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Background

Federation of Share Registrars Limited (the "Federation") was founded on 29 March 1974 by 7 founding members. Our membership currently comprises of 21 members. All members of the Federation are approved share registrars under the "Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited".

The Federation has an Executive Committee consisting of 6 members. Executive Committee election is carried out in each annual general meeting of the Federation. The role of the Executive Committee is to manage the internal administration of the Federation; to co-ordinate the activities of the members; to communicate with regulatory bodies and securities market participants and to provide hotline enquiries for public investors.

In order to provide an orderly framework within which share registrars are to conduct their business, a Code of Conduct for Share Registrars (the "Code") was issued by The Securities and Futures Commission in October 2001 and was further updated in March 2003. The Code sets the standards of commercial conduct and behaviour of share registrars. A breach of the requirements of the Code will reflect adversely on the member and its status as a member of the Federation and may result in disciplinary action.

背景

證券登記公司總會有限公司(「總會」)於1974年3月29日由7位創會會員成立,現時共有21名會員。總會所有會員均為《香港聯合交易所有限公司證券上市規則》之認可股份登記機構。

總會的常務委員會由6位會員組成,常務委員會成員選舉於總會會員週年大會中舉行,該委員會主要負責處理總會的內部行政、籌辦各項會員活動、聯繫監管機構與證券市場業界,以及向公眾投資者提供熱線諮詢服務。

證券及期貨事務監察委員會於2001月發佈及後於2003年3月更新股份登記機構操守準則(「守則」),為股份登記機構確立有秩序的業務經營架構。該守則釐訂股份登記機構應有的商業行為及操守,違反該守則將會對有關股份登記機構產生負面影響,並且會影響其作為總會成員的地位,以及可能導致其需要接受紀律處分。