，並 不 構 成 違 反 第 itself out as carrying on, a business of providing a 53ZRD(1) 條 —— VA service does not constitute a contravention of (a) 該 法 團 在 緊 接 2023 年 6 月 1 日 前，正 於 香 港 section 53ZRD(1) if— 經營提供虛擬資產服務的業務；及 (a) the corporation has been carrying on the (b) 該作為是在首 12 個月內作出的。 business of providing the VA service in Hong Kong immediately before 1 June 2023; and (2) 凡某名個人就 ( 或顯示自己就 ) 某法團經營提供虛 擬資產服務的業務而作出執行受規管職能的作為， (b) the act is done during the first 12 months. (2) An act by an individual of performing, or holding himself or herself out as performing, a regulated function in relation to a business, carried on by a <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1216 第5條 Section 5 A1217 作 出 該 作 為 在 以 下 情 況 下，並 不 構 成 違 反 第 corporation, of providing a VA service does not 53ZRD(3) 條 —— constitute a contravention of section 53ZRD(3) if— (a) 因第 (1) 款的規定，該法團在首 12 個月內作出 (a) because of subsection (1), an act by the 經營提供虛擬資產服務的業務的作為，並不構 corporation done, during the first 12 months, of 成違反第 53ZRD(1) 條；及 carrying on the business of providing the VA (b) 該名個人在首 12 個月內作出該作為。 service does not constitute a contravention of section 53ZRD(1); and (3) 在第 (1) 及 (2) 款中，凡提述法團，均不包括本附表 第 11(1)、(3) 或 (4) 條所指的結業期所適用的法團。 (b) the act by the individual is done during the first 12 months. (3) In subsections (1) and (2), a reference to a corporation does not include one to which a closing- down period under section 11(1), (3) or (4) of this Schedule applies. 第3部 Part 3 首 12 個月後被當作獲發牌或批准的人 Persons Deemed to be Licensed or Approved After First 12 Months 3. 過渡安排在某些條件下，適用於原有提供者 3. Transitional arrangements apply to pre-existing provider on (1) 如所有以下條件就某法團獲符合，則本附表第 4 條 certain conditions 適用於該法團 —— (1) Section 4 of this Schedule applies to a corporation if (a) 該 法 團 在 緊 接 2023 年 6 月 1 日 前，正 於 香 港 all of the following conditions are met in relation to 提供虛擬資產服務； the corporation— (b) 該法團在首 9 個月內 —— (a) the corporation has been providing a VA service in Hong Kong immediately before 1 June 2023; (i) 按照第 53ZRK 條提出申請 ( 申請 )，尋求 獲發牌提供虛擬資產服務； (b) within the first 9 months, the corporation— (i) makes an application (application) in accordance with section 53ZRK to be licensed to provide the VA service; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1218 第5條 Section 5 A1219 (ii) 向證監會確認該法團在緊接 2023 年 6 月 (ii) gives the Commission a confirmation that 1 日前，正於在香港提供虛擬資產服務； the corporation has been providing the VA 及 service in Hong Kong immediately before 1 向 證 監 會 作 出 確 認，該 法 團 會 在 被 當 作 (iii) June 2023; and 獲發牌提供虛擬資產服務時 —— (iii) gives the Commission a confirmation that (A) 遵守適用於虛擬資產服務的持牌提 the corporation will, on being deemed to 供者的規管性規定；及 be licensed to provide the VA service— (B) 已 作 出 安 排，確 保 該 法 團 遵 守 適 用 (A) comply with the regulatory 於虛擬資產服務的持牌提供者的規 requirements applicable to a licensed 管性規定； provider of the VA service; and (c) 證監會沒有根據第 (5) 款，就該法團的申請發 (B) have arrangements in place to ensure 出第 3 條通知。 the corporation complies with the regulatory requirements applicable to (2) 如 證 監 會 沒 有 藉 書 面 確 認 收 到 有 關 申 請，則 第 a licensed provider of the VA service; (1)(b)(i) 款的條件須視作未就該法團而獲符合。 (c) the Commission has not issued a section 3 (3) 如第 (4) 款指明的任何事宜沒有就該法團獲證明並 notice under subsection (5) in respect of the 獲證監會信納，則證監會可 —— corporation’s application. (a) 決定本附表第 4 條不適用於該法團；及 (2) The condition in subsection (1)(b)(i) is regarded as (b) 決定就該申請開始本附表第 10 條所訂的當作 not met in relation to the corporation if the 撤回程序。 Commission has not acknowledged receipt in writing that it has received the application. (3) If any of the matters specified in subsection (4) are not proved to the Commission’s satisfaction in relation to the corporation, the Commission may— (a) decide that section 4 of this Schedule is not to apply to the corporation; and (b) decide to commence the deemed withdrawal procedure under section 10 of this Schedule in respect of the application. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1220 第5條 Section 5 A1221 (4) 有關事宜是 —— (4) The matters are that— (a) 第 (1)(a) 及 (b) 款 指 明 的 所 有 條 件，均 就 該 法 (a) all of the conditions specified in subsection (1)(a) 團獲符合；及 and (b) are met in relation to the corporation; (b) 該法團有合理機會成功地向證監會證明，該法 and 團有能力遵守適用於虛擬資產服務持牌提供者 (b) the corporation has a reasonable prospect of 的規管性規定。 successfully showing to the Commission that the (5) 證監會須藉給予有關法團書面通知 ( 第 3 條通知 )， corporation is capable of complying with the 將其根據第 (3) 款所作的決定，告知該法團。 regulatory requirements applicable to a licensed provider of the VA service. (6) 第 3 條通知須 —— (5) The Commission must inform the corporation of its (a) 述明第 (3) 款提述的證監會的決定，以及該等 decisions under subsection (3) by written notice 決定的理由；及 (section 3 notice) given to the corporation. (b) 述明有關法團有權根據本附表第 10 條，在反 (6) The section 3 notice must— 對限期內，反對當作撤回該申請。 (a) state the Commission’s decisions referred to in (7) 第 3 條通知只可在首 12 個月完結前發出。 subsection (3) and the reasons for the decisions; and (b) state that the corporation has a right under section 10 of this Schedule to object to the deemed withdrawal of the application within the objection period. (7) A section 3 notice may only be issued before the end of the first 12 months. 4. 申請待決期間，法團申請人被當作持牌提供者 4. Corporate applicant deemed licensed provider pending (1) 如 根 據 本 附 表 第 3 條，本 條 適 用 於 已 提 出 該 條 determination of application 第 (1)(b)(i) 款提述的申請的某法團，則該法團在第 (2) (1) If, under section 3 of this Schedule, this section 款指明的期間內，須當作根據第 53ZRK 條獲發牌， applies to a corporation that made an application 提供該申請所關乎的虛擬資產服務。 referred to in subsection (1)(b)(i) of that section, the corporation is deemed, for the period specified in subsection (2), to be licensed under section 53ZRK to provide the VA service to which the application relates. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1222 第5條 Section 5 A1223 (2) 為施行第 (1) 款指明的期間 —— (2) The period specified for the purposes of subsection (a) 在首 12 個月結束當日的翌日開始；及 (1)— (b) 在以下事件其中一件 ( 以最早發生者為準 ) 發 (a) begins on the day immediately following the 生當日完結 —— first 12 months; and (i) 該法團根據第 53ZRK 條提出的申請被撤 (b) ends on the day on which one of the following 回； events happens (whichever happens first)— (ii) 該法團根據第 53ZRK 條提出的申請被拒 (i) the corporation’s application under section 絕，而該拒絕根據第 75 條作為指明決定 53ZRK is withdrawn; 生效； (ii) a refusal of the corporation’s application (iii) 該法團根據第 53ZRK 條獲批給牌照。 under section 53ZRK takes effect as a specified decision under section 75; (3) 在該法團根據本條被當作獲發牌期間 —— (iii) a licence is granted to the corporation (a) 就該法團而言，第 53ZRQ(1) 條的規定不適用； under section 53ZRK. (b) ( 如有申請根據第 53ZRR(2) 條就某處所提出 ) (3) During the period the corporation is deemed under 該處所須當作獲批准；及 this section to be licensed— (c) 該法團須當作已就該處所而遵守第 53ZRR(1) (a) the requirement in section 53ZRQ(1) does not 條。 apply in respect of the corporation; (4) 如有關法團根據本條被當作獲發牌，則在該法團被 (b) the premises in respect of which an application 當 作 獲 發 牌 的 期 間 內，以 及 ( 如 該 法 團 根 據 第 is lodged under section 53ZRR(2) are deemed 53ZRK 條 獲 批 給 牌 照 提 供 虛 擬 資 產 服 務 ) 即 使 在 to be approved; and 該牌照獲批給後，首 12 個月結束當日的翌日 —— (c) the corporation is deemed to have complied with section 53ZRR(1) in relation to the premises. (4) During the period the corporation is deemed under this section to be licensed and, if the corporation is granted a licence under section 53ZRK to provide the VA service, even after that, the day immediately following the first 12 months is to be regarded— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1224 第5條 Section 5 A1225 (a) 為施行第 53ZRY(1) 條，須視為批給該法團的 (a) for the purposes of section 53ZRY(1), as the 牌照的日期，但如證監會根據該條批准另一日 date of the grant of the licence to the 期則除外；及 corporation, unless another date is approved by (b) 為施行第 53ZRY(4) 條，須視為批給該法團的 the Commission under that section; and 牌照的日期，但如證監會根據該條批准另一日 (b) for the purposes of section 53ZRY(4), as the 期則除外。 date on which the corporation is licensed, unless another date is approved by the Commission under that section. 5. 過渡安排在某些條件下，適用於原有提供者的代表 5. Transitional arrangements apply to representative of pre- (1) 如所有以下條件就某名個人獲符合，則本附表第 6 existing provider on certain conditions 條適用於該名個人 —— (1) Section 6 of this Schedule applies to an individual if (a) 該名個人在首 9 個月內 —— all of the following conditions are met in relation to the individual— (i) 按照第 53ZRL 條提出申請，尋求獲發牌 代表某法團 ( 法團 ) 提供虛擬資產服務 ( 但 (a) within the first 9 months, the individual— 並非作為代表該法團的負責人員 )； (i) makes an application in accordance with (ii) 按照第 53ZRM 條提出申請，尋求隸屬該 section 53ZRL to be licensed to provide a 法團； VA service on behalf of a corporation (corporation), but not as a responsible (iii) 向證監會作出確認，在第 (i) 及 (ii) 節提述 officer on behalf of the corporation; 的該名個人的申請 ( 該名個人的申請 ) 提 出 時，該 名 個 人 正 於 香 港 代 表 該 法 團 提 (ii) makes an application in accordance with 供虛擬資產服務；及 section 53ZRM to be accredited to the corporation; (iv) 向 證 監 會 作 出 確 認，該 名 個 人 會 在 被 當 作 獲 如 此 發 牌 時，遵 守 適 用 於 虛 擬 資 產 (iii) gives the Commission a confirmation that the individual is providing the VA service in Hong Kong on behalf of the corporation at the time the individual’s applications referred to in subparagraphs (i) and (ii) (individual’s applications) are made; and (iv) gives the Commission a confirmation that the individual will, on being deemed to be <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1226 第5條 Section 5 A1227 服務的持牌提供者的持牌代表的規管性 so licensed comply with the regulatory 規定； requirements applicable to a licensed (b) 該名個人的申請，是在與該法團申請獲發牌提 representative of a licensed provider of the 供虛擬資產服務相關的情況下提出的； VA service; 在該名個人的申請提出時，該名個人正於香港 (c) (b) the individual’s applications are made in 代表該法團提供虛擬資產服務； connection with an application by the corporation to be licensed to provide the VA (d) 根據本附表第 3(1) 條，本附表第 4 條適用於該 service; 法團； (c) the individual is providing the VA service in (e) 證監會沒有根據第 (5) 款，就該名個人的申請 Hong Kong on behalf of the corporation at the 發出第 5 條通知。 time the individual’s applications are made; (2) 如 證 監 會 沒 有 藉 書 面 確 認 收 到 第 (1)(a)(i) 或 (ii) 款 (d) under section 3(1) of this Schedule, section 4 of 提述的申請，則該款所指的條件須視作未就該名個 this Schedule applies to the corporation; 人而獲符合。 (e) the Commission has not issued a section 5 (3) 如第 (4) 款指明的任何事宜沒有就該名個人獲證明 notice under subsection (5) in respect of the 並獲證監會信納，則證監會可 —— individual’s applications. (a) 決定本附表第 6 條不適用於該名個人；及 (2) A condition in subsection (1)(a)(i) or (ii) is regarded (b) 決定就該名個人的申請開始本附表第 10 條所 as not met in relation to the individual if the 訂的當作撤回程序。 Commission has not acknowledged receipt in writing that it has received the application referred to in that subsection. (3) If any of the matters specified in subsection (4) are not proved to the Commission’s satisfaction in relation to the individual, the Commission may— (a) decide that section 6 of this Schedule is not to apply to the individual; and (b) decide to commence the deemed withdrawal procedure under section 10 of this Schedule in respect of the individual’s applications. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1228 第5條 Section 5 A1229 (4) 有關事宜是 —— (4) The matters are that— (a) 第 (1)(a)、(b)、(c) 及 (d) 款 指 明 的 所 有 條 件， (a) all of the conditions specified in subsection 均就該名個人獲符合；及 (1)(a), (b), (c) and (d) are met in relation to the (b) 該名個人有合理機會成功地向證監會證明，該 individual; and 名個人有能力遵守適用於虛擬資產服務持牌提 (b) the individual has a reasonable prospect of 供者的持牌代表的規管性規定。 successfully showing to the Commission that the (5) 證監會須藉給予有關個人書面通知 ( 第 5 條通知 )， individual is capable of complying with the 將其根據第 (3) 款所作的決定，告知該名個人。 regulatory requirements applicable to a licensed representative of a licensed provider of the VA (6) 第 5 條通知須 —— service. (a) 述明第 (3) 款提述的證監會的決定，以及該等 (5) The Commission must inform the individual of its 決定的理由；及 decisions under subsection (3) by written notice (b) 述明有關個人有權根據本附表第 10 條，在反 (section 5 notice) given to the individual. 對限期內，反對當作撤回該名個人的申請。 (6) The section 5 notice must— (7) 第 5 條通知只可在首 12 個月完結前發出。 (a) state the Commission’s decisions referred to in subsection (3) and the reasons for the decisions; and (b) state that the individual has a right under section 10 of this Schedule to object to the deemed withdrawal of the individual’s applications within the objection period. (7) A section 5 notice may only be issued before the end of the first 12 months. 6. 申請待決期間，個人申請人被當作持牌代表 6. Individual applicant deemed licensed representative pending (1) 如 根 據 本 附 表 第 5 條，本 條 適 用 於 已 提 出 該 條 第 determination of application (1)(a)(i) 及 (ii) 款提述的申請的某名個人，則該名個 (1) If, under section 5 of this Schedule, this section 人在第 (2) 款指明的期間內，須當作 —— applies to an individual who made applications referred to in subsection (1)(a)(i) and (ii) of that section, the individual is deemed for the period specified in subsection (2)— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1230 第5條 Section 5 A1231 (a) 根據第 53ZRL 條獲發牌，作為持牌代表代上 (a) to be licensed as a licensed representative under 述申請所關乎的法團提供虛擬資產服務；及 section 53ZRL to provide the VA service on (b) 隸屬該法團。 behalf of the corporation to which the applications relate; and (2) 為施行第 (1) 款指明的期間 —— (b) to be accredited to the corporation. (a)在該法團根據本附表第 4 條被當作獲發牌提供 虛擬資產服務的期間的第一日開始；及 (2) The period specified for the purposes of subsection (1)— (b) 在以下事件其中一件 ( 以最早發生者為準 ) 發 生當日完結 —— (a) begins on the first day of the period for which the corporation is deemed under section 4 of (i) 該 法 團 根 據 本 附 表 第 4 條 被 當 作 獲 發 牌 this Schedule to be licensed to provide the VA 提供虛擬資產服務的期間完結； service; and (ii) 該名個人根據第 53ZRL 條提出的申請被 (b) ends on the day on which one of the following 撤回； events happens (whichever happens first)— (iii) 該名個人根據第 53ZRM 條提出的申請被 (i) the period for which the corporation is 撤回； deemed under section 4 of this Schedule to (iv) 該 名 個 人 根 據 第 53ZRL 或 53ZRM 條 提 be licensed to provide the VA service ends; 出的申請被拒絕，而該拒絕根據第 75 條 (ii) the individual’s application under section 作為指明決定生效； 53ZRL is withdrawn; (v) 該名個人在首 12 個月結束當日的翌日或 (iii) the individual’s application under section 之 後，停 止 就 虛 擬 資 產 服 務 為 該 法 團 或 53ZRM is withdrawn; 代表該法團行事； (iv) a refusal of the individual’s application (vi) 該名個人根據第 53ZRL 條獲批給牌照， under section 53ZRL or 53ZRM takes 代表該法團提供虛擬資產服務。 effect as a specified decision under section 75; (v) the individual ceases, on or after the day immediately following the first 12 months, to act for or on behalf of the corporation in relation to the VA service; (vi) the individual is granted a licence under section 53ZRL to provide the VA service on behalf of the corporation. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1232 第5條 Section 5 A1233 (3) 如有關個人根據本條被當作獲發牌，則在該名個人 (3) During the period the individual is deemed to be 被當作獲發牌的期間內，以及 ( 如該名個人根據第 licensed under this section and, if the individual is 53ZRL 條，就 提 供 虛 擬 資 產 服 務 而 獲 批 給 牌 照 執 granted a licence under section 53ZRL to perform a 行受規管職能 ) 即使在該牌照獲批給後，首 12 個月 regulated function in relation to the provision of the 結束當日的翌日 —— VA service, even after that, the day immediately (a) 為施行第 53ZRY(1) 條，須視為批給該名個人 following the first 12 months is to be regarded— 的牌照的日期，但如證監會根據該條批准另一 (a) for the purposes of section 53ZRY(1), as the 日期則除外；及 date of the grant of the individual’s licence, (b) 為施行第 53ZRY(4) 條，須視為批給該名個人 unless another date is approved by the 的牌照的日期，但如證監會根據該條批准另一 Commission under that section; and 日期則除外。 (b) for the purposes of section 53ZRY(4), as the date of the grant of the individual’s licence, unless another date is approved by the Commission under that section. 7. 過渡安排在某些條件下，適用於申請擔任原有提供者的 7. Transitional arrangements apply to individual applying to 負責人員的人 be responsible officer of pre-existing provider on certain (1) 如所有以下條件就某名個人獲符合，則本附表第 8 conditions 條適用於該名個人 —— (1) Section 8 of this Schedule applies to an individual if (a) 該名個人在首 9 個月內 —— all of the following conditions are met in relation to the individual— (i) 按照第 53ZRL 條提出申請，尋求獲發牌 代表某法團 ( 第 (i) 節法團 ) 提供虛擬資產 (a) within the first 9 months, the individual— 服務； (i) makes an application in accordance with (ii) 按照第 53ZRM 條提出申請，尋求隸屬第 section 53ZRL to be licensed to provide a (i) 節法團； VA service on behalf of a corporation (subparagraph (i) corporation); (ii) makes an application in accordance with section 53ZRM to be accredited to the subparagraph (i) corporation; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1234 第5條 Section 5 A1235 (iii) 提出第 53ZRP 條提 述 的 申 請，尋 求 批 准 (iii) makes an application referred to in section 就第 (i) 節法團擔任負責人員； 53ZRP for approval as a responsible officer (iv) 向 證 監 會 作 出 確 認，該 名 個 人 正 於 香 港 in relation to the subparagraph (i) 代 表 某 法 團 ( 在 緊 接 2023 年 6 月 1 日 前 corporation; 正提供虛擬資產服務者 ) 提供虛擬資產服 (iv) gives the Commission a confirmation that 務； the individual has been providing the VA (v) 向 證 監 會 作 出 確 認，在 第 (i)、(ii) 及 (iii) service in Hong Kong on behalf of a 節提述的該名個人的申請 ( 該名個人的申 corporation that was providing the VA 請 ) 提出時，該名個人正於香港代表第 (i) service immediately before 1 June 2023; 節法團提供虛擬資產服務；及 (v) gives the Commission a confirmation that (vi) 向 證 監 會 作 出 確 認，該 名 個 人 會 在 被 當 the individual is providing the VA service 作 獲 如 此 發 牌 時，遵 守 適 用 於 虛 擬 資 產 in Hong Kong on behalf of the 服務的持牌提供者的持牌代表及負責人 subparagraph (i) corporation at the time 員的規管性規定； the individual’s applications referred to in subparagraphs (i), (ii) and (iii) (individual’s (b) 該名個人的申請，是在與第 (i) 節法團申請獲 applications) are made; and 發牌提供虛擬資產服務相關的情況下提出的； (vi) gives the Commission a confirmation that (c) 該 名 個 人 正 於 香 港 代 表 某 法 團 ( 在 緊 接 2023 the individual will, on being deemed to be 年 6 月 1 日前正提供虛擬資產服務者 ) 提供虛 so licensed, comply with the regulatory 擬資產服務； requirements applicable to a licensed representative and responsible officer of a licensed provider of the VA service; (b) the individual’s applications are made in connection with an application by the subparagraph (i) corporation to be licensed to provide the VA service; (c) the individual has been providing the VA service in Hong Kong on behalf of a corporation that was providing the VA service immediately before 1 June 2023; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1236 第5條 Section 5 A1237 (d) 在該名個人的申請提出時，該名個人正於香港 (d) the individual is providing the VA service in 代表第 (i) 節法團提供虛擬資產服務； Hong Kong on behalf of the subparagraph (i) (e) 根據本附表第 3(1) 條，本附表第 4 條適用於第 corporation at the time the individual’s (i) 節法團；及 applications are made; (f) 證監會沒有根據第 (5) 款，就該名個人的申請 (e) under section 3(1) of this Schedule, section 4 of 發出第 7 條通知。 this Schedule applies to the subparagraph (i) corporation; and (2) 如證監會沒有藉書面確認收到第 (1)(a)(i)、(ii) 或 (iii) 款提述的申請，則該款所指的條件須視作未就該名 (f) the Commission has not issued a section 7 個人而獲符合。 notice under subsection (5) in respect of the individual’s applications. (3) 如第 (4) 款指明的任何事宜沒有就該名個人獲證明 並獲證監會信納，則證監會可 —— (2) A condition in subsection (1)(a)(i), (ii) or (iii) is regarded as not met in relation to the individual if (a) 決定本附表第 8 條不適用於該名個人；及 the Commission has not acknowledged receipt in (b) 決定就該名個人的申請開始本附表第 10 條所 writing that it has received the application referred to 訂的當作撤回程序。 in that subsection. (4) 有關事宜是 —— (3) If any of the matters specified in subsection (4) are (a) 第 (1)(a)、(b)、(c)、(d) 及 (e) 款 指 明 的 所 有 條 not proved to the Commission’s satisfaction in 件，均就該名個人獲符合；及 relation to the individual, the Commission may— (a) decide that section 8 of this Schedule is not to apply to the individual; and (b) decide to commence the deemed withdrawal procedure under section 10 of this Schedule in respect of the individual’s applications. (4) The matters are that— (a) all of the conditions specified in subsection (1)(a), (b), (c), (d) and (e) are met in relation to the individual; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1238 第5條 Section 5 A1239 該名個人有合理機會成功地向證監會證明，該 (b) (b) the individual has a reasonable prospect of 名個人有能力遵守適用於虛擬資產服務持牌提 successfully showing to the Commission that the 供者的持牌代表及負責人員的規管性規定。 individual is capable of complying with the (5) 證監會須藉給予有關個人書面通知 ( 第 7 條通知 )， regulatory requirements applicable to a licensed 將其根據第 (3) 款所作的決定，告知該名個人。 representative and responsible officer of a licensed provider of the VA service. (6) 第 7 條通知須 —— (5) The Commission must inform the individual of its (a) 述明第 (3) 款提述的證監會的決定，以及該等 decisions under subsection (3) by written notice 決定的理由；及 (section 7 notice) given to the individual. (b) 述明有關個人有權根據本附表第 10 條，在反 (6) The section 7 notice must— 對限期內，反對當作撤回該名個人的申請。 (a) state the Commission’s decisions referred to in (7) 第 7 條通知只可在首 12 個月完結前發出。 subsection (3) and the reasons for the decisions; and (b) state that the individual has a right under section 10 of this Schedule to object to the deemed withdrawal of the individual’s applications within the objection period. (7) A section 7 notice may only be issued before the end of the first 12 months. 8. 申請待決期間，個人申請人被當作獲批准擔任負責人員 8. Individual applicant deemed approved as responsible officer (1) 如 根 據 本 附 表 第 7 條，本 條 適 用 於 已 提 出 該 條 pending determination of applications 第 (1)(a)(i)、(ii) 及 (iii) 款提述的申請的某名個人， (1) If, under section 7 of this Schedule, this section 則該名個人在第 (2) 款指明的期間內，須當作 —— applies to an individual who made applications (a) 根據第 53ZRL 條獲發牌，作為持牌代表代上 referred to in subsection (1)(a)(i), (ii) and (iii) of that 述申請所關乎的法團提供虛擬資產服務； section, the individual is deemed for the period specified in subsection (2)— (b) 隸屬該法團；及 (a) to be licensed as a licensed representative under section 53ZRL to provide the VA service on behalf of the corporation to which the applications relate; (b) to be accredited to the corporation; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1240 第5條 Section 5 A1241 獲批准擔任該法團的負責人員。 (c) (c) to be approved as a responsible officer of the (2) 為施行第 (1) 款指明的期間 —— corporation. (a)在該法團根據本附表第 4 條被當作獲發牌提供 (2) The period specified for the purposes of subsection 虛擬資產服務的期間的第一日開始；及 (1)— (b) 在以下事件其中一件 ( 以最早發生者為準 ) 發 (a) begins on the first day of the period for which 生當日完結 —— the corporation is deemed under section 4 of this Schedule to be licensed to provide the VA (i) 該 法 團 根 據 本 附 表 第 4 條 被 當 作 獲 發 牌 service; and 提供虛擬資產服務的期間完結； (b) ends on the day on which one of the following (ii) 該名個人根據第 53ZRL 條提出的申請被 events happens (whichever happens first)— 撤回； (i) the period for which the corporation is (iii) 該名個人根據第 53ZRM 條提出的申請被 deemed under section 4 of this Schedule to 撤回； be licensed to provide the VA service ends; (iv) 該名個人根據第 53ZRP 條尋求批准擔任 (ii) the individual’s application under section 負責人員提出的申請被撤回； 53ZRL is withdrawn; (v) 該 名 個 人 根 據 第 53ZRL、53ZRM 或 (iii) the individual’s application under section 53ZRP 條 提 出 的 申 請 被 拒 絕，而 該 拒 絕 53ZRM is withdrawn; 根據第 75 條作為指明決定生效； (iv) the individual’s application under section (vi) 該名個人根據第 53ZRM 條獲批給牌照代 53ZRP to be approved as a responsible 表 該 法 團 提 供 虛 擬 資 產 服 務，且 該 名 個 officer is withdrawn; 人根據第 53ZRP 條獲批准擔任負責人員； (v) a refusal of the individual’s application under section 53ZRL, 53ZRM or 53ZRP takes effect as a specified decision under section 75; (vi) the individual is granted a licence under section 53ZRM to provide the VA service on behalf of the corporation and the individual is approved under section 53ZRP as a responsible officer; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1242 第5條 Section 5 A1243 (vii) 該名個人在首 12 個月結束當日的翌日或 (vii) the individual ceases, on or after the day 之 後，停 止 就 虛 擬 資 產 服 務 為 該 法 團 或 immediately following the first 12 months, 代表該法團行事。 to act for or on behalf of the corporation (3) 在有關個人根據本條被當作獲發牌的期間，如該名 in relation to the VA service. 個人根據第 53ZRL 條，就提供虛擬資產服務而獲 (3) During the period the individual is deemed to be 批給牌照執行受規管職能，則即使在該牌照獲批給 licensed under this section and, if the individual is 後，首 12 個月結束當日的翌日 —— granted a licence under section 53ZRL to perform a (a) 為施行第 53ZRY(1) 條，須視為批給該名個人 regulated function in relation to the provision of the 的牌照的日期，但如證監會根據該條批准另一 VA service, even after that, the day immediately 日期則除外；及 following the first 12 months is to be regarded— (b) 為施行第 53ZRY(4) 條，須視為批給該名個人 (a) for the purposes of section 53ZRY(1), as the 的牌照的日期，但如證監會根據該條批准另一 date of the grant of the individual’s licence, 日期則除外。 unless another date is approved by the Commission under that section; and (b) for the purposes of section 53ZRY(4), as the date of the grant of the individual’s licence, unless another date is approved by the Commission under that section. 9. 本條例適用於被當作人士 9. Application of Ordinance to deemed persons (1) 如某人根據本附表第 4 、6 或 8 條，在一段期間內 (1) If a person is deemed for a period to be licensed to 被當作獲發牌提供虛擬資產服務，則本條例適用於 provide a VA service under section 4, 6 or 8 of this 該人，並就該人適用，猶如該人在該段期間內根據 Schedule, this Ordinance applies to, and in relation 本條例獲發牌提供虛擬資產服務。 to, that person as if the person were licensed, for that (2) 第 (1) 款在本附表第 4(3) 及 (4)、6(3) 及 8(3) 條規限 period, to provide the VA service under this 下具有效力。 Ordinance. (3) 如任何個人根據本附表第 8 條被當作獲批准擔任負 (2) Subsection (1) has effect subject to sections 4(3) and 責人員，則本條例適用於該名個人，並就該名個人 (4), 6(3) and 8(3) of this Schedule. (3) If an individual is deemed for a period to be approved as a responsible officer under section 8 of this Schedule, this Ordinance applies to, and in relation to, that individual as if the individual were <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1244 第5條 Section 5 A1245 適用，猶如該名個人在該段期間內根據本條例獲批 approved, for that period, as a responsible officer 准擔任負責人員。 under this Ordinance. 10. 當作撤回申請 10. Deemed withdrawal of applications (1) 本條在以下情況下適用 —— (1) This section applies if— (a) 某人 ( 申請人 ) 已提出第 (i)、(ii) 或 (iii) 節提述 (a) a person (applicant) has made an application or 的一項或多於一項申請 ( 在每一情況下均稱為 applications referred to in subparagraph (i), (ii) 指明申請 ) —— or (iii) (referred to in each case as specified (i) 按照第 53ZRK 條提出的申請，要求獲發 application)— 牌提供虛擬資產服務； (i) an application made in accordance with (ii) 以下兩者 —— section 53ZRK to be licensed to provide a VA service; (A) 按照第 53ZRL 條提出的申請，要求 提供虛擬資產服務 ( 但並非作為提供 (ii) both— 虛擬資產服務的法團的負責人員 ) 的 (A) an application made in accordance 牌照；及 with section 53ZRL for a licence to (B) 按照第 53ZRM 條提出的申請，要求 provide a VA service, but not as a 隸屬某法團； responsible officer of a corporation providing the VA service; and (iii) 所有以下申請 —— (B) an application made in accordance (A) 按照第 53ZRL 條提出的申請，要求 with section 53ZRM for accreditation 提供虛擬資產服務的牌照； to a corporation; (B) 按照第 53ZRM 條提出的申請，要求 (iii) all of the following— 隸屬某法團； (A) an application made in accordance with section 53ZRL for a licence to provide a VA service; (B) an application made in accordance with section 53ZRM for accreditation to a corporation; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1246 第5條 Section 5 A1247 (C) 第 53ZRP 條 提 述 的 申 請，要 求 就 該 (C) an application referred to in section 法團獲批准擔任負責人員；及 53ZRP for approval as a responsible (b) 證監會已就申請人的指明申請，向申請人發出 officer in relation to the corporation; 指明通知，即 —— and (i) ( 如 (a)(i) 段適用 ) 第 3 條通知； (b) the Commission has given, to the applicant in respect of the applicant’s specified application, a (ii) ( 如 (a)(ii) 段適用 ) 第 5 條通知；或 specified notice, that is to say— (iii) ( 如 (a)(iii) 段適用 ) 第 7 條通知。 (i) if paragraph (a)(i) applies, a section 3 (2) 申請人在收到指明通知時，可藉在反對限期內，給 notice; 予證監會符合指明格式的書面通知，對該申請人的 (ii) if paragraph (a)(ii) applies, a section 5 指明申請被當作撤回一事，提出反對。 notice; or (3) 如關於指明通知的反對限期屆滿，而申請人沒有按 (iii) if paragraph (a)(iii) applies, a section 7 照第 (2) 款提出反對，則申請人的指明申請須當作 notice. 已撤回。 (2) On receiving a specified notice, an applicant may (4) 如申請人按照第 (2) 款，在反對限期內反對當作撤 object to the deemed withdrawal of the applicant’s 回，則證監會須按照以下條文 ( 視情況所需而定 ) specified application by giving to the Commission a 就指明申請作出決定 —— written notice in the specified form within the (a) 第 53ZRK 條； objection period. (b) 第 53ZRL 及 53ZRM 條；或 (3) If the objection period in relation to the specified (c) 第 53ZRL、53ZRM 及 53ZRP 條。 notice expires without the applicant having raised an objection in accordance with subsection (2), the applicant’s specified application is to be regarded as having been withdrawn. (4) If the applicant objects to the deemed withdrawal within the objection period in accordance with subsection (2), the Commission must determine the specified application in accordance with (as the case requires)— (a) section 53ZRK; (b) sections 53ZRL and 53ZRM; or (c) sections 53ZRL, 53ZRM and 53ZRP. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1248 第5條 Section 5 A1249 第4部 Part 4 不被當作或不再被當作獲發牌的法團結業 Closing Down if Corporation Not Deemed, or No Longer Deemed, to be Licensed 11. 結業期的延續期 11. Duration of closing-down period (1) 如任何法團根據第 53ZRK 條提出申請，尋求就虛 (1) If a corporation makes an application to be licensed 擬資產服務獲發牌，而有第 3 條通知就該申請發出， for a VA service under section 53ZRK and a section 則適用於該法團的結業期 —— 3 notice is issued in respect of the application, the (a) 在第 3 條通知發出當日 ( 開始日 ) 開始；及 closing-down period applicable to the corporation— (b) 在本附表第 14 條的規限下，在以下兩個時間 (a) begins on the day on which the section 3 notice 中的較遲者完結 —— is issued (start day); and (i) 首 12 個月屆滿時； (b) subject to section 14 of this Schedule, ends on the later of the following— (ii) 自開始日起計的 3 個月屆滿時。 (i) the expiry of the first 12 months; (2) 不論上述法團是否已按照本附表第 10 條反對當作 撤回上述申請，第 (1) 款仍然適用。 (ii) the expiry of the 3 months beginning on the start day. (3) 如 —— (2) Subsection (1) applies whether or not the corporation (a) 某法團根據第 53ZRK 條提出申請，尋求就虛 has objected to the deemed withdrawal of the 擬資產服務獲發牌，並根據本附表第 4 條，被 application in accordance with section 10 of this 當作就虛擬資產服務獲發牌；及 Schedule. (b) 該法團撤回該申請， (3) If— (a) a corporation has made an application to be licensed for a VA service under section 53ZRK and is deemed under section 4 of this Schedule to be licensed for the VA service; and (b) the corporation has withdrawn the application, <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1250 第5條 Section 5 A1251 則在本附表第 14 條的規限下，適用於該法團的結 the closing-down period applicable to the corporation 業期，是自該申請被撤回當日起計的 3 個月。 is, subject to section 14 of this Schedule, the period (4) 如 —— of 3 months beginning on the day on which the application is withdrawn. (a) 任何法團根據第 53ZRK 條提出申請，尋求就 虛擬資產服務獲發牌，並根據本附表第 4 條， (4) If— 被當作就虛擬資產服務獲發牌；及 (a) the corporation has made an application to be (b) 在該申請被拒絕 ( 決定 ) 時，該法團 —— licensed for a VA service under section 53ZRK and is deemed under section 4 of this Schedule (i) 沒有提出申請，要求覆核該決定；或 to be licensed for the VA service; and (ii) 提出申請，要求覆核該決定，但該決定在 (b) on the refusal of the application (decision), the 覆核中獲確認， corporation— 則在本附表第 14 條的規限下，適用於該法團的結 (i) does not apply for a review of the decision; 業期，是自該決定根據第 75 條作為指明決定生效 or 當日起計的 3 個月。 (ii) applies for a review of the decision but the decision is confirmed on review, the closing-down period applicable to the corporation is, subject to section 14 of this Schedule, the period of 3 months beginning on the day on which the decision takes effect as a specified decision under section 75. 12. 在結業期內結束業務，不違反第 53ZRD 條 12. Section 53ZRD not contravened by closing down business (1) 如以下條件獲符合，則本附表第 11 條適用的法團 during closing-down period 作出經營或顯示自己經營提供虛擬資產服務的業務 (1) An act, by a corporation to which section 11 of this 的作為，並不構成違反第 53ZRD(1) 條 —— Schedule applies, of carrying on, or holding itself (a) 該作為是在適用於該法團的結業期內作出的； out as carrying on, a business of providing a VA 及 service does not constitute a contravention of section 53ZRD(1) if— (a) the act is done during the closing-down period applicable to the corporation; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1252 第5條 Section 5 A1253 (b) 作出該作為，純粹是為了結束與該項虛擬資產 (b) the act is done solely for the purpose of closing 服務有關連的業務。 down the business that is connected with the VA (2) 第 (3) 款在以下情況下適用於某名個人 —— service. 在與某法團根據第 53ZRK 條申請獲發牌提供 (a) (2) Subsection (3) applies to an individual if— 虛擬資產服務相關的情況下，該名個人提出以 (a) in connection with an application made by a 下申請 —— corporation to be licensed to provide a VA (i) 根據第 53ZRL 條提出的申請，尋求獲發 service under section 53ZRK, the individual has 牌代表該法團提供虛擬資產服務； made the following applications— (ii) 根據第 53ZRM 條提出的申請，尋求隸屬 (i) an application under section 53ZRL, to be 該法團；及 licensed to provide the VA service on behalf of the corporation; (b) 本 附 表 第 11(1)、(3) 或 (4) 條 的 結 業 期，適 用 於該法團 ( 結業期法團 )。 (ii) an application under section 53ZRM to be accredited to the corporation; and (3) 如以下條件獲符合，則第 (2) 款提述的個人就結業 期法團提供虛擬資產服務的業務，作出執行或顯示 (b) the corporation is one to which a closing-down 自 己 執 行 受 規 管 職 能 的 作 為，並 不 構 成 違 反 第 period under section 11(1), (3) or (4) of 53ZRD(3) 條 —— this Schedule applies (closing-down period corporation). (a) 該作為是在適用於該結業期法團的結業期內作 出的；及 (3) An act, by an individual referred to in subsection (2), of performing, or holding himself or herself out as (b) 作 出 該 作 為，純 粹 是 為 了 結 束 該 結 業 期 法 團 performing, a regulated function in relation to a 的、與該項虛擬資產服務有關連的業務。 business, carried on by the closing-down period corporation, of providing a VA service does not constitute a contravention of section 53ZRD(3) if— (a) the act is done during the closing-down period applicable to the closing-down period corporation; and (b) the act is done solely for the purpose of closing down the business, of the closing-down period corporation, that is connected with that VA service. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1254 第5條 Section 5 A1255 13. 在 某 些 情 況 下，個 人 協 助 結 束 業 務，不 違 反 第 53ZRD 13. Section 53ZRD not contravened by individual assisting to 條 close down business in certain circumstances (1) 在第 (2) 款的規限下，任何個人 ( 指明個人 ) 就結業 (1) Subject to subsection (2), an individual (specified 期法團提供虛擬資產服務的業務，作出符合以下說 individual) who does an act in relation to the carrying 明的作為，不屬違反第 53ZRD(3) 條 —— on, by a closing-down period corporation, of a (a) 有關作為是在適用於該結業期法團的結業期內 business of providing a VA service does not 作出的；及 contravene section 53ZRD(3) if— (b) 作 出 該 作 為，純 粹 是 為 了 結 束 該 結 業 期 法 團 (a) the act is done during the closing-down period 的、與該項虛擬資產服務有關連的業務。 applicable to the closing-down period corporation; and (2) 第 (1) 款只在以下情況下適用 —— (b) the act is done solely for the purpose of closing (a) 沒有屬本附表第 12(2) 條提述的個人，能夠協 down the business, of the closing-down period 助有關結業期法團結束有關業務；及 corporation, that is connected with the VA (b) 該結業期法團已給予證監會事先書面通知，述 service. 明指明個人會協助該法團，而該法團接獲證監 (2) Subsection (1) applies only if— 會的認收書，確認收到該通知。 (a) no individual referred to in section 12(2) of this (3) 在本條中 —— Schedule is able to assist the closing-down 結 業 期 法 團 (closing-down period corporation) 在 本 附 表 period corporation to close down that business; 第 11 條就某法團指明適用結業期的情況下，指該 and 法團。 (b) the closing-down period corporation has given prior written notice to the Commission that the specified individual would be assisting the corporation, and the corporation has received f ro m t h e C o m m i s s i o n a w r i t t e n acknowledgement of receipt of the notice. (3) In this section— closing-down period corporation (結業期法團) means a corporation in respect of which section 11 of this Schedule specifies an applicable closing-down period. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1256 第5條 Section 5 A1257 14. 延展結業期 14. Extension of closing-down period (1) 如本附表第 11 條就某法團指明適用結業期，該法 (1) A corporation, in respect of which section 11 of this 團可向證監會申請延展該結業期。 Schedule specifies an applicable closing-down period, (2) 根據第 (1) 款提出的申請須藉書面作出，並在適用 may apply to the Commission for an extension of 於該法團的結業期 ( 在適用情況下，指根據本條延 that closing-down period. 展者 ) 完結前作出。 (2) An application under subsection (1) must be made, (3) 證監會在接獲有關申請後，可在顧及有關法團的業 in writing, before the end of the closing-down period 務及活動的情況後，將適用於該法團的結業期，延 applicable to the corporation (if applicable, as 展一段證監會認為適當的期間。 extended under this section). (4) 就本附表第 12 及 13 條而言，適用於該法團的結業 (3) On receiving the application, the Commission may 期須視作包括根據本條延展的期間。 extend the closing-down period applicable to the corporation for a period that the Commission considers appropriate, having regard to the circumstances of the corporation’s business and activities. (4) For the purposes of sections 12 and 13 of this Schedule, the closing-down period applicable to the corporation must be taken to include the period as extended under this section. 15. 證監會施加的規定 15. Requirements imposed by Commission (1) 證監會可藉向第 12 或 13 條所適用的法團或個人送 (1) The Commission may, by a written notice served on 達書面通知，對該法團或個人 ( 施加對象 ) 施加一 a corporation to which, or an individual to whom, 項或多於一項第 (2) 款指明的規定。 section 12 or 13 applies, impose on the corporation (2) 證監會可施加的規定是 —— or individual (recipient) one or more of the requirements specified in subsection (2). (a) 要求施加對象以指明方式，提供有關虛擬資產 服務； (2) The requirements that the Commission may impose are— (b) 要求施加對象不得以指明方式，提供有關虛擬 資產服務； (a) to require the recipient to provide the VA service concerned in a specified manner; (b) to require the recipient not to provide the VA service concerned in a specified manner; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1258 第5條 Section 5 A1259 要求施加對象 ( 如屬法團 ) 以指明方式或不得 (c) (c) to require the recipient who is a corporation to 以指明方式，處理任何資產，不論該資產是在 deal with or refrain from dealing with, any 香港或其他地方，亦不論該資產是否屬於施加 assets whether in Hong Kong or elsewhere and 對象；及 whether or not they are the recipient’s assets, in (d) 要求施加對象 ( 如屬法團 ) 在香港或在香港以 a specified manner; and 外的指明地方，維持符合以下說明的資產 —— (d) to require the recipient who is a corporation to (i) 該等資產的價值、類別或種類，就為確保 maintain assets in Hong Kong or a specified 施加對象有能力應付施加對象的負債 ( 就 place outside Hong Kong so that— 其經營的有關虛擬資產服務的業務而負者 ) (i) the assets are of a value or class or 而言，屬證監會覺得可取的；而 description that appear to be desirable to (ii) 以會使施加對象在任何時間均能夠自由 the Commission for the purpose of 地轉移或以其他方式處置該等資產的方 ensuring that the recipient will be able to 式，維持該等資產。 meet the recipient’s liabilities in respect of the business in the VA service concerned (3) 在不局限第 (1) 及 (2) 款的原則下，證監會可根據第 carried on by that recipient; and (1) 款施加任何規定，該等規定在 以下情 況下，在 首 12 個月內的任何期間適用 —— (ii) the assets are maintained in a manner that will enable the recipient at any time to (a) ( 如屬對某法團施加該等規定的情況 ) 該期間 freely transfer or otherwise dispose of the 是該法團的結束期的一部分；或 assets. (b) ( 如屬對某名個人施加該等規定的情況，而該 (3) Without limiting subsections (1) and (2), the 名個人就某法團經營提供虛擬資產服務業務而 Commission may impose any requirement under 行事 ) 該期間是該法團的結束期的一部分。 subsection (1) to apply during any period within the first 12 months if the period forms part of the closing-down period applicable to— (a) the corporation on which the requirements are imposed; or (b) if the requirements are imposed on an individual acting in relation to the carrying on, by a corporation, of a business of providing a VA service—the corporation. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1260 第5條 Section 5 A1261 (4) 任何法團或個人沒有遵守根據第 (1) 款施加的規定， (4) Any corporation or individual who fails to comply 即屬犯罪。 with a requirement imposed under subsection (1) (5) 任何法團犯第 (4) 款所訂罪行 —— commits an offence. (a) 一經循公訴程序定罪，可處罰款 $10,000,000； (5) A corporation that commits an offence under 或 subsection (4) is liable— (b) 一經循簡易程序定罪，可處罰款 $500,000 。 (a) on conviction on indictment to a fine of $10,000,000; or (6) 任何個人犯第 (4) 款所訂罪行 —— (b) on summary conviction to a fine of $500,000. (a) 一 經 循 公 訴 程 序 定 罪，可 處 罰 款 $10,000,000 及監禁 7 年；或 (6) An individual who commits an offence under subsection (4) is liable— (b) 一經循簡易程序定罪，可處罰款 $500,000 及監 禁 6 個月。 (a) on conviction on indictment to a fine of $10,000,000 and to imprisonment for 7 years; or (b) on summary conviction to a fine of $500,000 and to imprisonment for 6 months. 附表 3H Schedule 3H [ 第 53ZTZ 及 53ZVQ 條 ] [ss. 53ZTZ & 53ZVQ] 就指明現金交易 的定義指明的款額 Amount Specified for Definition of specified cash transaction $120,000 或折算為另一貨幣的相同款額 $120,000 or an equivalent amount in another currency <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1262 第5條 Section 5 A1263 附表 3I Schedule 3I [ 第 53ZTZ 及 53ZVQ 條 ] [ss. 53ZTZ & 53ZVQ] 就指明交易 的定義指明的款額 Amount Specified for Definition of specified transaction $120,000 或折算為另一貨幣的相同款額 $120,000 or an equivalent amount in another currency 附表 3J Schedule 3J [ 第 53ZUB、53ZVK 及 [ss. 53ZUB, 53ZVK & 53ZVQ 條 ] 53ZVQ] 現金交易報告中須提供的資料 Information to be Provided in Cash Transaction Report 第1部 Part 1 資料 Information 1. 須提供的資料 1. Information to be provided 關於某非香港貴金屬及寶石交易商 ( 交易商 ) 與客户 ( 客 A cash transaction report, in relation to a specified cash 户 ) 進 行 的 指 明 現 金 交 易 ( 交 易 ) 的 現 金 交 易 報 告，須 transaction (transaction) carried out by a non-Hong Kong 載有以下資料 —— precious metals and stones dealer (dealer) with a customer (customer), must contain the following information— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1264 第5條 Section 5 A1265 (a) 該交易商的基本資料； (a) basic information of the dealer; (b) 每 名 指 明 個 人 ( 第 53ZVK(4) 條 所 界 定 者 ) 的 (b) travel information of each specified individual 關於有關交易的行程資料 —— (as defined by section 53ZVK(4)) in relation to (i) 抵達香港前所在的上一個港口； the transaction— (ii) 預定離開香港後前往的下一個港口； (i) last port before arrival in Hong Kong; (iii) 抵達香港的日期； (ii) scheduled next port after departure from Hong Kong; (iv) 預定離開香港的日期；及 (iii) date of arrival in Hong Kong; (v) 使用交通工具抵達及離開的詳情 ( 例如航 班編號、車輛的登記號碼及船隻名稱 )； (iv) scheduled date of departure from Hong Kong; and (c) 有關交易的資料，包括 —— (v) particulars of means of transport used on (i) 交易日期； arrival and departure (such as flight (ii) 交易所涉的貴金屬、寶石、貴重產品或買 numbers, vehicle registration numbers and 賣貴重資產支持工具的描述； vessel names); (iii) 一項或多於一項的現金付款的款額；及 (c) information on the transaction, including— (iv) 進行交易的地點的地址； (i) transaction date; (d) 客户的基本資料。 (ii) descriptions of the precious metals, precious stones, precious products or precious-asset-backed instruments traded; (iii) amount of payment or payments in cash; and (iv) address of the place where the transaction was carried out; (d) basic information of the customer. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1266 第5條 Section 5 A1267 第2部 Part 2 釋義 Interpretation 2. 釋義 2. Interpretation (1) 凡某詞句在本附表中使用，並在第 5C 部中界定或 (1) An expression used in this Schedule, and defined or 以其他方式解釋，則該詞句的涵義，與該詞句在該 otherwise explained in Part 5C, has the same 部中的涵義相同。 meaning as in that Part. (2) 在本附表中 —— (2) In this Schedule— 基本資料 (basic information) —— basic information (基本資料)— (a) 就個人而言，指該名個人的以下詳情 —— (a) in relation to an individual, means the following (i) 全名； particulars of the individual— (ii) 旅行證件號碼及發出地方； (i) full name; (iii) 國籍； (ii) number and place of issue of travel document; (iv) 出生日期及出生地點； (iii) nationality; (v) 居籍或永久居留地； (iv) date and place of birth; (vi) 香港地址；或 (v) domicile or place of permanent residence; (b) 就並非個人的人而言，指該人的以下詳情 —— (vi) address in Hong Kong; or (i) 名稱； (b) in relation to a person who is not an individual, (ii) 該人的主要營業地點的地址； means the following particulars of the person— (i) name; (ii) address of the principal place of business of the person; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1268 第5條 Section 5 A1269 (iii) 如 該 人 屬 法 團 ——該 法 團 在 其 成 立 所 在 (iii) if the person is a corporation, address of 地的註冊辦事處 ( 或等同於註冊辦事處的 the registered office (or its equivalent) of 地點 ) 的地址； the person in its place of incorporation; (iv) 在有關交易中代表該人行事的每名個人 (iv) the following particulars of each individual 的以下詳情 —— acting on behalf of the person in the (A) 全名； transaction— (B) 該名個人的識別文件號碼，以及 ( 如 (A) full name; 該名個人的識別文件是旅行證件 ) 發 (B) the individual’s identification 出該旅行證件的地方； document number and, if the (C) 該名個人以何身分代表該交易商行 individual’s identification document is 事； a travel document, place of issue of the travel document; (D) 香港地址。 (C) capacity in which the individual acted for the dealer; (D) address in Hong Kong. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1270 第5條 Section 5 A1271 附表 3K Schedule 3K [ 第 53ZUB、53ZUD、53ZUF、 [ss. 53ZUB, 53ZUD, 53ZUF, 53ZUH、53ZUL、53ZUS、 53ZUH, 53ZUL, 53ZUS, 53ZUZ 及 53ZVQ 條 ] 53ZUZ & 53ZVQ] 關乎第 5C 部的費用 Fees in relation to Part 5C 第1部 Part 1 費用 Fees 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項 事宜詳情 費用 Item Particulars of matter Fee 1. 核證註冊紀錄冊的記項或摘錄 每份複本 $160 1. For certifying a copy of an entry $160 per copy 的複本 in, or extract from, the register 2. 提供註冊紀錄冊的記項或摘錄 每頁 $1.3 ( 或 2. For providing an uncertified $1.3 per page 的未經核證複本 一頁的部分 ) copy of an entry in, or extract or portion of a from, the register page 3. 提供第 53ZUD(1)(b) 條指明的 每份 $160 證明書 3. For providing a certificate $160 per copy specified in section 53ZUD(1)(b) 4. 申請註冊為 A 類註冊人 $260 4. Application for registration as a $260 5. 根據第 53ZUH 條須由 A 類註 $195 Category A registrant 冊人繳付的每年費用 5. Annual fee payable by a $195 Category A registrant under section 53ZUH <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 1 分部 Part 2—Division 1 Ord. No. 15 of 2022 A1272 第5條 Section 5 A1273 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項 事宜詳情 費用 Item Particulars of matter Fee 6. 申請註冊 —— 6. Application for registration— (a) 為 B 類註冊人 $1,970 (a) as a Category B $1,970 (b) 就每一個須予斷定是 $650 registrant 否符合適當人選評定 (b) plus for each person $650 準則的人，另加 who is subject to the fit and proper test 7. 申請將以下註冊人的註冊續 期 —— 7. Application for the renewal of (a) B 類註冊人 $1,060 registration— (b) 就每一個須予斷定是 (a) as a Category B $1,060 $650 否符合適當人選評定 registrant 準則的人，另加 (b) plus for each person $650 who is subject to the 8. 申請批准成為B類註冊人的最終 申請所關乎的 fit and proper test 擁有人 每一人$690 8. Application for an approval to $690 for each 9. 申請批准成為B類註冊人的合夥 申請所關乎的 become a Category B registrant’s person in 人 每一人$690 ultimate owner relation to whom the application is made 9. Application for an approval to $690 for each become a Category B registrant’s person in partner relation to whom the application is made <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1274 第6條 Section 6 A1275 第1欄 第2欄 第3欄 Column 1 Column 2 Column 3 項 事宜詳情 費用 Item Particulars of matter Fee 10. 申請批准成為 B 類註冊人的董 申請所關乎的 10. Application for an approval to $690 for each 事 每一人 $690 become a Category B registrant’s person in director relation to whom the application is made 第2部 Part 2 釋義 Interpretation 1. 釋義 1. Interpretation 凡某詞句在本附表中使用，並在第 5C 部中界定或以其 An expression used in this Schedule, and defined or 他方式解釋，則該詞句的涵義，與該詞句在該部中的涵 otherwise explained in Part 5C, has the same meaning as 義相同。” 。 in that Part.”. 第 2 分部 ——就客户作盡職審查的規定及雜項事宜 Division 2—Customer Due Diligence Requirements and Miscellaneous Matters 6. 修訂第 5 條 ( 附表 2 就金融機構而具有效力 ) 6. Section 5 amended (Schedule 2 has effect with respect to (1) 第 5(11) 條，指明的條文 的定義，在 “3(1)、” 之後 —— financial institutions) 加入 (1) Section 5(11), definition of specified provision, after “3(1),”— “(1A)、(1B)、” 。 Add (2) 第 5(11) 條，指明的條文 的定義，在 “13(2)、” 之後 —— “(1A), (1B),”. 加入 (2) Section 5(11), definition of specified provision, after “13(2),”— Add <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1276 第7條 Section 7 A1277 “13A(2)、(4)、(5)、(6) 或 (7)、” 。 “13A(2), (4), (5), (6) or (7),”. (3) 第 5(11) 條，指明的條文 的定義，在 “19(1)、(2)” 之後—— (3) Section 5(11), definition of specified provision— 加入 Repeal “、(2A)” 。 “19(1), (2)” (4) 第 5(11) 條，指明的條文 的定義，在 “20(1)、(2)、(3)” 之 Substitute 後 —— “19(1), (2), (2A)”. 加入 (4) Section 5(11), definition of specified provision— “、(3A)” 。 Repeal “20(1), (2), (3)” Substitute “20(1), (2), (3), (3A)”. 7. 修訂第 5A 條 ( 附表 2 就指定非金融業人士而具有效力 ) 7. Section 5A amended (Schedule 2 has effect in relation to 在第 5A(5) 條之後 —— DNFBPs) 加入 After section 5A(5)— “(5A) 凡指定非金融業人士屬貴金屬及寶石 B 類註冊人， Add 則僅在該註冊人以業務形式在香港與客户進行不屬 “(5A) An AML/CTF requirement that applies to a DNFBP 豁除交易的指明現金交易的情況下，反洗錢及恐怖 who is a Category B PMS registrant only applies 分子集資規定方適用於該指定非金融業人士。 when, by way of business, the registrant carries out, (5B) 就某 B 類註冊人而言，豁除交易指符合以下說明的 in Hong Kong with a customer, a specified cash 指明現金交易 —— transaction that is not an excluded transaction. (a) 該交易涉及一項或多於一項的現金付款，是純 (5B) In relation to a Category B registrant, an excluded 粹由該 B 類註冊人支付予另一名 B 類註冊人； transaction means a specified cash transaction 及 where— (a) the payment or payments in cash involved in the transaction is or are exclusively made by the Category B registrant to another Category B registrant; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1278 第8條 Section 8 A1279 (b) 除 該 2 名 B 類 註 冊 人 外，該 交 易 無 其 他 交 易 (b) the 2 Category B registrants are the only parties 方。” 。 to the transaction.”. 8. 加入第 3 部第 1 分部標題 8. Part 3, Division 1 heading added 第 3 部，在第 8 條之前 —— Part 3, before section 8— 加入 Add “第 1 分部 ——導言” 。 “Division 1—Preliminary”. 9. 修訂第 8 條 ( 第 3 部的釋義 ) 9. Section 8 amended (interpretation of Part 3) (1) 第 8 條，英文文本，investigator 的定義 —— (1) Section 8, English text, definition of investigator— 廢除句點 Repeal the full stop 代以分號。 Substitute a semicolon. (2) 第 8 條 —— (2) Section 8— 按筆劃數目順序加入 Add in alphabetical order “有連繫法團 (related corporation)——參閱第 53ZRC 條； “associated entity (有聯繫實體) has the meaning given by 有聯繫實體 (associated entity) 具有第 53ZR 條所給予的 section 53ZR; 涵義； non-Part 5B prescribed person (非第5B部訂明人士) means 非 第 5B 部 訂 明 人 士 (non-Part 5B prescribed person) 指 a person who is any of the following (whether or not 屬任何以下人士的人 ( 不論該人是否亦屬持牌虛擬 the person is also a licensed VAS provider or an 資產服務提供者或持牌虛擬資產服務提供者的有聯 associated entity of a licensed VAS provider)— 繫實體 ) —— (a) an authorized institution; (a) 認可機構； (b) a licensed corporation; (b) 持牌法團； (c) an authorized insurer; (c) 獲授權保險人； (d) a licensed individual insurance agent; (d) 持牌個人保險代理； (e) a licensed insurance agency; (e) 持牌保險代理機構； (f) a licensed insurance broker company; (f) 持牌保險經紀公司； (g) a licensed money service operator; (g) 持牌金錢服務經營者； <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1280 第9條 Section 9 A1281 (h) 郵政署署長； (h) the Postmaster General; (i) 工具持牌人； (i) an SVF licensee; (j) 信託或公司服務持牌人； (j) a TCSP licensee; 貴金屬及寶石註冊人； (k) (k) a PMS registrant; 訂明人士 (prescribed person) 指 —— prescribed person (訂明人士) means— (a) 非第 5B 部訂明人士； (a) a non-Part 5B prescribed person; (b) 持牌虛擬資產服務提供者；或 (b) a licensed VAS provider; or 持牌虛擬資產服務提供者的有聯繫實體； (c) (c) an associated entity of a licensed VAS provider; 訂明規定 (prescribed requirement) —— prescribed requirement (訂明規定) means— (a) 就非第 5B 部訂明人士而言，指不得違反以下 (a) in relation to a non-Part 5B prescribed person, 各項的規定 —— the requirement not to contravene— (i) 本條例任何條文； (i) any provision of this Ordinance; (ii) 根 據 本 條 例 給 予 或 施 加 的 任 何 通 知、規 (ii) any notice or requirement given or imposed 定或要求； under this Ordinance; (iii) 本條例所指的任何牌照的任何條件； (iii) any of the conditions of any licence under (iv) 本條例所指的任何註冊的任何條件；或 this Ordinance; (v) 根據本條例施加的任何其他條件；或 (iv) any of the conditions of any registration under this Ordinance; or (b) 就持牌虛擬資產服務提供者或持牌虛擬資產服 務提供者的有聯繫實體而言，指不得違反以下 (v) any other condition imposed under this 各項的規定 —— Ordinance; or (i) 本條例任何條文； (b) in relation to a licensed VAS provider or an associated entity of a licensed VAS provider, the (ii) 根據本條例任何條文公布的守則或指引 requirement not to contravene— 中的任何條文； (i) any provision of this Ordinance; (ii) any provision in a code or guideline published under any provision of this Ordinance; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1282 第 10 條 Section 10 A1283 (iii) 根據或依據本條例任何條文給予或施加 (iii) any notice, prohibition or requirement 的任何通知、禁止、規定或要求； given or imposed under or pursuant to any (iv) 證監會根據或依據第 5B 部中任何條文施 provision of this Ordinance; 加的任何牌照的條件；或 (iv) any conditions of any licence imposed by (v) 證監會根據或依據本條例任何條文施加 the Securities and Futures Commission 的任何其他條件；” 。 under or pursuant to any provision in Part 5B; or (v) any other condition imposed by the Securities and Futures Commission under or pursuant to any provision of this Ordinance; related corporation (有連繫法團)—see section 53ZRC.”. 10. 加入第 3 部第 2 分部標題 10. Part 3, Division 2 heading added 在第 9 條之前 —— Before section 9— 加入 Add “第 2 分部 ——進入、視察和調查的權力” 。 “Division 2—Powers to Enter, Inspect and Investigate”. 11. 修訂第 9 條 ( 進入業務處所等作例行視察的權力 ) 11. Section 9 amended (power to enter business premises etc. for (1) 第 9 條 —— routine inspection) 廢除第 (1) 款 (1) Section 9— 代以 Repeal subsection (1) “(1) 為確定某訂明人士 ( 視察對象 ) 是否正遵從、已遵 Substitute 從或相當可能有能力遵從訂明規定，獲授權人具有 “(1) For the purpose of ascertaining whether a prescribed 第 (1A) 或 (1B) 款指明的權力。 person (inspection subject) is complying or has complied with, or is likely to be able to comply with, a prescribed requirement, an authorized person has the powers specified in subsection (1A) or (1B). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1284 第 11 條 Section 11 A1285 (1A) 就屬非第 5B 部訂明人士的某視察對象 ( 非第 5B 部 (1A) In relation to an inspection subject who is a non-Part 視察對象 ) 而言，獲授權人可於任何合理時間 —— 5B prescribed person (non-Part 5B inspection subject), (a) 進入該視察對象的業務處所； an authorized person may at any reasonable time— (b) 查閱和複製或複印任何指明業務紀錄，或以其 (a) enter the business premises of the inspection 他方式，記錄該等紀錄的細節；及 subject; (c) 向 —— (b) inspect, and make copies or otherwise record details of, any specified business record; and (i) 該視察對象；或 (c) make inquiries— (ii) ( 在第 (6) 款的規限下 ) 任何資料持有人， (i) of the inspection subject; or 作出關乎任何指明業務紀錄或任何指明交易的 查訊。 (ii) subject to subsection (6), of any information holder, (1B) 就某視察對象 ( 屬持牌虛擬資產服務提供者或持牌 虛擬資產服務提供者的有聯繫實體者 ) 而言，獲授 concerning any specified business record, or 權人可於任何合理時間 —— concerning any specified transaction. (a) 進入該提供者的業務處所，或該提供者的有聯 (1B) In relation to an inspection subject who is a licensed 繫實體的業務處所； VAS provider or an associated entity of a licensed VAS provider, an authorized person may at any (b) 查閱和複製或複印任何指明業務紀錄，或以其 reasonable time— 他方式，記錄該等紀錄的細節；及 (a) enter the business premises of the licensed VAS (c) 向 —— provider or an associated entity of the licensed (i) 以下的人 —— VAS provider; (A) 該提供者； (b) inspect, and make copies or otherwise record (B) 該提供者的有聯繫實體； details of, any specified business record; and (C) 該提供者的有連繫法團；或 (c) make inquiries— (i) of— (A) the licensed VAS provider; (B) an associated entity of the licensed VAS provider; (C) a related corporation of the licensed VAS provider; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1286 第 11 條 Section 11 A1287 (D) 該提供者的有聯繫實體的有連繫法 (D) a related corporation of an associated 團；或 entity of the licensed VAS provider; (ii) ( 在第 (6) 款的規限下 ) 任何資料持有人， or 作出關乎任何指明業務紀錄或任何指明交易或 (ii) subject to subsection (6), of any 活動的查訊。” 。 information holder, (2) 第 9 條 —— concerning any specified business record, or concerning any specified transaction or 廢除第 (2) 款。 activity.”. (3) 第 9 條 —— (2) Section 9— 廢除第 (3)、(4) 及 (5) 款 Repeal subsection (2). 代以 (3) Section 9— “(3) 在 不 抵 觸 第 9A 條 的 情 況 下，獲 授 權 人 在 行 使 第 Repeal subsections (3), (4) and (5) (1A)(b) 或 (1B)(b) 款所指的權力時，可 —— Substitute (a) 要求以下的人作出第 (4) 款指明的任何作為 —— “(3) Subject to section 9A, an authorized person in (i) 如 權 力 是 就 某 非 第 5B 部 視 察 對 象 而 行 exercising any power under subsection (1A)(b) or 使 ——該視察對象；或 (1B)(b) may— (ii) 如權力是就某視察對象 ( 屬持牌虛擬資產 (a) require any of the following persons to do any 服務提供者或持牌虛擬資產服務提供者 of the acts specified in subsection (4)— 的有聯繫實體者 ) 而行使 —— (i) if the power is exercised in respect of a (A) 該提供者； non-Part 5B inspection subject—the (B) 該提供者的有聯繫實體； inspection subject; (C) 該提供者的有連繫法團；或 (ii) if the power is exercised in respect of an inspection subject who is a licensed VAS provider or an associated entity of a licensed VAS provider— (A) the licensed VAS provider; (B) an associated entity of the licensed VAS provider; (C) a related corporation of the licensed VAS provider; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1288 第 11 條 Section 11 A1289 (D) 該提供者的有聯繫實體的有連繫法 (D) a related corporation of an associated 團；及 entity of the licensed VAS provider; (b) 在第 (7) 款的規限下，要求任何資料持有人作 and 出第 (4) 款指明的任何作為。 (b) subject to subsection (7), require any (4) 指明的作為是 —— information holder to do any of the acts specified in subsection (4). (a) 讓獲授權人取覽任何指明業務紀錄，並在獲授 權人指明的限期內及指明的地點，交出該等紀 (4) The specified acts are— 錄；及 (a) to give the authorized person access to any (b) 回答任何關於該等紀錄的問題。 specified business record, and produce the record within the time and at the place specified (5) 在不抵觸第 9A 條的情況下，獲授權人在就第 (1A)(c) by the authorized person; and 或 (1B)(c) 款指明的某人行使該款所指的權力時， 可要求該人 —— (b) to answer any question regarding the record. (a) 讓獲授權人取覽任何指明業務紀錄，並在獲授 (5) Subject to section 9A, an authorized person in 權人指明的限期內及指明的地點，交出該等紀 exercising any power under subsection (1A)(c) or 錄；及 (1B)(c) in respect of a person specified in that subsection may require the person— (b) 回答任何為該款的目的而提出的問題。” 。 (a) to give the authorized person access to any (4) 第 9(6) 條 —— specified business record, and produce the 廢除 record within the time and at the place specified “(1)(c)(ii)” by the authorized person; and 代以 (b) to answer any question raised for the purposes of that subsection.”. “(1A)(c)(ii) 或 (1B)(c)(ii)” 。 (4) Section 9(6)— (5) 第 9(6) 條 —— Repeal 廢除 “(1)(c)(ii)” “(1)(c)(i)” Substitute “(1A)(c)(ii) or (1B)(c)(ii)”. (5) Section 9(6)— Repeal “(1)(c)(i)” <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1290 第 11 條 Section 11 A1291 代以 Substitute “(1A)(c)(i) 或 (1B)(c)(i)” 。 “(1A)(c)(i) or (1B)(c)(i)”. (6) 第 9(7) 條 —— (6) Section 9(7)— 廢除 Repeal “紀錄、文件” “record or document” 代以 Substitute “指明業務紀錄” 。 “specified business record”. (7) 第 9 條 —— (7) Section 9— 廢除第 (8) 款。 Repeal subsection (8). (8) 第 9(15) 條，業務處所 的定義，(h) 段 —— (8) Section 9(15), definition of business premises, paragraph 廢除 (h)— “；及” Repeal 代以分號。 “; and” (9) 第 9(15) 條，中文文本，業務處所 的定義，(i)(iii) 段 —— Substitute a semicolon. 廢除 (9) Section 9(15), Chinese text, definition of 業務處所 , paragraph (i)(iii)— “錄。” Repeal 代以 “錄。” “錄；” 。 Substitute (10) 第 9(15) 條，業務處所 的定義，在 (i) 段之後 —— “錄；”. 加入 (10) Section 9(15), definition of business premises, after “(j) 就持牌虛擬資產服務提供者而言，指證監會根據第 paragraph (i)— 53ZRR 條批准的、該提供者的處所； Add “(j) in relation to a licensed VAS provider, means its premises as approved by the Securities and Futures Commission under section 53ZRR; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1292 第 11 條 Section 11 A1293 (k) 就持牌虛擬資產服務提供者的有聯繫實體而言，指 (k) in relation to an associated entity of a licensed VAS 該實體的任何處所；及 provider, means any premises of the associated entity; (l) 就貴金屬及寶石註冊人而言 ——除第 53ZVP 條另 and 有規定外，指該註冊人經營貴金屬及寶石業務所在 (l) in relation to a PMS registrant, means, subject to 的 任 何 處 所，包 括 該 註 冊 人 用 作 以 下 用 途 的 處 section 53ZVP, any premises at which the registrant 所 —— carries on a precious metals and stones business, (i) 與客户進行面對面交易； including any premises used by the registrant for the purpose of— (ii) 該註冊人的事務或業務的行政管理； (i) the carrying out of face-to-face transactions (iii) 處理交易；或 with customers; (iv) 儲存文件、數據或紀錄；” 。 (ii) the administration of the affairs or business of (11) 第 9(15) 條 —— the registrant; 按筆劃數目順序加入 (iii) the processing of transactions; or “資料持有人 (information holder) —— (iv) the storage of documents, data or records;”. (a) 就對非第 5B 部視察對象行使權力的獲授權人 (11) Section 9(15)— 而言 ——指符合以下說明的人 ( 不屬該視察對 Add in alphabetical order 象者 )：該獲授權人有合理因由相信，該人就 該視察對象，掌握關於指明業務紀錄或指明交 “information holder (資料持有人) means— 易的資料，或管有指明業務紀錄 ( 不論該人是 (a) in relation to an authorized person exercising a 否與該視察對象有關連 )；及 power in respect of a non-Part 5B inspection (b) 就對屬持牌虛擬資產服務提供者或持牌虛擬資 subject—a person (other than the inspection 產服務提供者的有聯繫實體的視察對象行使權 subject) whom the authorized person has 力 的 獲 授 權 人 而 言 ——指 符 合 以 下 說 明 的 reasonable cause to believe to have information 人 —— relating to any specified business record or any specified transaction, or to be in possession of any specified business record, in relation to the inspection subject (whether or not the person is connected with the inspection subject); and (b) in relation to an authorized person exercising a power in respect of an inspection subject who is a licensed VAS provider or an associated entity of a licensed VAS provider—a person— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1294 第 11 條 Section 11 A1295 (i) 該人不屬任何下列人士 ( 但可能與任何下 (i) who is none of the following (but may or 列人士有或沒有關連 ) —— may not be connected with any of the (A) 該提供者； following)— (B) 該提供者的有聯繫實體； (A) the licensed VAS provider; (C) 該提供者的有連繫法團； (B) an associated entity of the licensed VAS provider; (D) 該提供者的有聯繫實體的有連繫法 團；及 (C) a related corporation of the licensed VAS provider; (ii) 該 獲 授 權 人 有 合 理 因 由 相 信，該 人 就 該 視 察 對 象，掌 握 關 於 指 明 業 務 紀 錄 或 指 (D) a related corporation of an associated 明 交 易 或 活 動 的 資 料，或 管 有 指 明 業 務 entity of the licensed VAS provider; 紀錄。” 。 and (12) 在第 9(15) 條之後 —— (ii) whom the authorized person has reasonable cause to believe to have 加入 information relating to any specified “(16) 在本條中，就某非第 5B 部視察對象而言 —— business record or any specified transaction (a) 指明業務紀錄 (specified business record)，是指 or activity, or to be in possession of any 關於該視察對象所經營的業務的紀錄或文件， specified business record, in relation to the 或該視察對象進行的交易的紀錄或文件；及 inspection subject;”. (b) 指明交易 (specified transaction)，是指 (a) 段提 (12) After section 9(15)— 述的任何交易，不論是否有關於該交易的紀錄 Add 或文件。 “(16) In this section, in relation to a non-Part 5B inspection subject— (a) specified business record (指明業務紀錄) means any record or document relating to the business carried on, or any transaction carried out, by the inspection subject; and (b) specified transaction (指明交易) means a transaction referred to in paragraph (a), whether or not there is any record or document relating to the transaction. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1296 第 12 條 Section 12 A1297 (17) 在本條中，就某視察對象 ( 屬持牌虛擬資產服務提 (17) In this section, in relation to an inspection subject 供者或持牌虛擬資產服務提供者的有聯繫實體者 ) that is a licensed VAS provider or an associated 而言 —— entity of a licensed VAS provider— (a) 指明業務紀錄 (specified business record)，是指 (a) specified business record (指明業務紀錄) means 關於以下業務或交易或活動的紀錄或文件 —— any record or document relating to— (i) 該提供者或該提供者的任何有聯繫實體 (i) the business carried on by the licensed VAS 所經營的業務； provider or any associated entity of the (ii) 在經營上述業務的過程中進行的交易或 licensed VAS provider; 活動，或可影響上述業務的交易或活動； (ii) any transaction or activity that was carried 或 out in the course of any such a business or (iii) 由以下的人進行的任何交易 —— that may affect any such a business; or (A) 該提供者的有連繫法團；或 (iii) any transaction carried out by— (B) 該提供者的有聯繫實體的有連繫法 (A) a related corporation of the licensed 團；及 VAS provider; or (b) 指 明 交 易 或 活 動 (specified transaction or (B) a related corporation of an associated activity)，是指 (a)(ii) 或 (iii) 段提述的任何交易 entity of the licensed VAS provider; 或活動，不論是否有關於該交易或活動的紀錄 and 或文件。” 。 (b) specified transaction or activity (指明交易或活動) means any transaction or activity referred to in paragraph (a)(ii) or (iii), whether or not there is any record or document relating to the transaction or activity.”. 12. 加入第 9A 條 12. Section 9A added 在第 9 條之後 —— After section 9— 加入 Add “9A. 其他監管當局根據第 9 條援引權力時 “9A. When power under section 9 invoked by other regulatory (1) 本條在以下情況下適用 —— authority (1) This section applies if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1298 第 13 條 Section 13 A1299 (a) 獲授權人根據第 9 條，要求任何人 ( 標的人士 ) (a) a person (subject person) is required by an 披露資料或交出指明業務紀錄； authorized person under section 9 to disclose (b) 標的人士是訂明人士；及 information or produce a specified business record; (c) 根據第 9(12) 條授權予獲授權人的人 ( 其他監 管當局 )，並不是就標的人士的有關當局。 (b) the subject person is a prescribed person; and (2) 第 9 條不得解釋為要求有關標的人士，須向有關獲 (c) the person by whom the authorized person is 授權人披露任何關於其任何客户的事務的資料，或 authorized under section 9(12) (other regulatory 交出任何關於其任何客户的事務的指明業務紀錄， authority) is not the relevant authority in 但如其他監管當局認為 ( 並藉書面證明它認為 ) 披 relation to the subject person. 露該等資料或交出該等紀錄，對施行該條屬必要， (2) Section 9 is not to be construed as requiring the 則不在此限。 subject person to disclose any information or produce 在本條中 —— (3) any specified business record relating to the affairs of any of its customers to the authorized person, unless 指 明 業 務 紀 錄 (specified business record) 的 涵 義 與 第 the other regulatory authority is of the opinion, and 9(16)(a) 及 (17)(a) 條中該詞的涵義相同。” 。 certifies in writing that it is of the opinion, that the disclosure or production is necessary for the purposes of that section. (3) In this section— specified business record (指明業務紀錄) has the same meaning as in section 9(16)(a) and (17)(a).”. 13. 修訂第 10 條 ( 不遵從根據第 9 條施加的要求的罪行 ) 13. Section 10 amended (offences for non-compliance with (1) 第 10 條 —— requirements imposed under section 9) 廢除第 (7) 及 (8) 款 (1) Section 10— 代以 Repeal subsections (7) and (8) “(7) 如任何人 —— Substitute (a) 是 根 據 第 9(3)、(5)、(9) 或 (10) 條 被 施 加 要 求 “(7) A person commits an offence if— 的人 ( 義務人 ) 的相關人士；及 (a) the person is a related person of a person (obligated person) on whom a requirement is imposed under section 9(3), (5), (9) or (10); and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1300 第 14 條 Section 14 A1301 (b) 出於詐騙意圖，而致使或容許該義務人沒有遵 (b) the person, with intent to defraud, causes or 從該要求， allows the obligated person to fail to comply 該人即屬犯罪。 with the requirement. (8) 如任何人 —— (8) A person commits an offence if— (a) 是根據第 9(3) 或 (5) 條被施加要求的人 ( 義務人 ) (a) the person is a related person of a person 的相關人士；及 (obligated person) on whom a requirement is imposed under section 9(3) or (5); and (b) 出於詐騙意圖，而致使或容許該義務人 —— (b) the person, with intent to defraud, causes or (i) 交出任何在要項上屬虛假或具誤導性的 allows the obligated person, in purported 紀錄或文件，充作是遵從該要求；或 compliance with the requirement— 給予任何在要項上屬虛假或具誤導性的 (ii) (i) to produce any record or document that is 回答，充作是遵從該要求， false or misleading in a material particular; 該人即屬犯罪。” 。 or (2) 在第 10(10) 條之後 —— (ii) to give any answer that is false or 加入 misleading in a material particular.”. “(11) 在本條中 —— (2) After section 10(10)— 相關人士 (related person) 就某人 ( 另一人 ) 而言，指 —— Add (a) 另一人的僱員； “(11) In this section— (b) 受僱為另一人工作的人；或 related person (相關人士), in relation to a person (first- mentioned person), means a person who— (c) 關涉另一人的管理的人。” 。 (a) is an employee of the first-mentioned person; (b) is employed to work for the first-mentioned person; or (c) is concerned in the management of the first- mentioned person.”. 14. 修訂第 11 條 ( 有關當局可委任調查員 ) 14. Section 11 amended (relevant authorities may appoint (1) 第 11(1)(b) 條，在 “而言，” 之前 —— investigators) 加入 (1) Section 11(1)(b)— Repeal <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1302 第 14 條 Section 14 A1303 “( 持牌虛擬資產服務提供者除外 )” 。 “a financial institution,” (2) 第 11(1)(b) 條 —— Substitute 廢除 “a financial institution (other than a licensed VAS “；或” provider),”. 代以分號。 (2) Section 11(1)(b)— (3) 第 11(1)(c) 條 —— Repeal 廢除 “; or” “況，” Substitute a semicolon. 代以 (3) Section 11(1)(c)— “況；” 。 Repeal (4) 在第 11(1)(c) 條之後 —— “(b),” 加入 Substitute “(d) 就虛擬資產服務提供者受規管人士而言，為考慮是 “(b);”. 否根據第 53ZSP(3) 條行使權力，有理由查訊 —— (4) After section 11(1)(c)— (i) 該人士是否正在或曾在任何時候，就第 53ZSP Add 條而言犯失當行為；或 “(d) in relation to a VASP regulated person, for the (ii) 該人士是否就第 53ZSP 條而言不屬 ( 或曾經不 purpose of considering whether to exercise a power 屬 ) 適當人選；或 under section 53ZSP(3), has reason to inquire— (e) 就 貴 金 屬 及 寶 石 註 冊 人 而 言，為 考 慮 是 否 根 據 第 (i) whether the person is, or was at any time, guilty 53ZVE(3)、53ZVF(3) 或 53ZVJ(2) 條 行 使 權 力，有 of misconduct for the purposes of section 53ZSP; or (ii) whether the person is not or was not a fit and proper person for the purposes of section 53ZSP; or (e) in relation to a PMS registrant, for the purpose of considering whether to exercise any power under section 53ZVE(3), 53ZVF(3) or 53ZVJ(2), has reason to inquire whether there has been a contravention <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1304 第 15 條 Section 15 A1305 理 由 查 訊 是 否 已 有 第 53ZVE ( 2 )( a ) 或 ( b ) 或 referred to in section 53ZVE(2)(a) or (b) or 53ZVF(2)(a) 或 (b) 條提述的違反情況，” 。 53ZVF(2)(a) or (b),”. (5) 在第 11(5) 條之後 —— (5) After section 11(5)— 加入 Add “(6) 在本條中 —— “(6) In this section— 虛 擬 資 產 服 務 提 供 者 受 規 管 人 士 (VASP regulated VASP regulated person (虛擬資產服務提供者受規管人士) person) 指屬或曾屬第 53ZSO(1) 條所界定的受規管 means a person who is or was a regulated person as 人士的人。” 。 defined by section 53ZSO(1).”. 15. 修訂第 12 條 ( 調查員要求交出紀錄或文件等的權力 ) 15. Section 12 amended (powers of investigators to require (1) 第 12(1) 條 —— production of records or documents etc.) 廢除在 (a) 段之前的所有字句 (1) Section 12(1)— 代以 Repeal everything before paragraph (a) “(1) 本條適用於符合以下說明的人 ( 受涵蓋人 ) ——” 。 Substitute (2) 第 12(1) 條，中文文本 —— “(1) This section applies to a person (covered person) who is—”. 廢除 (2) Section 12(1), Chinese text— 所有 “某人” Repeal 代以 “某人” (wherever appearing) “該人” 。 Substitute (3) 第 12(1) 條，中文文本 —— “該人” . 廢除 (3) Section 12(1), Chinese text— 所有 “，本條適用於該人” 。 Repeal (4) 第 12(2) 條 —— “，本條適用於該人” (wherever appearing). 廢除在 (a) 段之前的所有字句 (4) Section 12(2)— 代以 Repeal everything before paragraph (a) Substitute <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1306 第 16 條 Section 16 A1307 “(2) 在不抵觸第 12A 條的情況下，調查員可藉書面要求 “(2) Subject to section 12A, an investigator may in writing 受涵蓋人 ——” 。 require a covered person to—”. (5) 第 12(3) 條 —— (5) Section 12(3)— 廢除 Repeal “任何人” “a person” 代以 Substitute “任何受涵蓋人” 。 “a covered person”. (6) 第 12(3) 條 —— (6) Section 12(3)— 廢除 Repeal “可” “may” 代以 Substitute “可在不抵觸第 12A 條的情況下，” 。 “may, subject to section 12A,”. (7) 第 12(4) 及 (5) 條 —— (7) Section 12(4) and (5)— 廢除 Repeal “任何人” “a person” 代以 Substitute “任何受涵蓋人” 。 “a covered person”. (8) 第 12 條 —— (8) Section 12— 廢除第 (7) 款。 Repeal subsection (7). 16. 加入第 12A 條 16. Section 12A added 在第 12 條之後 —— After section 12— 加入 Add “12A. 其他監管當局根據第 12 條援引權力時 “12A. When power under section 12 invoked by other regulatory (1) 本條在以下情況下適用 —— authority (1) This section applies if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1308 第 17 條 Section 17 A1309 (a) 調查員根據第 12 條，要求任何人 ( 標的人士 ) (a) a person (subject person) is required by an 披露資料或交出紀錄或文件； investigator under section 12 to disclose (b) 標的人士是訂明人士；及 information or produce a record or document; (c) 根據第 11(1) 條委任或指示調查員的人 ( 其他 (b) the subject person is a prescribed person; and 監管當局 )，並不是就標的人士的有關當局。 (c) the person by whom the investigator is (2) 第 11 及 12 條均不得解釋為要求有關標的人士，須 appointed or directed under section 11(1) (other 向有關調查員披露任何關於其任何客户的事務的資 regulatory authority) is not the relevant 料，或交出任何關於其任何客户的事務的紀錄或文 authority in relation to the subject person. 件，但如 —— (2) Neither section 11 nor 12 is to be construed as (a) 該調查員有合理因由相信，該客户是可能有能 requiring the subject person to disclose any 力提供與有關調查相關的資料的人；及 information or produce any record or document relating to the affairs of any of its customers to the (b) 其他監管當局認為 ( 並藉書面證明它認為 ) 披 investigator unless— 露該等資料或交出該等紀錄或文件，對該項調 查屬必要， (a) the customer is a person whom the investigator has reasonable cause to believe may be able to 則不在此限。” 。 give information relevant to the investigation; and (b) the other regulatory authority is of the opinion, and certifies in writing that it is of the opinion, that the disclosure or production is necessary for the purposes of the investigation.”. 17. 修訂第 13 條 ( 不遵從根據第 12 條施加的要求的罪行 ) 17. Section 13 amended (offences for non-compliance with (1) 第 13 條 —— requirements imposed under section 12) 廢除第 (7) 及 (8) 款 (1) Section 13— 代以 Repeal subsections (7) and (8) “(7) 如任何人 —— Substitute “(7) A person commits an offence if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1310 第 17 條 Section 17 A1311 (a) 是 根 據 第 12(2)、(3)、(4) 或 (5) 條 被 施 加 要 求 (a) the person is a related person of a person 的人 ( 義務人 ) 的相關人士；及 (obligated person) on whom a requirement is (b) 出於詐騙意圖，而致使或容許該義務人沒有遵 imposed under section 12(2), (3), (4) or (5); and 從該要求， (b) the person, with intent to defraud, causes or 該人即屬犯罪。 allows the obligated person to fail to comply with the requirement. (8) 如任何人 —— (8) A person commits an offence if— (a) 是根據第 12(2) 或 (3) 條被施加要求的人 ( 義務 人 ) 的相關人士；及 (a) the person is a related person of a person (obligated person) on whom a requirement is (b) 出於詐騙意圖，而致使或容許該義務人 —— imposed under section 12(2) or (3); and (i) 交出任何在要項上屬虛假或具誤導性的 (b) the person, with intent to defraud, causes or 紀錄或文件，充作是遵從該要求；或 allows the obligated person, in purported 給予任何在要項上屬虛假或具誤導性的 (ii) compliance with the requirement— 回答、回應、解釋或進一步詳情，充作是 (i) to produce any record or document that is 遵從該要求， false or misleading in a material particular; 該人即屬犯罪。” 。 or (2) 在第 13(13) 條之後 —— (ii) to give any answer, response, explanation 加入 or further particulars, that is or are false or misleading in a material particular.”. “(14) 在本條中 —— (2) After section 13(13)— 相 關 人 士 (related person) 具 有 第 10(11) 條 所 給 予 的 涵 義。” 。 Add “(14) In this section— related person (相關人士) has the meaning given by section 10(11).”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1312 第 18 條 Section 18 A1313 18. 加入第 3 部第 3 分部及第 4 分部標題 18. Part 3, Division 3 and Division 4 heading added 在第 13 條之後 —— After section 13— 加入 Add “第 3 分部 ——關於虛擬資產活動對非香港規管者 “Division 3—Regulatory Assistance to Non-Hong 的規管協助 Kong Regulator Concerning VA Activities 13A. 第 3 分部的釋義 13A. Interpretation of Division 3 (1) 凡某詞句在本分部中使用，並在第 5B 部中界定或 (1) An expression used in this Division, and defined or 以其他方式解釋，則該詞句的涵義，與該詞句在該 otherwise explained in Part 5B, has the same 部中的涵義相同。 meaning as in that Part. (2) 在本分部中 —— (2) In this Division— 規管者 (regulator) 就香港以外的司法管轄區而言，指該 regulator (規管者), in relation to a jurisdiction outside 司法管轄區的任何主管當局或規管機構； Hong Kong, means any authority or regulatory 虛擬資產規定 (VA requirements) 就香港以外的司法管轄 organization in the jurisdiction; 區而言，指關乎與任何虛擬資產有關的任何交易或 VA requirements (虛擬資產規定), in relation to a 活動，或其他相類交易或活動的法律規定或規管性 jurisdiction outside Hong Kong, means legal or 規定，該等交易或活動是由該司法管轄區的規管者 regulatory requirements that relate to any transaction 所規管的。 or activity regarding any virtual assets or other similar transactions or activities that are regulated by a regulator of the jurisdiction. 13B. 國際執法合作 13B. International enforcement cooperation (1) 如證監會認為，某人是否曾經或正在違反香港以外 (1) For the purposes of this section, an issue of whether 的司法管轄區 ( 其他司法管轄區 ) 的任何虛擬資產 a person has contravened or is contravening any VA 規 定 此 一 爭 論 點，在 性 質 上 與 第 11(1)(a) 或 (d) 條 requirements of a jurisdiction outside Hong Kong 描述的、而該會有合理因由相信或有理由查訊 ( 視 (other jurisdiction) is an applicable matter if the 情況所需而定 ) 的事宜相似，則該爭論點就本條而 Commission is of the opinion that the issue is of a 言，即屬適用事宜。 nature similar to a matter described in section 11(1)(a) or (d) as that which the Commission has reasonable cause to believe or has reason to inquire (as the case requires). <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1314 第 18 條 Section 18 A1315 (2) 證監會可應執行或施行有關虛擬資產規定的有關其 (2) The Commission may provide assistance to 他司法管轄區的規管者的請求，提供協助以調查適 investigate an applicable matter, at the request of a 用 事 宜，但 行 使 上 述 提 供 協 助 的 權 力 有 以 下 前 regulator of the other jurisdiction concerned who 提 —— enforces or administers the VA requirements (a) 證 監 會 認 為，該 規 管 者 符 合 第 13D(1) 條 之 下 concerned, if— 的關乎規管者的規定；及 (a) in the opinion of the Commission, the regulator (b) 證監會認為，第 13E 條中描述的投資者及公眾 meets the regulator-related requirements under 利益條件，已就該請求獲符合。 section 13D(1); and (3) 證監會可根據第 11 條，指示或委任任何人調查適 (b) in the opinion of the Commission, the investors’ 用事宜，一如證監會可根據該條指示或委任該人調 and public interest condition described in 查該條第 (1)(a) 或 (d) 款所描述的事宜。 section 13E is satisfied in relation to the request. (4) 第 11(3)、(4) 及 (5)、12 、12A 及 13 條，以及第 4 分 (3) A person may be directed or appointed under section 部 及 第 6A 部 ( 第 13B 條 相 關 條 文 ) 適 用 於 憑 藉 本 11 by the Commission to investigate an applicable 條獲指示或委任調查適用事宜的人，亦適用於憑藉 matter as the person may be directed or appointed 本條施加的規定，且適用於為遵守或看來是遵守上 under that section by the Commission to investigate 述規定而作出任何事情。 a matter described in subsection (1)(a) or (d) of that section. (5) 為施行第 (4) 款 —— (4) Sections 11(3), (4) and (5), 12, 12A and 13, Division (a) 在 任 何 第 13B 條 相 關 條 文 中，提 述 根 據 第 12 4 and Part 6A (section 13B-related provisions) apply 條任何條文施加的規定，須解釋為包括憑藉本 to a person directed or appointed to investigate an 條施加的規定；及 applicable matter, and a requirement imposed, by virtue of this section and to the doing of anything in compliance or purported compliance with such a requirement. (5) For the purposes of subsection (4)— (a) a reference, in any of the section 13B-related provisions, to a requirement imposed under any provision of section 12 is to be read to include a requirement imposed by virtue of this section; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1316 第 18 條 Section 18 A1317 (b) 在任何第 13B 條相關條文中，提述為遵守或看 (b) a reference, in any of the section 13B-related 來是遵守根據第 12 條任何條文的規定而作出 provisions, to the doing of anything in 任何事情，須解釋為包括為遵守或看來是遵守 compliance or purported compliance with a 憑藉本條施加的規定而作出任何事情。 requirement under any provision of section 12 (6) 第 (7) 及 (8) 款在以下情況下適用 —— is to be read to include the doing of the thing in compliance or purported compliance with a (a) 某調查員憑藉本條獲指示或委任調查適用事 requirement imposed by virtue of this section. 宜；及 (6) Subsections (7) and (8) apply if— (b) 該調查員行使第 12 條所賦權力，要求某人 —— (a) an investigator is directed or appointed to (i) 回答或回應該調查員 提 出 的 任 何 問 題； investigate an applicable matter by virtue of this 或 section; and (ii) 給予解釋或進一步詳情。 (b) the investigator, exercising a power under (7) 有關調查員須確保有關的人已先獲告知或提醒第 (8) section 12, requires a person— 款就以下事宜施加的限制：該要求、該問題及回答 (i) to give an answer or response to any 或回應，或該解釋或進一步詳情，可為何種目的而 question as raised by the investigator; or 提供予其他司法管轄區的規管者。 (ii) to give an explanation or further (8) 如 —— particulars. (a) 有關的人按照第 (6)(b) 款所指的要求 ( 相關要求 ) (7) The investigator must ensure that the person has first 而給予的任何解釋、進一步詳情、回答或回應 been informed or reminded of the limitations ( 相關資料 ) 可能會導致該人入罪；及 imposed by subsection (8) on the purpose for which the requirement is imposed and the question and answer or response, or the explanation or further particulars, may be produced to the regulator of that other jurisdiction. (8) If— (a) any explanation, further particulars, answer or response (subject information) given by the person in accordance with a requirement under subsection (6)(b) (subject requirement) might tend to incriminate the person; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1318 第 18 條 Section 18 A1319 (b) 該人在提供相關資料前，聲稱相關資料可能會 (b) before giving the subject information, the person 導致該人入罪， claims the subject information might tend to 則在不局限第 15 條的原則下，該調查員不得向有 incriminate the person, 關其他司法管轄區的規管者，提供相關要求或相關 without limiting section 15, the investigator must not 資料的證據，以供在該其他司法管轄區針對該人而 provide evidence of the subject requirement or the 提起的刑事法律程序中使用。 subject information, to the regulator of the other jurisdiction concerned, for use in criminal proceedings against the person in that other jurisdiction. 13C. 國際監管合作 13C. International supervisory cooperation (1) 在第 (4) 款的規限下，證監會可應香港以外的司法 (1) Subject to subsection (4), the Commission may, at 管轄區 ( 提請司法管轄區 ) 的規管者的請求，向該 the request of a regulator of a jurisdiction outside 規管者提供協助，以確定 —— Hong Kong (requesting jurisdiction), provide (a) 某指明受規管者是否對提請司法管轄區在金融 assistance to the regulator to ascertain— 方面的穩定性構成風險，或是否可能影響提請 (a) whether a specified regulatee constitutes a risk 司法管轄區在金融方面的穩定性；或 to, or may affect, the financial stability of the (b) 某指明受規管者是否正遵守、已遵守或相當可 requesting jurisdiction; or 能有能力遵守提請司法管轄區的、由該規管者 (b) whether a specified regulatee is complying or 執行或施行的虛擬資產規定。 has complied with, or is likely to be able to (2) 在本條中 —— comply with, any VA requirements of the requesting jurisdiction that are enforced or (a) 就香港以外的司法管轄區的規管者而言，指明 administered by the regulator. 受規管者指符合以下說明的法團 —— (2) In this section— (i) 由該規管者規管；及 (a) in relation to a regulator of a jurisdiction (ii) 屬 —— outside Hong Kong, a specified regulatee means (A) 持牌虛擬資產服務提供者；或 a corporation that— (i) is regulated by the regulator; and (ii) is— (A) a licensed VAS provider; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1320 第 18 條 Section 18 A1321 (B) 持牌虛擬資產服務提供者的有連繫 (B) a related corporation of a licensed 法團；及 VAS provider; and (b) 指明虛擬資產服務提供者指 —— (b) a specified VAS provider means— (i) 如 (a)(ii)(A) 段 適 用 於 指 明 受 規 管 者 —— (i) if paragraph (a)(ii)(A) applies to a specified 該指明受規管者；或 regulatee—the specified regulatee; or (ii) 如 (a)(ii)(B) 段 適 用 於 指 明 受 規 管 者 —— (ii) if paragraph (a)(ii)(B) applies to a specified 持 牌 虛 擬 資 產 服 務 提 供 者，而 該 指 明 受 regulatee—the licensed VAS provider of 規管者為該提供者的有連繫法團。 whom the specified regulatee is a related (3) 如證監會決定根據第 (1) 款，就某指明受規管者提 corporation. 供協助 —— (3) If the Commission decides to provide assistance in (a) 證監會可為施行本條，授權任何人 ( 第 13C 條 relation to a specified regulatee under subsection 人員 )； (1)— (b) 第 13C 條 人 員 可 要 求 指 明 虛 擬 資 產 服 務 提 供 (a) the Commission may authorize a person for the 者或其有連繫法團 —— purposes of this section (section 13C officer); (i) 在 該 人 員 指 明 的 限 期 內 及 指 明 的 地 點， (b) the section 13C officer may require the specified 向該人員提供與以下各項有關的任何紀 VAS provider or a related corporation of the 錄或文件的複本 —— specified VAS provider to— (A) 指明虛擬資產服務提供者提供的任 (i) provide to the section 13C officer, within 何虛擬資產服務；或 the time and at the place specified by the section 13C officer, a copy of any record (B) (A) 分節所述的提供虛擬資產服務的 or document relating to— 過 程 中 進 行 的 任 何 交 易 或 活 動，或 可能影響該服務的任何交易或活動； (A) any VA service provided by the 及 specified VAS provider; or (B) any transaction or activity that was carried out in the course of, or that may affect, any VA service provided as mentioned in sub-subparagraph (A); and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1322 第 18 條 Section 18 A1323 (ii) 回答該第 13C 條人員就第 (i) 節提述的任 (ii) answer any question raised by the section 何紀錄、文件、虛擬資產服務、交易或活 13C officer regarding any record, 動提出的任何問題。 document, VA service, transaction or (4) 第 (1) 款只在以下情況下適用 —— activity referred to in subparagraph (i). (a) 證 監 會 認 為，有 關 規 管 者 符 合 第 13D(1) 條 之 (4) Subsection (1) applies only if— 下的關乎規管者的規定； (a) in the opinion of the Commission, the regulator (b) 證監會認為，第 13E 條中描述的投資者及公眾 meets the regulator-related requirements under 利益條件，已就該請求獲符合；及 section 13D(1); (c) 該規管者已向證監會提供 —— (b) in the opinion of the Commission, the investors’ and public interest condition described in (i) 符合第 (5) 款的書面陳述；及 section 13E is satisfied in relation to the request; (ii) 符合第 (6) 款的書面承諾。 and (5) 有關書面陳述的內容，須表明有關規管者未能夠和 (c) the regulator has provided to the Commission— 將不會能夠 —— (i) a written statement that conforms with (a) 藉任何其他合理方法，取得第 (3)(b) 款提述的 subsection (5); and 資料；及 (ii) a written undertaking that conforms with (b) 在沒有該等資料的情況下，全面確定第 (1) 款 subsection (6). 所描述的事宜。 (5) The written statement must be to the effect of (6) 有關書面承諾的內容，須表明有關規管者 —— confirming that the regulator has not been, and will (a) 只會將因有關協助請求而從證監會取得的資 not be, able to— 料，用於確定第 (1) 款所描述的事宜； (a) obtain the information referred to in subsection (3)(b) by any other reasonable means; and (b) fully ascertain the matters described in subsection (1) without the information. (6) The written undertaking must be to the effect that the regulator— (a) will use the information, obtained from the Commission because of the request for assistance, solely for ascertaining the matters described in subsection (1); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1324 第 18 條 Section 18 A1325 (b) 除非有以下情況，否則不會將任何上述資料， (b) will not use any of the information in any 在提請司法管轄區內或其他地方的任何程序中 proceedings, in the requesting jurisdiction or 使用 —— elsewhere, unless— (i) 該規管者已根據第 13B 條另行作出請求， (i) the regulator has made a separate request 而證監會已決定根據該條提供協助；及 under section 13B, and the Commission (ii) 該 規 管 者 已 因 該 項 另 行 作 出 的 請 求，而 has decided to provide assistance under 從證監會取得相同資料； that section; and 會將上述資料列作機密處理，及不會在未獲證 (c) (ii) the regulator has obtained the same 監會同意下，為任何目的而向在提請司法管轄 information from the Commission because 區 內 或 其 他 地 方 的 任 何 其 他 人，披 露 上 述 資 of the separate request; 料； (c) will treat the information as confidential and (d) 會在接獲要求披露任何資料的請求 ( 根據提請 will not disclose it to any other person, in the 司法管轄區的法律屬可在法律上強制執行者 ) requesting jurisdiction or elsewhere, for any 後 —— purpose without the consent of the Commission; (i) 在 合 理 地 切 實 可 行 範 圍 內，盡 快 通 知 證 監會；及 (d) will on receiving a demand, legally enforceable under the laws of the requesting jurisdiction, for (ii) 採取所有可用的適當措施 ( 包括但不限於 the disclosure of any of the information— 根 據 提 請 司 法 管 轄 區 的 法 律，宣 示 法 律 豁免權或法律特權 )，以協助將上述資料 (i) inform the Commission as soon as 保密；及 reasonably practicable; and (e) 會在旨在保障將任何上述資料保密而在提請司 (ii) assist in preserving the confidentiality of 法管轄區內或其他地方進行的任何行動或程序 the information by taking all appropriate 中，與證監會合作。 measures as may be available (including but not limited to asserting legal (7) 第 9 ( 除 第 (1)、(1A)、(1B)、(3)、(4)、(5)、(6)、(7) exemptions or privileges under the laws of 及 ( 12 ) 款 外 ) 、9A 及 10 條， 以 及 第 4 分 部 及 the requesting jurisdiction); and (e) will cooperate with the Commission in any action or proceedings, in the requesting jurisdiction or elsewhere, that seek to safeguard the confidentiality of any of the information. (7) Section 9 (except subsections (1), (1A), (1B), (3), (4), (5), (6), (7) and (12)), sections 9A and 10, Division 4 <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1326 第 18 條 Section 18 A1327 第 6A 部 ( 第 13C 條相關條文 ) 適用於第 13C 條人員， and Part 6A (section 13C-related provisions) apply to 亦適用於根據第 (3) 款施加的規定，且適用於為遵 a section 13C officer and a requirement imposed 守或看來是遵守上述規定而作出任何事情。 under subsection (3) and the doing of anything in (8) 就第 (7) 款而言，在任何第 13C 條相關條文中，提 compliance or in purported compliance with such a 述根據第 9 條任何條文施加的規定，須解釋為包括 requirement. 根據第 (3) 款施加的規定。 (8) For the purposes of subsection (7), a reference, in any of the section 13C-related provisions, to a requirement imposed under any provision of section 9 is to be read to include a requirement imposed under subsection (3). 13D. 關乎規管者的規定 13D. Regulator-related requirements (1) 如以下條件獲符合，根據第 13B 或 13C 條請求協助 (1) A regulator of a jurisdiction outside Hong Kong 的司法管轄區 ( 提請司法管轄區 ) 的規管者即符合 (requesting jurisdiction) requesting assistance under 關乎規管者的規定 —— section 13B or 13C meets the regulator-related (a) 該規管者在提請司法管轄區 —— requirements if— (i) 執行任何與證監會在本條例下的職能相 (a) the regulator— 似的職能；或 (i) performs, in the requesting jurisdiction, (ii) 規管、監管或調查銀行、證券、保險、涉 any function similar to a function of the 及虛擬資產的活動或其他金融服務；及 Commission under this Ordinance; or (b) 在提請司法管轄區，該規管者受充分的保密條 (ii) regulates, supervises or investigates 文所規限。 banking, securities, insurance, activities involving virtual assets, or other financial (2) 如證監會信納某規管者符合關乎規管者的規定，則 services in the requesting jurisdiction; and 除非該規管者的名稱或姓名已根據《證券及期貨條 例》( 第 571 章 ) 第 186(5) 條刊登，否則該會須在合 (b) the regulator is subject to adequate secrecy provisions in the requesting jurisdiction. (2) As soon as reasonably practicable after the Commission is satisfied that a regulator meets the regulator-related requirements, the Commission must cause the name of the regulator to be published in the Gazette unless the name of the regulator has <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1328 第 18 條 Section 18 A1329 理地切實可行的範圍內，盡快安排於憲報刊登該規 already been published under section 186(5) of the 管者的名稱或姓名。 Securities and Futures Ordinance (Cap. 571). (3) 根據第 (2) 款刊登的任何材料，不是附屬法例。 (3) Any matter published under subsection (2) is not subsidiary legislation. 13E. 投資者及公眾利益條件 13E. Investors’ and public interest condition (1) 為施行第 13B 或 13C 條，如證監會認為以下條件獲 (1) For the purposes of section 13B or 13C, the 符合，則就香港以外的司法管轄區的規管者作出的 investors’ and public interest condition is satisfied in 協 助 請 求 而 言，投 資 者 及 公 眾 利 益 條 件 即 獲 符 relation to a request for assistance, made by a 合 —— regulator of a jurisdiction outside Hong Kong, if the (a) 提供所請求的協助，對維護投資大眾的利益或 Commission is of the opinion that— 公眾利益，是可取或合宜的；或 (a) it is desirable or expedient that the assistance (b) 所提供的協助會使該規管者能夠執行其職能， requested should be provided in the interest of 或會協助該規管者執行其職能，而提供該協助 the investing public or in the public interest; or 並非有違投資大眾的利益或公眾利益。 (b) the assistance will enable or assist the regulator (2) 如有根據第 13B 或 13C 條提出的協助請求，則證監 to perform the regulator’s functions and it is not 會在斷定某特定個案中投資者及公眾利益條件是否 contrary to the interest of the investing public 獲符合時，須考慮該規管者是否會 —— or to the public interest that the assistance should be provided. (a) 向該會支付因提供協助而招致的任何費用及開 支；及 (2) In deciding whether the investors’ and public interest condition is satisfied in a particular case where (b) 有能力和願意因應香港方面提出的類似協助請 assistance is requested under section 13B or 13C, the 求，而在其管轄範圍內提供交互協助。 Commission must take into account whether the regulator will— (a) pay to the Commission any of the costs and expenses incurred in providing the assistance; and (b) be able and willing to provide reciprocal assistance within its jurisdiction in response to a comparable request for assistance from Hong Kong. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1330 第 19 條 Section 19 A1331 (3) 如 —— (3) If— (a) 證監會從香港以外的司法管轄區的規管者接獲 (a) the Commission receives from a regulator of a 一 筆 款 額，而 該 款 額 是 就 根 據 第 13B 或 13C jurisdiction outside Hong Kong an amount paid 條提供協助而招致的任何費用及開支而支付 in respect of any of the costs and expenses 的；及 incurred in providing assistance under section (b) 所有或任何該等費用及開支，已由立法會所撥 13B or 13C; and 款項支付， (b) all or any of the costs and expenses have been 則證監會須將接獲的款額，支付予財政司司長，但 paid out of moneys provided by the Legislative 以上述費用及開支已由立法會撥款支付的款額為限。 Council, the Commission must pay to the Financial Secretary the amount received to the extent that the costs and expenses have already been paid out of moneys provided by the Legislative Council. 第 4 分部 ——雜項強制執行事宜” 。 Division 4—Miscellaneous Enforcement Matters”. 19. 修訂第 15 條 ( 導致入罪的證據在法律程序中的使用 ) 19. Section 15 amended (use of incriminating evidence in 第 15(3) 條 —— proceedings) 廢除 Section 15(3)— “或被控犯作假證供罪，” 。 Repeal “or for perjury,”. 20. 修訂第 18 條 ( 交出在資訊系統等內的資料 ) 20. Section 18 amended (production of information in information 第 18 條 —— systems etc.) 廢除第 (3) 款。 Section 18— Repeal subsection (3). 21. 加入第 20A 條 21. Section 20A added 第 4 部，在第 21 條之前 —— Part 4, before section 21— 加入 Add <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1332 第 22 條 Section 22 A1333 “20A. 第 4 部不適用於持牌虛擬資產服務提供者 “20A. Part 4 does not apply to licensed VAS provider 在本部中 —— In this Part— 金融機構 (financial institution) 不包括持牌虛擬資產服務 financial institution (金融機構) excludes a licensed VAS 提供者。” 。 provider.”. 22. 修訂第 29 條 ( 對經營金錢服務的限制 ) 22. Section 29 amended (restriction on operating money service) (1) 第 29(2) 條 —— (1) Section 29(2)— 廢除 Repeal 在 “所訂” 之後的所有字句 everything after “(1)” 代以 Substitute “罪行 —— “is liable— (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 (a) on conviction on indictment to a fine of 監禁 2 年；或 $1,000,000 and to imprisonment for 2 years; or (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 (b) on summary conviction to a fine at level 6 and 6 個月。” 。 to imprisonment for 6 months.”. (2) 第 29(3) 條，在 “裁判官” 之前 —— (2) Section 29(3), before “magistrate”— 加入 Add “法庭或” 。 “court or”. 23. 修訂第 48 條 ( 獲授權人員拘捕及搜查等的權力 ) 23. Section 48 amended (authorized officer’s power to arrest and 第 48 條 —— search, etc.) 廢除第 (1) 款 Section 48(1)— 代以 Repeal “(1) 如獲授權人員有合理理由懷疑任何人已犯或正在犯 everything after “enquiries” 第 29 條所訂罪行，該人員可無需手令而將該人拘 Substitute 捕或扣留，以作進一步查訊。” 。 “if the authorized officer has reasonable grounds to suspect that the person has committed or is committing an offence under section 29.”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1334 第 24 條 Section 24 A1335 24. 廢除第 49 條 ( 保密 ) 24. Section 49 repealed (preservation of secrecy) 第 49 條 —— Section 49— 廢除該條。 Repeal the section. 25. 修訂第 53A 條 ( 第 5A 部的釋義 ) 25. Section 53A amended (interpretation of Part 5A) (1) 第 53A 條，中文文本，登記冊 的定義 —— (1) Section 53A, Chinese text, definition of 登記冊 — 廢除 Repeal “冊；” “冊；” 代以 Substitute “冊。” 。 “冊。”. (2) 第 53A 條 —— (2) Section 53A— 廢除資訊系統 的定義。 Repeal the definition of information system. 26. 廢除第 5A 部第 7 分部 ( 保密的規定 ) 26. Part 5A, Division 7 repealed (confidentiality requirements) 第 5A 部 —— Part 5A— 廢除第 7 分部。 Repeal Division 7. 27. 修訂第 54 條 ( 第 6 部的釋義 ) 27. Section 54 amended (interpretation of Part 6) (1) 第 54 條，指明當局 的定義，(d) 段 —— (1) Section 54, definition of specified authority, paragraph 廢除 (d)— “及” 。 Repeal (2) 第 54 條，指明當局 的定義，在 (e) 段之後 —— “; and” 加入 Substitute a semicolon. “(f) 就指明決定 的定義中的 (f) 段所指的指明決定而言， (2) Section 54, definition of specified authority, after 指證監會；及 paragraph (e)— Add “(f) in relation to a specified decision falling within paragraph (f) of the definition of specified decision, means the Securities and Futures Commission; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1336 第 27 條 Section 27 A1337 (g) 就指明決定 的定義中的 (g) 段所指的指明決定而言， (g) in relation to a specified decision falling within 指關長；” 。 paragraph (g) of the definition of specified decision, (3) 第 54 條，指明決定 的定義，在 (e) 段之後 —— means the Commissioner;”. 加入 (3) Section 54, definition of specified decision, after paragraph (e)— “(f) 由證監會作出的以下決定 —— Add (i) 拒絕根據第 53ZRK 條批給牌照； “(f) a decision of the Securities and Futures (ii) 根據第 53ZRK 條，對牌照施加條件，或修改 Commission— 或免除牌照條件； (i) to refuse to grant a licence under section (iii) 拒絕根據第 53ZRL 條批給牌照； 53ZRK; (iv) 根 據 第 53ZRL 條，對 牌 照 施 加 條 件，或 修 改 (ii) to impose a condition on, or amend or remove 或免除牌照條件； a condition of, a licence under section 53ZRK; (v) 拒絕根據第 53ZRM 條批准隸屬關係或批准轉 (iii) to refuse to grant a licence under section 移隸屬關係； 53ZRL; (vi) 根據第 53ZRM 條，對隸屬關係或轉移隸屬關 (iv) to impose a condition on, or amend or remove 係施加條件，或修改或免除隸屬關係或轉移隸 a condition of, a licence under section 53ZRL; 屬關係的條件； (v) to refuse to approve an accreditation or transfer (vii) 拒絕根據第 53ZRN 條增加、免除或以其他方 of an accreditation under section 53ZRM; 式更改根據某牌照獲發牌提供的任何虛擬資產 服務； (vi) to impose a condition on, or amend or remove a condition of, an accreditation or transfer of (viii) 拒絕根據第 53ZRP 條批准某人擔任持牌虛擬 an accreditation under section 53ZRM; 資 產 服 務 提 供 者 的 負 責 人 員，或 拒 絕 根 據 第 53ZRQ 條批准某人成為持牌虛擬資產服務提 (vii) to refuse to add, remove or otherwise vary, 供者的最終擁有人； under section 53ZRN, any VA service that is licensed to be provided under a licence; (viii) to refuse to approve a person as a responsible officer of a licensed VAS provider under section 53ZRP or to refuse to approve a person to become an ultimate owner of a licensed VAS provider under section 53ZRQ; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1338 第 27 條 Section 27 A1339 (ix) 對根據第 53ZRP 條批准某人擔任持牌虛擬資 (ix) to impose a condition in approving a person as 產服務提供者的負責人員施加條件，或就根據 a responsible officer of a licensed VAS provider 該條對某人擔任上述負責人員的批准修改或免 under section 53ZRP or to amend or remove a 除條件； condition in relation to the approval of a person (x) 對根據第 53ZRQ 條批准某人成為持牌虛擬資 as such a responsible officer under that section; 產服務提供者的最終擁有人施加條件，或就根 (x) to impose a condition in approving a person to 據該條對某人成為上述最終擁有人的批准修改 become an ultimate owner of a licensed VAS 或免除條件； provider under section 53ZRQ or to amend or (xi) 拒絕根據第 53ZRR 條批准處所； remove a condition in relation to the approval of such an ultimate owner under that section; (xii) 根據第 53ZSH 條，委任核數師進行審查及審 計，或指示支付該項審查及審計的任何費用及 (xi) to refuse to approve premises under section 開支； 53ZRR; (xiii) 根 據 第 53ZSP 條，針 對 屬 或 曾 屬 受 規 管 人 士 (xii) to appoint an auditor under section 53ZSH to ( 第 53ZSO(1) 條所界定者 ) 的人行使權力； carry out examination and audit, or give a direction to pay any of the costs and expenses (xiv) 根 據 第 53ZSP 或 53ZSQ 條 ( 第 53ZSQ(2)(d) 條 of the examination and audit; 除外 )，撤銷或暫時吊銷牌照，或撤銷或暫時 吊銷對某人擔任負責人員的批准；或 (xiii) to exercise a power under section 53ZSP against a person who is or was regulated person (as (xv) 根據第 53ZSZ、53ZT 或 53ZTA 條，施加禁止 defined by section 53ZSO(1)); 或要求，或根據第 53ZTB 條取代或更改 ( 或拒 絕根據第 53ZTB 條撤回、取代或更改 ) 禁止或 (xiv) to revoke or suspend a licence, or the approval 要求；或 of a person as a responsible officer, under section 53ZSP or 53ZSQ (section 53ZSQ(2)(d) (g) 由關長作出的以下決定 —— excepted); or (i) 不 根 據 第 53ZUF 或 53ZUO 條 將 某 人 註 冊 為 (xv) to impose a prohibition or requirement under A 類註冊人或 B 類註冊人； section 53ZSZ, 53ZT or 53ZTA or to substitute or vary, or to refuse to withdraw, substitute or vary, a prohibition or requirement under section 53ZTB; or (g) a decision of the Commissioner— (i) not to register a person as a Category A registrant or a Category B registrant under section 53ZUF or 53ZUO; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1340 第 28 條 Section 28 A1341 (ii) 根 據 第 53ZUF 或 53ZUO 條，就 A 類 註 冊 人 (ii) to impose a condition in relation to a Category 的註冊或 B 類註冊人的註冊施加條件； A registrant’s registration or a Category B (iii) 根據第 53ZUI 或 53ZUR 條，就 A 類註冊人的 registrant’s registration under section 53ZUF or 註冊或 B 類註冊人的註冊施加、修改或免除條 53ZUO; 件； (iii) to impose, amend or remove a condition in (iv) 根 據 第 53ZUL 或 53ZUU 條，取 消 或 暫 時 吊 relation to a Category A registrant’s registration 銷 A 類註冊人的註冊或 B 類註冊人的註冊； or a Category B registrant’s registration under section 53ZUI or 53ZUR; (v) 不根據第 53ZUQ 條將某人作為 B 類註冊人的 註冊續期； (iv) to cancel or suspend a Category A registrant’s registration or a Category B registrant’s (vi) 根據第 53ZUQ 條，就 B 類註冊人的註冊續期 registration under section 53ZUL or 53ZUU; 施加、修改或免除條件； (v) not to renew a person’s registration as a (vii) 不 根 據 第 53ZUW、53ZUX 或 53ZUY 條 批 准 Category B registrant under section 53ZUQ; 某人成為 B 類註冊人的最終擁有人、合夥人或 董事；或 (vi) to impose, amend or remove a condition in relation to a renewal of registration as a (viii) 根據第 53ZVE 條，針對 A 類註冊人或根據第 Category B registrant under section 53ZUQ; 53ZVF 條針對 B 類註冊人行使權力；” 。 (vii) not to approve a person to become an ultimate owner, a partner or a director of a Category B registrant under section 53ZUW, 53ZUX or 53ZUY; or (viii) to exercise a power against a Category A registrant under section 53ZVE or a Category B registrant under section 53ZVF;”. 28. 修訂第 62 條 ( 強迫提供的會導致入罪的證據的使用 ) 28. Section 62 amended (use of incriminating evidence given under 第 62(3) 條 —— compulsion) 廢除 Section 62(3)— “或被控犯作假證供罪，” 。 Repeal “or with perjury,”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1342 第 29 條 Section 29 A1343 29. 加入第 6A 部 29. Part 6A added 在第 6 部之後 —— After Part 6— 加入 Add “第 6A 部 “Part 6A 保密的規定 Confidentiality Requirements 76A. 第 6A 部的釋義 76A. Interpretation of Part 6A 在本部中 —— In this Part— 指明人士 (specified person) 指 —— information (資料) means a matter, record or document to (a) 有關當局； which section 76B applies; (b) 屬或曾屬有關當局的成員、僱員、顧問或代理 specified person (指明人士) means— 人的人；或 (a) a relevant authority; (c) 符合或曾符合以下說明的人 —— (b) a person who is or was a member, an employee, (i) 根據本條例某條文獲委任； or a consultant, agent or adviser, of a relevant authority; or (ii) 根據本條例某條文執行職能或施行本條 例某條文；或 (c) a person who is or was— 協助另一人根據本條例某條文執行職能 (iii) (i) a person appointed under a provision of 或施行本條例某條文； this Ordinance; 資料 (information) 指第 76B 條適用的事宜、紀錄或文件。 (ii) a person performing a function under, or carrying into effect, a provision of this Ordinance; or (iii) a person assisting another person in the performance of a function under, or carrying into effect, a provision of this Ordinance. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1344 第 29 條 Section 29 A1345 76B. 保密 76B. Confidentiality (1) 本條適用於 —— (1) This section applies to— (a) 指明人士在任何以下情況下獲悉的事宜 —— (a) a matter that comes to a specified person’s (i) 憑藉該指明人士根據本條例獲委任而獲 knowledge in any of the following 悉； circumstances— (ii) 在根據本條例某條文執行職能或施行本 (i) by virtue of the specified person’s 條例某條文的過程中獲悉； appointment under this Ordinance; (iii) 在協助另一人根據本條例某條文執行職 (ii) in the course of performing a function 能或施行本條例某條 文 的 過 程 中 獲 悉； under, or carrying into effect, a provision 及 of this Ordinance; (b) 指明人士在 (a) 段所述的任何情況下而得以管 (iii) in the course of assisting another person in 有的紀錄或文件。 performing a function under, or carrying into effect, a provision of this Ordinance; (2) 指明人士 —— and (a) 不得將第 (1)(a)(i)、(ii) 或 (iii) 款提述的事宜傳 (b) a record or document that has come into a 達予任何人；及 specified person’s possession in any of the (b) 不得容許另一人取覽第 (1)(b) 款提述的紀錄或 circumstances mentioned in paragraph (a). 文件。 (2) A specified person— (3) 任何人違反第 (2) 款，即屬犯罪 —— (a) must not communicate a matter referred to in (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 subsection (1)(a)(i), (ii) or (iii) to a person; and 監禁 2 年；或 (b) must not allow another person to have access to (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 a record or document referred to in subsection 6 個月。 (1)(b). (3) A person who contravenes subsection (2) commits an offence and is liable— (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 2 years; or (b) on summary conviction to a fine at level 6 and to imprisonment for 6 months. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1346 第 29 條 Section 29 A1347 76C. 指明人士可作獲准許的披露 76C. Permitted disclosures by specified person (1) 儘管有第 76B 條的規定，指明人士可 —— (1) Despite section 76B, a specified person may— (a) 在以下情況下披露資料 —— (a) disclose information— (i) 在根據本條例執行職能的過程中披露； (i) in performing a function under this (ii) 為施行本條例某條文而披露；或 Ordinance; (iii) 為根據本條例規定作出或授權作出的事 (ii) for the purpose of carrying into effect a 情而披露； provision of this Ordinance; or (b) 披露公眾已可得到的資料； (iii) for the purpose of doing anything required or authorized under this Ordinance; (c) 以在香港提起刑事法律程序為出發點而披露資 料，或為該等程序的目的而披露資料； (b) disclose information that has already been made available to the public; (d) 以根據香港法律在香港開始進行任何調查為出 發點而披露資料，或為該調查的目的而披露資 (c) disclose information with a view to the 料； institution of, or for the purposes of, any criminal proceedings in Hong Kong; (e) 為向以 ( 或擬以 ) 專業身分行事的大律師、律 師或其他專業顧問在與根據本條例引起的任何 (d) disclose information with a view to the 事宜相關的情況下徵詢意見而披露資料，或為 commencement of, or for the purposes of, an 由該大律師、律師或其他專業顧問就該事宜給 investigation carried out in Hong Kong under 予意見而披露資料； the laws of Hong Kong; (f) 在與該指明人士作為其中一方的司法或其他法 (e) disclose information for the purpose of seeking 律程序相關的情況下，披露資料；及 advice from, or giving of advice by, counsel, a solicitor or other professional adviser, who is acting or proposing to act in a professional capacity in connection with any matter arising under this Ordinance; (f) disclose information in connection with any judicial or other proceedings to which the specified person is a party; and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1348 第 29 條 Section 29 A1349 (g) 按照法院、裁判官或審裁處的命令，或按照香 (g) disclose information in accordance with an 港法律或根據香港法律施加的規定或要求而披 order of a court, magistrate or tribunal, or in 露資料。 accordance with a law of Hong Kong or a (2) 儘 管 有 第 76B 條 的 規 定，屬 或 曾 屬 第 53ZSH 條 人 requirement imposed under a law of Hong 士的人，可在以下前提下，將該人在作為第 53ZSH Kong. 條人士在履行其職責的過程中取得或接獲的資料， (2) Despite section 76B, a person who is or was a section 予以披露 —— 53ZSH person may disclose information obtained or (a) 為該人作為第 53ZSH 條人士履行其職責所引 received by the person in the course of performing 起的司法或其他法律程序而披露；或 the person’s duties as a section 53ZSH person— (b) 就第 53ZSH 條核數師的僱員或代理人而言 —— (a) for the purposes of any judicial or other 向該核數師披露。 proceedings arising out of the performance of the person’s duties as a section 53ZSH person; (3) 在本條中 —— or 第 53ZSH 條人士 (section 53ZSH person) 指 —— (b) in the case of an employee or agent of a section (a) 第 53ZSH 條核數師；或 53ZSH auditor, to the auditor. 第 53ZSH 條核數師的僱員或代理人； (b) (3) In this section— 第 53ZSH 條 核 數 師 (section 53ZSH auditor) 具 有 第 section 53ZSH auditor (第53ZSH條核數師) has the 53ZRZ 條所給予的涵義。 meaning given by section 53ZRZ; section 53ZSH person (第53ZSH條人士) means— (a) a section 53ZSH auditor; or (b) an employee or agent of a section 53ZSH auditor. 76D. 有關當局可作獲准許的披露 76D. Permitted disclosures by relevant authority (1) 儘管有第 76B 條的規定，有關當局可 —— (1) Despite section 76B, a relevant authority may— (a) 以撮要形式披露資料，但該撮要須以有關當局 (a) disclose information in the form of a summary 管有的資料 ( 包括由某人根據本條例某條文提 compiled from any information in the 供的資料 ) 編成，前提是該撮要的編纂手法， possession of the relevant authority, including information provided by a person under a provision of this Ordinance, if the summary is so compiled as to prevent particulars relating to <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1350 第 29 條 Section 29 A1351 須使人無法從中確定關乎任何人的業務或身分 the business or identity, or the trading 的詳情或其營業詳情； particulars, of any person from being (b) 向根據《公司 ( 清盤及雜項條文 ) 條例》( 第 32 章 ) ascertained from it; 獲委任為清盤人披露資料； (b) disclose information to a liquidator appointed (c) 向覆核審裁處披露資料； under the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32); (d) 向 根 據《證 券 及 期 貨 條 例》( 第 571 章 ) 第 216 條設立的證券及期貨事務上訴審裁處披露資 (c) disclose information to the Review Tribunal; 料； (d) disclose information to the Securities and (e) 為使證監會能夠執行本條例授予的職能，或為 Futures Appeals Tribunal established by section 協助證監會執行該等職能，向屬或曾屬根據本 216 of the Securities and Futures Ordinance 條例獲委任為核數師披露資料； (Cap. 571); (f) ( 如有關資料是從某人處取得或接獲 ) 在該人 (e) disclose information to a person who is or was 同意的情況下披露該等資料，及 ( 如該等資料 an auditor appointed under this Ordinance, for 與另一人有關 ) 在該人及該另一人均同意的情 the purpose of enabling or assisting the 況下披露該等資料； Securities and Futures Commission to perform its functions under this Ordinance; (g) 在第 (2) 款的規限下，向以下的人或團體披露 資料 —— (f) disclose information with the consent of the person from whom the information was (i) 行政長官； obtained or received and, if the information (ii) 財政司司長； relates to a different person, with the consent (iii) 律政司司長； also of the person to whom the information relates; (iv) 財經事務及庫務局局長； (g) subject to subsection (2), disclose information (v) 金融管理專員； to— (i) the Chief Executive; (ii) the Financial Secretary; (iii) the Secretary for Justice; (iv) the Secretary for Financial Services and the Treasury; (v) the Monetary Authority; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1352 第 29 條 Section 29 A1353 (vi) 保監局； (vi) the Insurance Authority; (vii) 證監會； (vii) the Securities and Futures Commission; (viii) 關長； (viii) the Commissioner; (ix) 處長； (ix) the Registrar; (x) 破產管理署署長； (x) the Official Receiver; (xi) 個人資料私隱專員； (xi) the Privacy Commissioner for Personal (xii) 申訴專員； Data; (xiii) 根據第 (6) 款獲授權的公職人員； (xii) The Ombudsman; (xiv) 根據《會計及財務匯報局條例》( 第 588 章 ) (xiii) a public officer authorized under 第 6 條延續的會計及財務匯報局； subsection (6); (xv) 財政司司長委任以調查某法團的事務的 (xiv) the Accounting and Financial Reporting 審查員； Council continued under section 6 of the Accounting and Financial Reporting (xvi) 廉政專員； Council Ordinance (Cap. 588); (xvii) 律師會；或 (xv) an inspector appointed by the Financial (xviii) 地產代理監管局； Secretary to investigate the affairs of a (h) 如有關資料是由獲授權人根據第 9 條取得，或 corporation; 是由調查員根據第 12 條取得 ——向以下的人 (xvi) the Commissioner of the Independent 披露資料 —— Commission Against Corruption; (i) 律政司司長； (xvii) the Law Society; or (ii) 警務處處長； (xviii) the Estate Agents Authority; (iii) 廉政專員；或 (h) if the information is obtained by an authorized (iv) 覆核審裁處； person under section 9 or an investigator under section 12, disclose information to— (i) the Secretary for Justice; (ii) the Commissioner of Police; (iii) the Commissioner of the Independent Commission Against Corruption; or (iv) the Review Tribunal; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1354 第 29 條 Section 29 A1355 (i) 在第 (2) 款的規限下，及在有關當局認為以下 (i) subject to subsection (2), disclose information 條件均符合的情況下，向在香港以外地方的某 to an authority or regulatory organization 主管當局或某規管機構披露資料 —— outside Hong Kong that, in the opinion of the (i) 該主管當局或該機構在它的司法管轄區 relevant authority— ( 收 取 司 法 管 轄 區 )，執 行 與 本 條 例 賦 予 (i) performs, in the jurisdiction of the 有關當局或監管機構的職能相類似的職 authority or regulatory organization 能，或在該收取司法管轄區規管、監管或 (recipient jurisdiction), any function similar 調查銀行、證券、保險、涉及虛擬資產的 to a function of a relevant authority or 活動或其他金融服務或法律或會計服務； regulatory body under this Ordinance or 及 regulates, supervises or investigates (ii) 該主管當局或該機構受該收取司法管轄 banking, securities, insurance, activities 區充分的保密條文所規限；或 involving virtual assets, or other financial services or legal or accounting services in (j) 為《保 險 業 條 例》( 第 41 章 ) 第 5F 條 或《證 券 the recipient jurisdiction; and 及 期 貨 條 例》( 第 571 章 ) 第 16 條 規 定 的 審 計 而披露資料，或於其他情況下在與上述審計相 (ii) is subject to adequate secrecy provisions in 關的情況下披露資料。 the recipient jurisdiction; or (2) 有關當局僅可在經顧及以下因素而信納披露資料是 (j) disclose information for the purpose of, or 可取或合宜的情況下，根據第 (1)(g) 或 (i) 款披露資 otherwise in connection with, an audit required 料 —— under section 5F of the Insurance Ordinance (Cap. 41) or section 16 of the Securities and (a) 公眾利益及投資大眾的利益；及 Futures Ordinance (Cap. 571). (b) 有關接收者在執行其職能時有需要取得該等資 (2) A relevant authority may disclose information under 料。 subsection (1)(g) or (i) only if satisfied that it is (3) 儘管有第 76B 條的規定 —— desirable or expedient that the information should be (a) 保監局可 —— disclosed, having regard to— (a) the public interest and the interest of the investing public; and (b) the recipient’s need for the information in performing the recipient’s functions. (3) Despite section 76B— (a) the Insurance Authority may— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1356 第 29 條 Section 29 A1357 (i) 以提起與《第 41 章》訂明人士履行其專業 (i) disclose information with a view to the 職 責 有 關 的 任 何 紀 律 程 序 為 出 發 點，或 institution of, or otherwise for the purposes 在 其 他 情 況 下 為 上 述 紀 律 程 序 的 目 的， of, any disciplinary proceedings relating to 披露資料； the performance by a Cap. 41 prescribed (ii) 向《第 41 章》訂明人士披露資料，以使保 person of his or her professional duties; 監局能夠根據《保險業條例》( 第 41 章 ) 履 (ii) disclose information to a Cap. 41 行其職能，或協助保監局如此履行職能； prescribed person for the purpose of 或 enabling or assisting the Insurance (iii) 向 —— Authority to discharge its functions under the Insurance Ordinance (Cap. 41); or (A) 獲授權保險人或持牌保險經紀公司 的核數師或精算師披露資料；或 (iii) disclose any information to an auditor or actuary specified below if, in the opinion (B) 根 據《保 險 業 條 例》( 第 41 章 ) 第 of the Insurance Authority, the information 95ZF 條為指定保險控權公司的受監 is necessary for the auditor or actuary to 管集團委任的核數師披露資料， discharge his or her duties under the 前 提 是 保 監 局 認 為，該 資 料 對 該 核 數 師 Insurance Ordinance (Cap. 41)— 或精算師根據《保險業條例》( 第 41 章 ) 履 (A) an auditor or actuary of an 行其職責屬必要；及 authorized insurer or a licensed (b) 凡 某 資 料 根 據 (a)(ii) 段，向《第 41 章》訂 明 人 insurance broker company; or 士披露，該人士如獲保監局同意，可披露該資 (B) an auditor appointed under section 料。 95ZF of the Insurance Ordinance (4) 有關當局在根據第 (1) 或 (3) 款披露資料時，可施加 (Cap. 41) for the supervised group of 其認為適當的條件。 a designated insurance holding company; and (b) a Cap. 41 prescribed person may disclose any information disclosed to that person under paragraph (a)(ii) if the Insurance Authority has given its consent to the disclosure. (4) A relevant authority may, in disclosing information under subsection (1) or (3), impose any condition that the relevant authority considers appropriate. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1358 第 29 條 Section 29 A1359 (5) 第 (1)(f) 款並不規定有關當局在任何民事法律程序 (5) Subsection (1)(f) does not require a relevant authority 中，披露其可根據該款披露或已根據該款披露的資 to disclose, in or in relation to a civil proceeding, any 料，亦不規定有關當局就任何民事法律程序披露該 information that the relevant authority may disclose, 等資料。 or has disclosed, under that subsection. (6) 財政司司長可授權任何公職人員為第 (1)(g)(xiii) 款 (6) The Financial Secretary may authorize a public 所指的可向之披露資料的人。 officer as a person to whom information may be (7) 任何人明知有根據第 (4) 款施加的條件而違反該條 disclosed under subsection (1)(g)(xiii). 件，或明知有該條件而協助、教唆、慫使或促致任 (7) A person who, knowing of a condition imposed 何人違反該條件，即屬犯罪。 under subsection (4), contravenes the condition, or (8) 任何人犯第 (7) 款所訂罪行 —— aids, abets, counsels or procures any person to contravene it, commits an offence. (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 監禁 2 年；或 (8) A person who commits an offence under subsection (7) is liable— (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 6 個月。 (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 2 years; or (9) 在本條中 —— (b) on summary conviction to a fine at level 6 and 受監管集團 (supervised group) 具有《保險業條例》( 第 41 to imprisonment for 6 months. 章 ) 第 2(1) 條所給予的涵義； (9) In this section— 指 定 保 險 控 權 公 司 (designated insurance holding company) 具 有《保 險 業 條 例》( 第 41 章 ) 第 95A(1) Cap. 41 prescribed person (《第41章》訂明人士) means a 條所給予的涵義； prescribed person as defined by section 2(1) of the Insurance Ordinance (Cap. 41); 《第 41 章》訂明人士 (Cap. 41 prescribed person) 指《保險 業條例》( 第 41 章 ) 第 2(1) 條所界定的訂明人士。 designated insurance holding company (指定保險控權公司) has the meaning given by section 95A(1) of the Insurance Ordinance (Cap. 41); supervised group (受監管集團) has the meaning given by section 2(1) of the Insurance Ordinance (Cap. 41). 76E. 受視察、調查或被行使紀律處分行動的人，不得披露資 76E. Person subject to inspection, investigation or disciplinary 料 action must not disclose information (1) 本條適用於 —— (1) This section applies to— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1360 第 29 條 Section 29 A1361 (a) 被獲授權人或調查員根據第 9 或 12 條施加要 (a) a person on whom a requirement under section 求的人；或 9 or 12 has been imposed by an authorized (b) 獲 發 第 22 、44 、53ZA 或 53ZSU 條 所 指 的 通 person or investigator; or 知的人。 (b) a person who has been given a notice under (2) 凡在向第 (1)(a) 款指明的人施加要求的過程中，或 section 22, 44, 53ZA or 53ZSU. 在該人遵從或看來是遵從該要求的過程中，該人取 (2) The person specified in subsection (1)(a) must not 得 任 何 資 料，則 該 人 不 得 向 任 何 其 他 人 披 露 該 資 disclose any information obtained in the course of 料，但在以下情況下除外 —— the requirement being imposed, or in the course of a (a) 有關當局同意該人披露該資料；或 compliance or purported compliance with the requirement, to any other person unless— (b) 第 (4) 款指明的任何條件獲符合。 (a) the relevant authority consents to the disclosure; (3) 第 (1)(b) 款指明的人不得披露自有關通知獲得的資 or 料，亦不得披露自與有關當局獲得的通訊 ( 關於該 通知的標的事宜者 ) 獲得的資料，但在以下情況下 (b) any of the conditions specified in subsection (4) 除外 —— is satisfied. (a) 有關當局同意該人披露該資料；或 (3) The person specified in subsection (1)(b) must not disclose any information obtained from the notice, or (b) 第 (4) 款指明的任何條件獲符合。 from any communication with the relevant authority (4) 為第 (2)(b) 及 (3)(b) 款而指明的條件如下 —— in relation to the subject matter of the notice, (a) 第 76B 條 沒 有 禁 止 在 某 情 況 下 或 為 某 目 的 披 unless— 露有關資料，而有關資料已在該情況下或為該 (a) the relevant authority consents to the disclosure; 目的披露，並因此而可供公眾取得； or (b) any of the conditions specified in subsection (4) is satisfied. (4) The conditions specified for subsections (2)(b) and (3)(b) are that— (a) the information has already been made available to the public because of being disclosed in any circumstances in which, or for any purpose for which, disclosure is not precluded by section 76B; <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1362 第 29 條 Section 29 A1363 (b) 披露有關資料的目的，是為向以 ( 或擬以 ) 專 (b) the disclosure is for the purpose of seeking 業身分行事的大律師、律師或其他專業顧問在 advice from, or giving advice by, counsel or a 與根據本條例引起的任何事宜相關的情況下徵 solicitor or other professional adviser, who is 詢意見，或為由該大律師、律師或其他專業顧 acting or proposing to act in a professional 問就該事宜給予意見； capacity in connection with any matter arising (c) 第 (1)(a) 或 (b) 款 指 明 的 有 關 的 人，屬 任 何 司 under this Ordinance; 法或其他法律程序的一方，而有關資料是在與 (c) the disclosure by the person specified in 該法律程序相關的情況下披露；及 subsection (1)(a) or (b) is in connection with 披露有關資料，是為了按照法院、裁判官或審 (d) any judicial or other proceedings to which the 裁處的命令、或按照香港法律或根據香港法律 person is a party; and 施加的規定或要求。 (d) the disclosure is in accordance with an order of (5) 有關當局如為施行第 (2)(a) 或 (3)(a) 款而給予同意， a court, magistrate or tribunal, or in accordance 可就該同意施加其認為適當的條件。 with a law of Hong Kong or a requirement imposed under a law of Hong Kong. (6) 任何人違反第 (2) 或 (3) 款，即屬犯罪，一經定罪， 可處第 4 級罰款。 (5) The relevant authority may impose any conditions that it considers appropriate on a consent given by it 在本條中 —— (7) for the purposes of subsection (2)(a) or (3)(a). 調查員 (investigator) 具有第 8 條所給予的涵義； (6) A person who contravenes subsection (2) or (3) 獲授權人 (authorized person) 具有第 8 條所給予的涵義。 commits an offence and is liable on conviction to a fine at level 4. (7) In this section— authorized person (獲授權人) has the meaning given by section 8; investigator (調查員) has the meaning given by section 8. 76F. 根據第 76C、76D 或 76E 條披露的資料的收取人，不得 76F. Recipient of information disclosed under section 76C, 76D 向另一人披露該資料 or 76E must not disclose it onwards (1) 如根據第 76C ( 第 (1)(b) 或 (2)(b) 款除外 )、76D ( 第 (1) If information is disclosed under section 76C (except (1)(a)、(f) 或 (i) 款 除 外 ) 或 76E 條 披 露 資 料，除 非 subsection (1)(b) or (2)(b)) or section 76D (except 符合以下條件，否則每名指明收取人，均不得向另 subsection (1)(a), (f) or (i)) or section 76E, each 一人披露該資料 —— specified recipient must not disclose the information to another person unless— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1364 第 29 條 Section 29 A1365 (a) 有關當局同意披露該資料； (a) the relevant authority consents to the disclosure; (b) 該資料是公眾已可得到的資料； (b) the information has already been made available (c) 有關披露的目的，是為向以 ( 或擬以 ) 專業身 to the public; 分行事的大律師、律師或其他專業顧問在與根 (c) the disclosure is for the purpose of seeking 據本條例引起的任何事宜相關的情況下徵詢意 advice from, or giving advice by, counsel or a 見，或為由該大律師、律師或其他專業顧問就 solicitor or other professional adviser, who is 該事宜給予意見； acting or proposing to act in a professional (d) 該指明收取人屬某司法或其他法律程序的一 capacity in connection with any matter arising 方，而由該收取人作出的該項披露，是在與該 under this Ordinance; 法律程序相關的情況下作出的；或 (d) the disclosure by the specified recipient is in (e) 有關披露是按照法院、裁判官或審裁處的命令 connection with any judicial or other 而作出的，或是按照香港法律或根據香港法律 proceedings to which the specified recipient is a 施加的規定或要求而作出的。 party; or (2) 第 (1)(a) 款提述的有關當局 —— (e) the disclosure is in accordance with an order of a court, magistrate or tribunal, or in accordance (a) 如屬根據第 76C 條披露資料 —— with a law of Hong Kong or a requirement (i) 如 第 76A 條 中 指 明 人 士 的 定 義 (a) 段 適 imposed under a law of Hong Kong. 用 ——指有關指明人士； (2) The relevant authority referred to in subsection (ii) 如第 76A 條中指明人士 的定義 (b) 段適用， (1)(a)— 而有關指明人士屬 ( 或曾屬 ) 某有關當局 (a) in the case of information disclosed under 的成員、僱員、顧問或代理人 ——指該有 section 76C— 關當局；或 (i) if paragraph (a) of the definition of specified person in section 76A applies—is the specified person; (ii) if paragraph (b) of the definition of specified person in section 76A applies—is the relevant authority of whom the specified person is or was a member, an employee, or a consultant, agent or adviser; or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1366 第 29 條 Section 29 A1367 (iii) 指關涉符合以下說明 ( 視情況所需而定 ) (iii) is the relevant authority concerned with a 的本條例某條文的有關當局 —— provision of this Ordinance where (as the (A) 有關指明人士屬 ( 或曾屬 ) 根據該條 case requires)— 文獲委任的人； (A) the specified person is or was a person (B) 有關指明人士屬 ( 或曾屬 ) 根據該條 appointed under that provision of this 文執行職能或施行該條文的人；或 Ordinance; (C) 有關指明人士屬 ( 或曾屬 ) 協助另一 (B) the specified person is or was a person 人根據該條文執行職能或施行該條 performing a function under, or 文的人； carrying into effect, that provision of this Ordinance; or (b) 如 屬 根 據 第 76D 條 披 露 資 料 ——指 披 露 資 料 的有關當局；或 (C) the specified person is or was a person assisting another person in the 如 屬 根 據 第 76E 條 披 露 資 料 ——指 符 合 以 下 (c) performance of a function under, or 說明的有關當局 —— carrying into effect, that provision of (i) 施 加 第 76E(1)(a) 條 提 述 的 要 求 的 人，是 this Ordinance; 獲該有關當局根據第 9(12) 條授權或根據 (b) in the case of information disclosed under 第 11 條指示或委任的；或 section 76D—is the relevant authority disclosing (ii) 第 76E(1)(b) 條 提 述 的 通 知，是 由 該 有 關 it; or 當局發出的。 (c) in the case of information disclosed under (3) 任何人違反第 (1) 款，即屬犯罪。 section 76E—is the relevant authority— (4) 如第 76E(4)(a) 條的條件獲符合，則第 (1) 款不適用 (i) by whom the person imposing the 於根據第 76E 條披露資料的指明收取人。 requirement referred to in section 76E(1)(a) is authorized under section 9(12) or directed or appointed under section 11; or (ii) by whom the notice referred to in section 76E(1)(b) is given. (3) A person who contravenes subsection (1) commits an offence. (4) Subsection (1) does not apply to a specified recipient of information disclosed under section 76E if the condition in section 76E(4)(a) is satisfied. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1368 第 29 條 Section 29 A1369 (5) 有關當局在根據第 (1)(a) 款給予同意時，可施加其 (5) The relevant authority may, in giving consent under 認為適當的條件。 subsection (1)(a), impose any condition that the (6) 任何人明知有根據第 (5) 款施加的條件而違反該條 relevant authority considers appropriate. 件，或明知有該條件而協助、教唆、慫使或促致任 (6) A person who, knowing of a condition imposed 何人違反該條件，即屬犯罪。 under subsection (5), contravenes the condition, or (7) 任何人犯第 (3) 或 (6) 款所訂罪行 —— aids, abets, counsels or procures any person to contravene it, commits an offence. (a) 一經循公訴程序定罪，可處罰款 $1,000,000 及 監禁 2 年；或 (7) A person who commits an offence under subsection (3) or (6) is liable— (b) 一經循簡易程序定罪，可處第 6 級罰款及監禁 6 個月。 (a) on conviction on indictment to a fine of $1,000,000 and to imprisonment for 2 years; or 在本條中 —— (8) (b) on summary conviction to a fine at level 6 and 指明收取人 (specified recipient) 指 —— to imprisonment for 6 months. (a) 根據第 (1) 款獲披露資料的人 ( 首述收取人 )； (8) In this section— 或 specified recipient (指明收取人) means— (b) 直接或間接從首述收取人取得或接獲資料的人。 (a) the person to whom any information is disclosed (first recipient) under subsection (1); or (b) a person obtaining or receiving any information, directly or indirectly, from the first recipient. 76G. 其他成文法則中關於披露資料的條文，不受影響 76G. Other enactments on disclosure of information not affected (1) 第 76A、76B、76C、76D、76E 及 76F 條 並 不 損 (1) Sections 76A, 76B, 76C, 76D, 76E and 76F do not 害 —— prejudice the following— (a) 《銀行業條例》( 第 155 章 ) 第 120 及 121 條； (a) sections 120 and 121 of the Banking Ordinance (b) 《保 險 業 條 例》( 第 41 章 ) 第 53A、53B 及 121 (Cap. 155); 條； (b) sections 53A, 53B and 121 of the Insurance (c) 《支 付 系 統 及 儲 值 支 付 工 具 條 例》( 第 584 章 ) Ordinance (Cap. 41); 第 50 條； (c) section 50 of the Payment Systems and Stored Value Facilities Ordinance (Cap. 584); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1370 第 30 條 Section 30 A1371 (d) 《證券及期貨條例》( 第 571 章 ) 第 378 條； (d) section 378 of the Securities and Futures (e) 管限金融監管者並關乎其如何分享或披露資料 Ordinance (Cap. 571); 的任何條例中的其他條文。 (e) any other provision in an Ordinance governing 在本條中 —— (2) a financial regulator that relates to the sharing or disclosure of information by the financial 金融監管者 (financial regulator) 指規管、監管或調查銀 regulator. 行、證券、保險、涉及虛擬資產的活動或其他金融 服務的主管當局或機構。” 。 (2) In this section— financial regulator (金融監管者) means an authority or body that regulates, supervises or investigates banking, securities, insurance, activities involving virtual assets or other financial services.”. 30. 修訂第 77 條 ( 行政長官會同行政會議訂立規例 ) 30. Section 77 amended (regulations by Chief Executive in Council) 第 77(1) 條 —— Section 77(1)— 廢除 Repeal 所有 “及 5A” “5 and 5A” 代以 Substitute “、5A、5B 及 5C” 。 “5, 5A, 5B and 5C”. 31. 修訂第 80 條 ( 有關當局發出通知 ) 31. Section 80 amended (giving of notices by relevant authorities) (1) 第 80 條 —— (1) Section 80— 廢除第 (1A) 款 Repeal subsection (1A) 代以 Substitute “(1A) 第 (1B) 款適用於由以下的人根據本條例獲授權或 “(1A) Subsection (1B) applies to a notice or other 須向任何人 ( 目標收件人 ) 發出或送交的通知或其 document (however described) authorized or required 他文件 ( 不論實際如何稱述 ) —— to be given or sent under this Ordinance to a person (a) 處長；或 (intended recipient)— (b) 關長 ( 在與第 5C 部相關的情況下 )。 (a) by the Registrar; or (b) by the Commissioner in connection with Part 5C. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1372 第 31 條 Section 31 A1373 (1B) 第 (1A) 款提述的通知或其他文件，在以下情況下， (1B) A notice or other document referred to in subsection 即屬已向目標收件人發出或送交 —— (1A) is given or sent to the intended recipient if— (a) 就個人而言，該通知或文件留在或郵寄往該名 (a) for an individual, it is left at, or sent by post to, 個人最後為人所知的 —— the individual’s last known— (i) 營業地址； (i) business address; (ii) 住址；或 (ii) residential address; or (iii) 通訊地址； (iii) correspondence address; (b) 就合夥而言，該通知或文件留在或郵寄往該合 (b) for a partnership, it is left at, or sent by post to, 夥最後為人所知的 —— the partnership’s last known— (i) 主要營業地點；或 (i) principal place of business; or (ii) 營業地址； (ii) business address; (c) 就 屬《公 司 條 例》( 第 622 章 ) 第 2(1) 條 所 界 定 (c) for a corporation that is a company as defined 的公司的法團而言，該通知或文件留在或郵寄 by section 2(1) of the Companies Ordinance 往該法團的 —— (Cap. 622), it is left at, or sent by post to, the (i) 註冊辦事處 ( 該條例所指者 )；或 corporation’s— (ii) 最後為人所知的營業地址； (i) registered office (within the meaning of that Ordinance); or 就任何其他法團而言，該通知或文件留在或郵 (d) 寄往該法團最後為人所知的營業地址；或 (ii) last known business address; (e) 就 (a)、(b)、(c) 或 (d) 段 提 述 的 目 標 收 件 人 而 (d) for any other corporation, it is left at, or sent by 言，該通知或文件以電子方式傳送往目標收件 post to, the corporation’s last known business 人最後為人所知的電郵地址。” 。 address; or (2) 在第 80(4) 條之後 —— (e) for an intended recipient referred to in paragraph (a), (b), (c) or (d), it is sent by 加入 electronic means to the intended recipient’s last “(5) 儘管有第 (4) 款的規定，《證券及期貨條例》( 第 571 known electronic mail address.”. 章 ) 第 141 條在經必要變通後，就根據本條例獲授 (2) After section 80(4)— 權或須向持牌虛擬資產服務人士發出或送達書面通 Add “(5) Despite subsection (4), section 141 of the Securities and Futures Ordinance (Cap. 571) applies, with necessary modifications, in relation to the giving or <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1374 第 32 條 Section 32 A1375 知或其他文件 ( 不論實際如何稱述 ) 而適用，一如 serving of a written notice or other document 該條就該條提述的書面通知、決定或指示或其他文 (however described) authorized or required to be 件的發出或送達而適用。 given, or served (however described) to or on a (6) 在第 (5) 款中 —— licensed VAS person under this Ordinance as it applies in relation to the issuing or serving of a 持牌虛擬資產服務人士 (licensed VAS person) 指第 5B 部 notice, decision or direction or other document 所指的持牌提供者或持牌代表。” 。 referred to in that section. (6) In subsection (5)— licensed VAS person (持牌虛擬資產服務人士) means a licensed provider or a licensed representative within the meaning of Part 5B.”. 32. 修訂附表 1 ( 釋義 ) 32. Schedule 1 amended (interpretation) (1) 附 表 1 ，第 2 部，第 1 條，指 定 非 金 融 業 人 士 的 定 義， (1) Schedule 1, Part 2, section 1, definition of DNFBP, (c) 段 —— paragraph (c)— 廢除 Repeal “或” 。 “or”. (2) 附 表 1 ，第 2 部，第 1 條，指 定 非 金 融 業 人 士 的 定 義， (2) Schedule 1, Part 2, section 1, definition of DNFBP, (d) 段，在 “持牌人；” 之後 —— paragraph (d), after “licensee;”— 加入 Add “或” 。 “or”. (3) 附 表 1 ，第 2 部，第 1 條，指 定 非 金 融 業 人 士 的 定 義， (3) Schedule 1, Part 2, section 1, definition of DNFBP, after 在 (d) 段之後 —— paragraph (d)— 加入 Add “(e) 貴金屬及寶石 B 類註冊人；” 。 “(e) a Category B PMS registrant;”. (4) 附表 1 ，第 2 部，第 1 條，金融機構 的定義，(g) 段 —— (4) Schedule 1, Part 2, section 1, definition of financial 廢除 institution, paragraph (g)— “或” 。 Repeal “or”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1376 第 32 條 Section 32 A1377 (5) 附 表 1 ，第 2 部，第 1 條，金 融 機 構 的 定 義，(h) 段，在 (5) Schedule 1, Part 2, section 1, definition of financial “持牌人；” 之後 —— institution, paragraph (h), after “licensee;”— 加入 Add “或” 。 “or”. (6) 附表 1 ，第 2 部，第 1 條，金融機構 的定義，在 (h) 段之 (6) Schedule 1, Part 2, section 1, definition of financial 後 —— institution, after paragraph (h)— 加入 Add “(i) ( 除第 20A 條另有規定外 ) 持牌虛擬資產服務提供 “(i) subject to section 20A, a licensed VAS provider;”. 者；” 。 (7) Schedule 1, Part 2, section 1, definition of relevant (7) 附表 1 ，第 2 部，第 1 條，有關當局 的定義，(d) 段 —— authority, paragraph (d)— 廢除 Repeal “及” 。 “and”. (8) 附表 1 ，第 2 部，第 1 條，有關當局 的定義，在 (e) 段之 (8) Schedule 1, Part 2, section 1, definition of relevant 後 —— authority, after paragraph (e)— 加入 Add “(f) 就持牌虛擬資產服務提供者或持牌虛擬資產服務提 “(f) in relation to a licensed VAS provider or an 供者的有聯繫實體而言，指證監會；及 associated entity of a licensed VAS provider, means (g) 就貴金屬及寶石註冊人而言，指關長；” 。 the Securities and Futures Commission; and (9) 附表 1 ，第 2 部，第 1 條，證監會 的定義，在 “Securities (g) in relation to a PMS registrant, means the and Futures Commission” 之後 —— Commissioner;”. 加入 (9) Schedule 1, Part 2, section 1, definition of Securities and Futures Commission, after “Securities and Futures “, Commission” 。 Commission”— (10) 附 表 1 ，英 文 文 本，第 2 部，第 1 條，TCSP licensee 的 Add 定義，(b) 段 —— “, Commission”. 廢除句點 (10) Schedule 1, English text, Part 2, section 1, definition of 代以分號。 TCSP licensee, paragraph (b)— Repeal the full stop Substitute a semicolon. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1378 第 32 條 Section 32 A1379 (11) 附表 1 ，第 2 部，第 1 條 —— (11) Schedule 1, Part 2, section 1— 按筆劃數目順序加入 Add in alphabetical order “法 團 (corporation) 指《公 司 條 例》( 第 622 章 ) 第 2(1) 條 “business day (營業日) means any day other than— 所界定的公司，或在香港或其他地方成立為法團的 (a) a public holiday; or 其他法人團體； (b) a gale warning day or a black rainstorm 客户 (customer) —— warning day as defined by section 71(2) of the (a) 包括當事人；及 Interpretation and General Clauses Ordinance (b) 就貴金屬及寶石 B 類註冊人而言，包括屬該註 (Cap. 1); 冊人所進行的交易 ( 在該註冊人經營貴金屬及 Category B PMS registrant (貴金屬及寶石B類註冊人) 寶石業務時進行者 ) 的一方的人，不論該人是 means— 向該註冊人付款，或是從該註冊人收取付款； (a) a Category B registrant within the meaning of 持 牌 虛 擬 資 產 服 務 提 供 者 (licensed VAS provider) 指 第 Part 5C; or 5B 部所指的持牌提供者； (b) a deemed registrant as defined by section 虛擬資產 (virtual asset) ——參閱第 53ZRA 條； 53ZW(8); 貴金屬及寶石註冊人 (PMS registrant) 指 —— corporation (法團) means a company as defined by section (a) 第 5C 部所指的 A 類註冊人或 B 類註冊人；或 2(1) of the Companies Ordinance (Cap. 622) or other body corporate incorporated either in Hong Kong or (b) 第 53ZW(8) 條所界定的當作註冊人； elsewhere; 貴 金 屬 及 寶 石 B 類 註 冊 人 (Category B PMS registrant) customer (客户)— 指 —— (a) includes a client; and (a) 第 5C 部所指的 B 類註冊人；或 (b) in relation to a Category B PMS registrant, (b) 第 53ZW(8) 條所界定的當作註冊人； includes a person who is a party to any transaction carried out by the registrant while the registrant carries on a precious metals and stones business, whether the person makes or receives any payment to or from the registrant; information system (資訊系統) has the meaning given by section 2(1) of the Electronic Transactions Ordinance (Cap. 553); <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1380 第 33 條 Section 33 A1381 資訊系統 (information system) 具有《電子交易條例》( 第 licensed VAS provider (持牌虛擬資產服務提供者) means a 553 章 ) 第 2(1) 條所給予的涵義； licensed provider within the meaning of Part 5B; 營業日 (business day) 指不屬以下任何日子的日子 —— PMS registrant (貴金屬及寶石註冊人) means— (a) 公眾假日；或 (a) a Category A registrant or a Category B (b) 《釋義及通則條例》( 第 1 章 ) 第 71(2) 條所界定 registrant within the meaning of Part 5C; or 的烈風警告日或黑色暴雨警告日；” 。 (b) a deemed registrant as defined by section 53ZW(8); virtual asset (虛擬資產)—see section 53ZRA.”. 33. 修訂附表 2 ( 關於就客户作盡職審查及備存紀錄的規定 ) 33. Schedule 2 amended (requirements relating to customer due (1) 附表 2—— diligence and record-keeping) 廢除 (1) Schedule 2— “及 53Z 條 ]” Repeal 代以 “& 53Z]” “、53Z 及 53ZVF 條 ]” 。 Substitute (2) 附表 2 ，第 1(1) 條，實益擁有人 的定義，(c)(i) 段 —— “, 53Z & 53ZVF]”. 廢除 (2) Schedule 2, section 1(1), definition of beneficial owner, paragraph (c)(i)— 在 “是享有” 之前的所有字句 Repeal 代以 “an individual who is entitled to a vested interest in more “(i) 有權享有信託財產的既得權益的受益人或某類別受 than 25% of the capital of ” 益人，而不論該受益人” 。 Substitute (3) 附 表 2 ，第 1(1) 條，實 益 擁 有 人 的 定 義，在 (c)(ii) 段 之 後 —— “a beneficiary or a class of beneficiaries of the trust entitled to a vested interest in”. 加入 (3) Schedule 2, section 1(1), definition of beneficial owner, “(iia) 該信託的受託人；” 。 after paragraph (c)(ii)— Add “(iia) the trustee of the trust;”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1382 第 33 條 Section 33 A1383 (4) 附表 2 ，第 1(1) 條，政治人物 的定義，(a) 段 —— (4) Schedule 2, section 1(1), definition of politically exposed 廢除 person, paragraph (a)— “中華人民共和國” Repeal 代以 “the People’s Republic of China” “香港” 。 Substitute (5) 附表 2 ，第 1(1) 條 —— “Hong Kong”. 廢除先前客户 的定義 (5) Schedule 2, section 1(1)— 代以 Repeal the definition of pre-existing customer “先前客户 (pre-existing customer) —— Substitute (a) 就某金融機構 ( 持牌虛擬資產服務提供者除外 ) “pre-existing customer (先前客户)— 而 言 ——指 在 2012 年 4 月 1 日 前 已 與 該 金 融 (a) in relation to a financial institution other than a 機構建立業務關係的客户； licensed VAS provider—means a customer with (b) 就 某 持 牌 虛 擬 資 產 服 務 提 供 者 而 言 ——指 在 whom the financial institution has established a 2023 年 6 月 1 日前已與該提供者建立業務關係 business relationship before 1 April 2012; 的客户； (b) in relation to a licensed VAS provider—means a (c) 就某指定非金融業人士 ( 貴金屬及寶石 B 類註 customer with whom the licensed VAS provider 冊 人 除 外 ) 而 言 ——指 在 2018 年 3 月 1 日 前 has established a business relationship before 1 已與該人士建立業務關係的客户；或 June 2023; (d) 就 某 貴 金 屬 及 寶 石 B 類 註 冊 人 而 言 ——指 在 (c) in relation to a DNFBP other than a Category 2023 年 4 月 1 日前已與該註冊人建立業務關係 B PMS registrant—means a customer with 的客户；” 。 whom the DNFBP has established a business relationship before 1 March 2018; or (6) 附 表 2 ，英 文 文 本，第 1(1) 條，public body 的 定 義，(e) 段 —— (d) in relation to a Category B PMS registrant—means a customer with whom the registrant has 廢除句點 established a business relationship before 1 April 代以分號。 2023;”. (6) Schedule 2, English text, section 1(1), definition of public body, paragraph (e)— Repeal the full stop Substitute a semicolon. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1384 第 33 條 Section 33 A1385 (7) 附表 2 ，第 1(1) 條 —— (7) Schedule 2, section 1(1)— 廢除客户 的定義。 Repeal the definition of customer. (8) 附表 2 ，第 1(1) 條 —— (8) Schedule 2, section 1(1)— 按筆劃數目順序加入 Add in alphabetical order “前政治人物 (former politically exposed person) 指 —— “former politically exposed person (前政治人物) means— (a) 身為政治人物的個人，該名個人曾在香港以外 (a) an individual who, being a politically exposed 地方擔任重要公職，但目前沒有如此擔任重要 person, has been but is not currently entrusted 公職； with a prominent public function in a place (b) (a) 段所指的個人的配偶、伴侶、子女或父母， outside Hong Kong; 或該名個人的子女的配偶或伴侶；或 (b) a spouse, a partner, a child or a parent of an (c) 與 (a) 段所指的個人關係密切的人； individual falling within paragraph (a), or a spouse or a partner of a child of such an 虛 擬 資 產 轉 賬 (virtual asset transfer) ——參 閱 本 附 表 第 individual; or 13A(1) 條； (c) a close associate of an individual falling within 認 可 數 碼 識 別 系 統 (recognized digital identification paragraph (a); system) —— recognized digital identification system (認可數碼識別系統) (a) 就金融機構或屬信託或公司服務持牌人或貴金 means— 屬及寶石 B 類註冊人的指定非金融業人士而 言，指獲有關當局認可的、屬可靠及獨立來源 (a) in relation to a financial institution or a 的數碼識別系統；或 DNFBP who is a TCSP licensee or a Category B PMS registrant, a digital identification system (b) 就屬會計專業人士、地產代理或法律專業人士 that is a reliable and independent source that is 的指定非金融業人士而言，指獲有關監管機構 recognized by the relevant authority; or 認 可 的、屬 可 靠 及 獨 立 來 源 的 數 碼 識 別 系 統；” 。 (b) in relation to a DNFBP who is an accounting professional, an estate agent or a legal professional, a digital identification system that is a reliable and independent source that is recognized by the relevant regulatory body; virtual asset transfer (虛擬資產轉賬)—see section 13A(1) of this Schedule.”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1386 第 33 條 Section 33 A1387 (9) 附表 2 ，第 2(1)(a) 條 —— (9) Schedule 2, section 2(1)(a)— 廢除 Repeal “或屬信託或公司服務持牌” “a financial institution or a DNFBP who is a TCSP 代以 licensee” “而言，或就屬信託或公司服務持牌人或貴金屬及寶石 Substitute B 類註冊” 。 “a financial institution, or a DNFBP who is a TCSP (10) 附表 2 ，第 2(1)(a)(iii) 條 —— licensee or a Category B PMS registrant”. 廢除 (10) Schedule 2, section 2(1)(a)(iii)— “；或” Repeal 代以分號。 “; or” (11) 附表 2 ，在第 2(1)(a)(iii) 條之後 —— Substitute a semicolon. 加入 (11) Schedule 2, after section 2(1)(a)(iii)— “(iiia) 認可數碼識別系統；或” 。 Add (12) 附表 2 ，第 2(1)(ab)(iii) 條 —— “(iiia) a recognized digital identification system; or”. 廢除 (12) Schedule 2, section 2(1)(ab)(iii)— “或” 。 Repeal (13) 附表 2 ，在第 2(1)(ab)(iii) 條之後 —— “or”. 加入 (13) Schedule 2, after section 2(1)(ab)(iii)— “(iiia) 認可數碼識別系統；或” 。 Add (14) 附表 2 ，第 2(1)(d)(i) 條 —— “(iiia) a recognized digital identification system; or”. 廢除 (14) Schedule 2, section 2(1)(d)(i)— “或屬信託或公司服務持牌” Repeal 代以 “a financial institution or a DNFBP who is a TCSP licensee” “而言，或就屬信託或公司服務持牌人或貴金屬及寶石 B 類註冊” 。 Substitute “a financial institution, or a DNFBP who is a TCSP licensee or a Category B PMS registrant”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1388 第 33 條 Section 33 A1389 (15) 附表 2 ，第 3(1) 條 —— (15) Schedule 2, section 3(1)— 廢除 (c) 段。 Repeal paragraph (c). (16) 附表 2 ，在第 3(1) 條之後 —— (16) Schedule 2, after section 3(1)— 加入 Add “(1A) 除本附表第 4 條另有規定外，即使有第 (1)(b) 款的 “(1A) Subject to section 4 of this Schedule and despite 規定，在為客户執行符合以下說明的非經常交易之 subsection (1)(b), a financial institution must carry 前，金 融 機 構 須 就 該 客 户 執 行 客 户 盡 職 審 查 措 out customer due diligence measures in relation to a 施 —— customer before carrying out for the customer an (a) 屬 電 傳 轉 賬，並 涉 及 相 等 於 $8,000 或 以 上 的 occasional transaction that is— 款額 ( 或折算為任何其他貨幣的相同款額 )； (a) a wire transfer involving an amount equal to or 或 above $8,000 or an equivalent amount in any (b) 屬虛擬資產轉賬，並涉及相當於不少於 $8,000 other currency; or 的虛擬資產， (b) a virtual asset transfer involving virtual assets 不論該交易是以單一次操作執行，或是以該機構覺 that amount to no less than $8,000, 得是有關連的若干次操作執行。 whether the transaction is carried out in a single (1B) 除本附表第 4 條另有規定外，即使有第 (1)(b) 款的 operation or in several operations that appear to the 規定，在為客户執行符合以下說明的非經常交易之 financial institution to be linked. 前，持牌虛擬資產服務提供者須就該客户執行客户 (1B) Subject to section 4 of this Schedule and despite 盡職審查措施 —— subsection (1)(b), a licensed VAS provider must carry (a) 涉及相等於 $8,000 或以上的款額 ( 或折算為任 out customer due diligence measures in relation to a 何其他貨幣的相同款額 )；及 customer before carrying out for the customer an occasional transaction that— (b) 並非電傳轉賬或虛擬資產轉賬， (a) involves an amount equal to or above $8,000 or 不論該交易是以單一次操作執行，或是以該提供者 an equivalent amount in any other currency; 覺得是有關連的若干次操作執行。” 。 and (b) is not a wire transfer or a virtual asset transfer, whether the transaction is carried out in a single operation or in several operations that appear to the licensed VAS provider to be linked.”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1390 第 33 條 Section 33 A1391 (17) 附表 2 ，第 3(4) 條 —— (17) Schedule 2, section 3(4)— 廢除 Repeal “(1)” “(1)” 代以 Substitute “(1)、(1A)、(1B)” 。 “(1), (1A), (1B)”. (18) 附表 2 ，第 4(1)、(2)、(4) 及 (6) 條 —— (18) Schedule 2, section 4(1), (2), (4) and (6)— 廢除 Repeal “3(1)(a)、(b) 及 (c)” “3(1)(a), (b) and (c)” 代以 Substitute “3(1)(a) 及 (b)、(1A) 及 (1B)” 。 “3(1)(a) and (b), (1A) and (1B)”. (19) 附表 2 ，在第 5(3) 條之後 —— (19) Schedule 2, after section 5(3)— 加入 Add “(4) 如金融機構或指定非金融業人士已以認可數碼識別 “(4) Subsection (3)(a) does not apply in relation to a 系統所提供的數據或資料為基礎，就該機構或該人 customer of a financial institution or a DNFBP if 士 的 某 客 户，執 行 本 附 表 第 2(1)(a) 或 (ab) 條 提 述 the financial institution or the DNFBP has carried 的措施，則就該客户而言，第 (3)(a) 款不適用。 out the measure referred to in section 2(1)(a) or (ab) (5) 如金融機構或指定非金融業人士信納 —— of this Schedule in relation to the customer on the basis of data or information provided by a (a) 該機構或該人士的某客户或某客户的實益擁有 recognized digital identification system. 人，屬某前政治人物；及 (5) Subsection (3)(b) does not apply in relation to a (b) 基於適當風險評估，該前政治人物不會造成洗 customer, or a beneficial owner of a customer, of a 錢或恐怖分子資金籌集方面的高度風險， financial institution or a DNFBP if the financial 則就該客户或該實益擁有人而言，第 (3)(b) 款不適 institution or the DNFBP is satisfied that— 用。” 。 (a) the customer or the beneficial owner of the customer is a former politically exposed person; and (b) the former politically exposed person does not present a high risk of money laundering or terrorist financing based on an appropriate risk assessment.”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1392 第 33 條 Section 33 A1393 (20) 附表 2—— (20) Schedule 2— 將第 9 條重編為第 9(1) 條。 Renumber section 9 as section 9(1). (21) 附表 2 ，在第 9(1) 條之後 —— (21) Schedule 2, after section 9(1)— 加入 Add “(2) 如金融機構或指定非金融業人士已以認可數碼識別 “(2) Subsection (1) does not apply in relation to a 系統所提供的數據或資料為基礎，就該機構或該人 customer of a financial institution or a DNFBP if 士 的 某 客 户，執 行 本 附 表 第 2(1)(a) 或 (ab) 條 提 述 the financial institution or the DNFBP has carried 的措施，則就該客户而言，第 (1) 款不適用。” 。 out the measure referred to in section 2(1)(a) or (ab) (22) 附表 2 ，在第 10(2) 條之後 —— of this Schedule in relation to the customer on the basis of data or information provided by a 加入 recognized digital identification system.”. “(3) 如金融機構或指定非金融業人士信納 —— (22) Schedule 2, after section 10(2)— (a) 該機構或該人士的某客户或某客户的實益擁有 Add 人，屬某前政治人物；及 “(3) Subsections (1) and (2) do not apply in relation to a (b)基於適當風險評估，該前政治人物不會造成洗 customer or a beneficial owner of a customer of a 錢或恐怖分子資金籌集方面的高度風險， financial institution or a DNFBP if the financial 則就該客户或該實益擁有人而言，第 (1) 及 (2) 款不 institution or the DNFBP is satisfied that— 適用。” 。 (a) the customer or the beneficial owner of the (23) 附表 2 ，第 12(2) 條 —— customer is a former politically exposed person; 廢除 (c) 段 and 代以 (b) the former politically exposed person does not present a high risk of money laundering or “(c) 符合以下說明的電傳轉賬 —— terrorist financing based on an appropriate risk assessment.”. (23) Schedule 2, section 12(2)— Repeal paragraph (c) Substitute “(c) a wire transfer if— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1394 第 33 條 Section 33 A1395 (i) 因使用信用咭、扣賬咭或預付咭進行的交易而 (i) it arises from a transaction that is carried out 引致者，例如 —— using a credit card, debit card or prepaid card (A) 以扣賬咭經自動櫃員機從銀行户口提取 such as— 金錢； (A) withdrawing money from a bank account (B) 以信用咭取得現金墊支；或 through an automated teller machine with a debit card; (C) 以信用咭、扣賬咭或預付咭，就貨品或服 務付款； (B) obtaining a cash advance on a credit card; or (ii)該信用咭、扣賬咭或預付咭，並非用作一項支 付系統以執行人對人之間轉賬；及 (C) paying for goods or services with a credit card, debit card or prepaid card; (iii) 該信用咭、扣賬咭或預付咭的號碼 ( 或等同的 獨特標識 )，已包括在附隨該項轉賬的信息或 (ii) the card is not used as a payment system to 付款表格內。” 。 effect a person-to-person transfer; and (24) 附 表 2 ，中 文 文 本，第 12(11) 條，匯 款 人 的 定 義，(b) (iii) the number (or equivalent unique identifier) of 段 —— the credit card, debit card or prepaid card is included in the message or payment form 廢除 accompanying the transfer.”. “人；” (24) Schedule 2, Chinese text, section 12(11), definition of 匯 代以 款人 , paragraph (b)— “人。” 。 Repeal (25) 附表 2 ，第 12(11) 條 —— “人；” 廢除營業日 的定義。 Substitute (26) 附表 2 ，在第 13 條之後 —— “人。”. 加入 (25) Schedule 2, section 12(11)— Repeal the definition of business day. (26) Schedule 2, after section 13— Add “13A. 虛擬資產轉賬的特別規定 “13A. Special requirements for virtual asset transfer (1) 就本附表而言，虛擬資產轉賬是進行符合以下說明 (1) For the purposes of this Schedule, a virtual asset 的交易 —— transfer is a transaction carried out— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1396 第 33 條 Section 33 A1397 (a) 轉賬是由某機構 ( 匯款機構 ) 代匯款人，而進 (a) by an institution (ordering institution) on behalf 行方式是將任何虛擬資產轉出；及 of an originator by transferring any virtual (b) 轉賬是使該等虛擬資產 —— assets; and (i) 可供該人或另一人 ( 收款人 ) 使用；及 (b) with a view to making the virtual assets available— 可供在某機構 ( 收款機構 ) 使用，該機構 (ii) 可屬匯款機構或另一機構， (i) to that person or another person (recipient); and 而不論是否有一個或多於一個其他機構 ( 中介機構 ) 參與完成該項虛擬資產轉賬。 (ii) at an institution (beneficiary institution), which may be the ordering institution or (2) 除第 (3) 款另有規定外，在進行虛擬資產轉賬之前， another institution, 屬匯款機構的金融機構須取得和記錄 —— whether or not one or more other institutions (a) 匯款人的姓名或名稱； (intermediary institutions) participate in completion (b) 凡有關虛擬資產是從匯款人設於該機構的某户 of the transfer of the virtual assets. 口轉出的——該户口的號碼 ( 或如無上述户口， (2) Subject to subsection (3), before carrying out a 由該機構編配給該項轉賬的獨特參考編號 )； virtual asset transfer, a financial institution that is an (c) 匯款人的地址、匯款人的客户識別號碼或識別 ordering institution must obtain and record— 文件號碼，或匯款人 ( 如屬個人 ) 的出生日期 (a) the originator’s name; 及出生地； (b) the number of the originator’s account (d) 收款人的姓名或名稱；及 maintained with the financial institution and (e) 凡有關虛擬資產是轉賬至收款人設於有關收款 from which the virtual assets are transferred or, 機構的某户口 ——該户口的號碼 ( 或如無上述 in the absence of such an account, a unique reference number assigned to the virtual asset transfer by the financial institution; (c) the originator’s address, the originator’s customer identification number or identification document number or, if the originator is an individual, the originator’s date and place of birth; (d) the recipient’s name; and (e) the number of the recipient’s account maintained with the beneficiary institution and <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1398 第 33 條 Section 33 A1399 户口，由該機構編配給該項轉賬的獨特參考編 to which the virtual assets are transferred or, in 號 )。 the absence of such an account, a unique (3) 第 (2)(c) 款不適用於涉及相當於 $8,000 以下的虛擬 reference number assigned to the virtual asset 資產的虛擬資產轉賬。 transfer by the beneficiary institution. (4) 屬虛擬資產轉賬中的匯款機構的金融機構，須按照 (3) Subsection (2)(c) does not apply to a virtual asset 本條例任何條文之下公布的守則及指引，向收款機 transfer involving virtual assets that amount to less 構提交 —— than $8,000. (a) 如 屬 涉 及 相 當 於 不 少 於 $8,000 的 虛 擬 資 產 的 (4) A financial institution that is an ordering institution 虛擬資產轉賬 ——根據第 (2)(a)、(b)、(c)、(d) in a virtual asset transfer must submit to the 及 (e) 款就該項轉賬取得並持有的資料；及 beneficiary institution— (b) 如 屬 涉 及 相 當 於 $8,000 以 下 的 虛 擬 資 產 的 虛 (a) for a virtual asset transfer involving virtual 擬 資 產 轉 賬 ——根 據 第 (2)(a)、(b)、(d) 及 (e) assets that amount to not less than $8,000—the 款就該項轉賬取得並持有的資料。 information obtained and held under subsection (2)(a), (b), (c), (d) and (e) in relation to the (5) 屬虛擬資產轉賬中的收款機構的金融機構如從某機 transfer; and 構 ( 後者 ) 收取轉賬指示，則須取得和記錄後者根 據第 (2) 款向該金融機構提交的資料。 (b) for a virtual asset transfer involving virtual assets that amount to less than $8,000—the (6) 金融機構如在虛擬資產轉賬中擔任中介機構，則須 information obtained and held under subsection 將其連同該項轉賬一併獲得的所有資料，傳遞予收 (2)(a), (b), (d) and (e) in relation to the transfer, 取其轉賬指示的機構。 in accordance with codes and guidelines published under any provision of this Ordinance. (5) A financial institution that is a beneficiary institution in a virtual asset transfer must obtain and record the information under subsection (2) submitted to it by the institution from which it receives the transfer instruction. (6) If a financial institution acts as an intermediary institution in a virtual asset transfer, it must transmit all of the information that it receives with the transfer to the institution to which it passes on the transfer instruction. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1400 第 33 條 Section 33 A1401 (7) 凡金融機構 ( 獲指示機構 ) 屬虛擬資產轉賬中的收 (7) Where a financial institution (instructed institution) is 款機構或中介機構 —— a beneficiary institution or an intermediary (a) 如向獲指示機構發出轉賬指示的機構 ( 發指示 institution in a virtual asset transfer— 機構 ) 在轉賬予獲指示機構的虛擬資產的相關 (a) if the institution (instructing institution) from 情況下，沒有提交所有有關的第 (2) 款所指的 which the instructed institution receives the 資料，則 —— transfer instruction does not submit all of the (i) 獲指示機構須在合理地切實可行的範圍 information under subsection (2) in connection 內，盡 快 從 發 指 示 機 構 取 得 有 關 的 遺 漏 with the virtual asset transferred to the 資料；及 instructed institution, the instructed institution must as soon as reasonably practicable— (ii) 獲指示機構如未能取得有關的遺漏資料， 便 須 在 合 理 地 切 實 可 行 的 範 圍 內，盡 (i) obtain the missing information from the 快 —— instructing institution; and (A) 考慮限制或結束其與發指示機構的 (ii) if the missing information cannot be 業務關係；或 obtained, either— (B) 採 取 合 理 措 施，減 低 所 涉 的 洗 錢 或 (A) consider restricting or terminating its 恐怖分子資金籌集的風險；或 business relationship with the instructing institution; or (b) 獲指示機構如察覺任何提交予該機構並看來是 第 (2) 款所指的資料並不完整或不具意義，則 (B) take reasonable measures to mitigate 須在合理地切實可行的範圍內，盡快採取合理 the risk of money laundering or 措施，減低所涉的洗錢或恐怖分子資金籌集的 terrorist financing involved; or 風險。 (b) if the instructed institution is aware that any of 在本條中 —— (8) the information submitted to it that purports to be information under subsection (2) is 匯款人 (originator) 就虛擬資產轉賬而言，涵義如下 —— incomplete or meaningless, it must as soon as reasonably practicable take reasonable measures to mitigate the risk of money laundering or terrorist financing involved. (8) In this section— originator (匯款人), in relation to a virtual asset transfer, means— <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第 2 部 ——第 2 分部 Part 2—Division 2 Ord. No. 15 of 2022 A1402 第 33 條 Section 33 A1403 (a) 凡在該項轉賬中，虛擬資產從某人設於匯款機 (a) the person from whose account with the 構的户口轉出，該人即屬匯款人；或 ordering institution the virtual assets for the (b)如無上述户口，則匯款人是指示匯款機構進行 virtual asset transfer are transferred; or 該項轉賬的人。” 。 (b) in the absence of such an account, the person (27) 附表 2 ，在第 19(2) 條之後 —— who instructs the ordering institution to carry out the virtual asset transfer.”. 加入 (27) Schedule 2, after section 19(2)— “(2A) 進行虛擬資產轉賬的金融機構，須建立和維持有效 程 序，以 識 辨 和 處 理 與 本 附 表 第 13A(4) 條 不 獲 遵 Add 守有關的虛擬資產轉賬。” 。 “(2A) A financial institution that carries out virtual asset (28) 附表 2 ，在第 20(3) 條之後 —— transfers must establish and maintain effective procedures for identifying and handling virtual asset 加入 transfers in relation to which section 13A(4) of this “(3A) 第 (1)(b) 款 規 定 須 為 非 經 常 交 易 ( 在 本 附 表 第 Schedule has not been complied with.”. 3(1)(b)、(1A) 及 (1B) 條所列的任何情況下進行 ) 備 (28) Schedule 2, after section 20(3)— 存的紀錄，須在自有關非經常交易完成之日起計的 至少 5 年期間內備存。” 。 Add “(3A) Records required to be kept under subsection (1)(b) for an occasional transaction that is carried out in any of the circumstances set out in section 3(1)(b), (1A) and (1B) of this Schedule must be kept for a period of at least 5 years beginning on the date on which the occasional transaction is completed.”. <!-- page break --> 《2022 年打擊洗錢及恐怖分子資金籌集 ( 修訂 ) 條例》 Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 2022 年第 15 號條例 第3部 Part 3 Ord. No. 15 of 2022 A1404 第 34 條 Section 34 A1405 第3部 Part 3 對《證券及期貨條例》( 第 571 章 ) 的相關修訂 Related Amendment to Securities and Futures Ordinance (Cap. 571) 34. 修訂第 378 條 ( 保密等 ) 34. Section 378 amended (preservation of secrecy, etc.) 在第 378(3)(f)(xvii) 條之後 —— After section 378(3)(f)(xvii)— 加入 Add “(xviii) 海關關長； “(xviii) the Commissioner of Customs and Excise; (xix) 地產代理監管局； (xix) the Estate Agents Authority; (xx) 香港律師會；” 。 (xx) The Law Society of Hong Kong;”. <!-- page break -->

Anti-Money Laundering and Counter-Terrorist Financing (Amendment) Ordinance 2022 · Nelum