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豁免

申请豁免

豁免遵从披露内幕消息规定的申请必须以书面方式向证监会提交。证监会执行委员会将会研究是否批准有关申请。

有关申请应:

  1. 清楚解释需要获得该项豁免的理由;
  2. 载有有助证监会考虑该项申请所需的全部相关事实和资料,包括但不限于:
    • 规定该申请人不得披露该内幕消息的任何法律或限制的详情;及

    如适用,以支持该项豁免申请:

    • 适当法律意见;
    • 海外监管机构或政府机关的书面确认;及/或
    • 任何其他相关资料。

每宗申请均应由申请人签署,并应包含一项声明,证明所提交的资料均属真实、准确和完整。如该项申请由顾问代表申请人提交及签署,该项申请应包含一项声明,以确认(i)该申请人已授权由该顾问提交该项申请,及(ii)所提交的资料均属真实、准确和完整。

申请人应依据《证券及期货(费用)规则》在申请表内夹附抬头为证券及期货事务监察委员会的24,000港元划线支票。

申请应发送到:

香港鲗鱼涌华兰路18号
港岛东中心54楼
证券及期货事务监察委员会
企业融资部

覆核豁免决定

如豁免申请遭证监会执行委员会拒绝,申请人可要求证监会覆核委员会覆核有关决定。覆核要求必须在豁免申请遭拒绝后两个营业日内以书面方式向证监会提出。

覆核要求必须载有要求作出覆核的理由及所有相关资料。

每宗申请均应由申请人签署,并应包含一项声明,证明所提交的资料均属真实、准确和完整。如该项申请由顾问代表申请人提交及签署,该项申请应包含一项声明,以确认(i)该申请人已授权由该顾问提交该项申请,及(ii)所提交的资料均属真实、准确和完整。

在收到覆核委员会所作出的决定后,申请人可于两个营业日内提出要求覆核委员会提供有关书面理由。

最后更新日期: 2020年10月7日

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