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青海省科学技术奖励办法

作者:法律资料网 时间:2024-07-07 09:11:08  浏览:8416   来源:法律资料网
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青海省科学技术奖励办法

青海省人民政府


青海省科学技术奖励办法
青海省人民政府
青海省人民政府令第18号


(2001年1月4日青海省政府第21次常务会议审议通过)

第一章 总则
第一条 为奖励在我省经济建设和科学技术进步活动中做出贡献的公民、组织,调动科技工作者的积极性和创造性,加速青海科技事业进步,促进经济建设和社会发展,依据《国家科学技术奖励条例》和有关规定,制定本办法。
第二条 青海省人民政府设立青海省科学技术奖(以下简称省科技奖),实行分类奖励。省政府所属部门不再设立科学技术奖。
各州(地、市)人民政府可根据当地科学技术进步和社会经济发展的状况,设立一项科学技术奖。具体办法由州(地、市)人民政府制定,报省人民政府科技行政部门(以下简称省科技行政部门)备案。
第三条 省科技奖的奖励经费在省政府奖励基金中专项列支;各州(地、市)人民政府设立的科学技术奖的奖励经费在同级财政预算中列支。
第四条 省科技行政部门负责省科技奖评审的组织工作。
第五条 青海省人民政府设立青海省科学技术奖励委员会(以下简称省科技奖励委员会)。其组成人员人选由省科技行政部门提出,报省政府批准。
省科技奖励委员会聘请有关专家、学者组成评审委员会,具体承担省科技奖的评审。必要时,评审委员会可以设若干评审小组。
第六条 省科技奖的申报、推荐、评审和授予,不受任何组织或个人的非法干涉。
第七条 省科学技术奖励必须贯彻尊重知识、尊重人才和科学技术面向经济建设与社会发展的方针;必须遵循公开、公平、公正的评审规则。
第八条 省科技奖实行异议制度,征求社会公众意见,接受社会公众的监督。
第九条 鼓励社会力量面向社会设立科学技术奖。社会力量面向社会设立科学技术奖的具体办法另行制定。

第二章 省科技奖的设置
第十条 省科技奖授予在科学发现、科技发明、科技合作、科技创新、科技成果应用、推广等方面做出突出贡献的公民、组织。共分三类:
(一)重大贡献类;
(二)科学技术进步类;
(三)国际科学技术合作类。
第十一条 重大贡献类奖授予在科技创新、科技成果转化和高新技术产业化中,创造巨大经济效益、社会效益或生态效益的科技工作者。
第十二条 科学技术进步类奖授予下列科技工作者或组织:
(一)实施技术开发项目,完成重大科技创新、科技成果转化,创造显著经济效益的。
(二)推广、转让、应用已有的科技成果,做出创造性贡献、取得显著经济效益或者社会效益的。
(三)实施重大工程项目,保障工程达到国内领先水平的。
(四)实施社会公益项目,长期从事社会公益性科技事业和科技基础性工作,经实践检验,创造显著社会效益的。
(五)在基础研究和应用基础研究中做出重大科学发现或应用科学基本原理取得创造性研究成果的。
(六)运用科学知识做出产品、工艺、材料及其系统等重大技术发明的。
前款第(三)项重大工程项目的省科技奖仅授予组织。
第十三条 国际科学技术合作类奖授予对青海省科技事业做出贡献的外国人和外国组织:
(一)同在青的中国公民或者组织进行合作研究、开发,取得重大科技成果的。
(二)向在青的中国公民或者组织传授先进技术、培养人才,成效特别显著的。
(三)促进青海省与外国的科技交流与合作,做出重要贡献的。
第十四条 省科技奖(国际科学技术合作类奖除外)所授予的公民、组织,是指在青的公民、组织,或同在青公民或组织合作的其他地区的公民、组织,以及完成省人民政府发布的我省所需的科技项目的其他地区的公民、组织。
第十五条 省科技奖重大贡献类奖、国际科学技术合作类奖不设等级;科学技术进步类奖设一等奖、二等奖、三等奖三个等级。
省科技奖科学技术进步类奖每年奖励项目总数不超过15项;重大贡献类奖可根据实际,由省科技奖励委员会提出评审意见,报省政府批准后评审,但每次不超过5人;国际科学技术合作类奖每年奖励项目总数不超过3项。
第十六条 推荐申报国家科学技术奖,由省科技行政部门按《国家科学技术奖励条例》第十五条的规定办理。

第三章 省科技奖的评审和授予
第十七条 省科技奖每年评审一次。
第十八条 推荐省科学技术奖候选人或请奖项目的单位、个人为:
(一)州(地、市)人民政府,行政公署;
(二)省政府各组成部门、直属机构;
(三)省内各高等院校、省属科研机构,中央驻青科研机构;
(四)经省科技行政部门认定符合有关资格条件规定的其他单位或专家、学者。
符合请奖条件的单位、个人可直接向省科技行政部门申请。
第十九条 推荐或请奖的单位、个人应填写统一格式的推荐书或申报书,并提供真实可靠的评价证明材料。
第二十条 省科技奖评审委员会评审后,向省科技奖励委员会提出获奖类别、项目、人员、等级的建议。
省科技奖励委员会根据评审委员会的建议,作出获奖类别、项目、人员、等级的决议,报省政府批准。
第二十一条 省科技奖重大贡献类奖和科学技术进步类奖由省政府颁发证书和奖金;国际科学技术合作类奖由省政府颁发证书。
第二十二条 省科技奖的奖金标准为:重大贡献类奖按照创造经济效益、社会效益或生态效益的大小,奖励10—30万元/人;科学技术进步类奖一等奖5万元,二等奖2万元,三等奖1万元。
创造经济效益、社会效益或生态效益特别巨大的项目,奖金数额不受本办法规定的标准限制,由省人民政府根据实际决定。
第二十三条 获奖项目的奖金不得重复发放。
科技奖奖金免缴个人所得税。

第四章 罚则
第二十四条 剽窃、侵吞他人的发现、发明或其他科技成果,或以其他不正当手段骗取省科技奖的,由省科技行政部门报省政府批准后,撤销奖励、追回奖金。
第二十五条 推荐单位或个人提供虚假数据、材料和证明,协助他人骗取省科技奖的,由省科技行政部门通报批评;情节严重的,暂停或取消其推荐资格;对负有直接责任的主管人员和其他直接责任人员,依法给予行政处分。
第二十六条 参与省科技奖评审活动的有关工作人员在评审活动中弄虚作假、徇私舞弊的,依法给予行政处分。

第五章 附则
第二十七条 本办法第十二条第(五)项所称重大科学发现或创造性研究成果,应具备下列条件:
(一)前人尚未发现或尚未阐明;
(二)具有重大科学或实用价值;
(三)得到国内外自然科学界公认。
第二十八条 本办法第十二条第(六)项所称重大技术发明,应当具备下列条件:
(一)前人尚未发明或者尚未公开;
(二)具有先进性和创造性;
(三)经实施,创造显著经济效益、社会效益或生态效益。
第二十九条 省科技奖的评审标准和规则由省科技行政部门另行制定。
第三十条 本办法自发布之日起实施,《青海省科技进步奖励条例》(青政〔1985〕102号)同时废止。


2001年1月19日
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车辆段修车作业计划实施办法

铁道部


车辆段修车作业计划实施办法
铁道部

第一章 总 则
第1条 为贯彻《工业七十条》,加强车辆段以质量为中心的生产管理,加强生产责任制,充分利用固定资产,合理运用流动资金,更好地组织车辆段修车工作,建立正常的生产秩序,组织均衡生产,以提高修车质量,缩短修车时间,提高劳动效率,降低修车成本,全面完成车辆检修
任务,保证铁路运输安全,特制定车辆段修车作业计划实施办法。
第2条 实现修车作业计划,要加强生产调度工作,成立备品库,同时要设质量检查员。

第二章 作业计划
第3条 车辆段修车作业计划,系根据铁路局下达的生产财务计划与各项经济技术指标的要求,结合各段人员、设备、工具材料等实际情况全面安排编制。编制时一定要从实际出发,经过综合平衡。在执行计划过程中,要充分发挥生产调度的组织指挥、督促、检查作用,保证生产均衡
、有节奏地进行。
第4条 车辆段修车作业计划一般分为段、车间及班组三级。
从时间上划分为月、旬(周)及日计划三种。为使计划先进可靠,必须掌握以下资料:
一、生产财务计划中所规定的数量、车种、修程及品种(包括加装改造部分);
二、各项修程检修指标与实际统计分析资料(包括技术作业过程与单项作业过程时间);
三、生产劳动组织及各项生产指标;
四、车辆技术状态(客车按车统—110)及配件修换率,材料室、备品库的原材料与配件贮备情况,修配车间修制能力等;
五、技术组织措施项目、工艺规程、先进工作方法的推行以及提高生产效率的有利因素等;
六、积存下来的检修残车情况;
七、机械设备能力及检修计划情况。
第5条 编制修车作业计划必须遵循以下原则:
一、班组计划保证车间计划的完成,车间计划必须保证段计划的完成;
二、日计划必须保证旬(周)计划的完成,旬(周)计划必须保证月计划的完成;
三、必须贯彻统一计划,互相协调,紧密衔接,上一工序必须保证下一工序的要求,材料配件的供应必须满足生产车间的要求,加修车间必须保证使用单位的要求;
四、编制计划应上下结合,切合实际,保证完成日、旬(周)、月计划,并应安排好次日、次旬(周)、次月计划的准备,以保证生产的连续性和均衡性;
五、编制与执行修车作业计划时,必须保证完成规定的任务、质量、技术指标和车型的要求。
第6条 各级作业计划的编制与下达程序:
一、车辆段月计划于上月末前3天由生产调度制定,送交段长审查批准,月末前两天逐级下达到车间、班组(辆作一);
二、生产调度根据月计划编制动态表(辆作二),月末前两天下达车间;
三、车间根据检修进度动态要求,由车间调度负责编制修车日计划表,经车间主任批准后,下达各班组执行;
四、班组长根据车间日计划与时间进度的要求,在开工前布置到班组贯彻执行。
第7条 车辆检修进度动态表的编制与掌握:
一、车辆检修进度动态表的编制由生产调度负责,根据月度任务、修车时间、工作日数按工序项目进行编排,以便于按工序掌握生产进度。
二、动态表中应标明各工序保有量。为保证检修工作均衡进展,每日应保持一定数量的在段检修车,其计算公式为:
当月计划 修 车
每日检修车辆数 出车数 ×时间(日)
(包括未入线车)=----------
当月实有工作日数
当月计划 (修车 其他工
检修车各道 出车数 × 时间-序时间)
工序保有辆数=-------------
当月实有工作日数
三、在每个工序保有量算出后,确定各班组工序
完成辆数,并制定每日出车辆数,其计算公式:
月度任务量
每日平均交车辆数=-------
月实际工作日数



四、车辆检修进度动态表,须按客货车分别进行编制。

第三章 作业制度
第8条 为使车间班组密切配合,保证作业计划的实现,建立正常秩序,加强责任制,各级干部除深入现场实际检查外,并应建立与健全以下制度:
一、段生产会议制度:
1、旬(周)分析会议:每旬初(或星期一)由段长主持,副段长、总工程师及有关股室、车间主任参加,重点检查分析前一旬(周)生产计划指标完成情况及安全、质量情况,布置本旬(周)重点工作;
2、月计划总结会议:每月初由段长主持,副段长、总工程师及各股室车间主任及有关人员参加,总结分析上月任务指标完成情况及安全、质量情况,布置当月计划;
3、质量分析与段验联席会议:每月末召开一次,由总工程师(或技术主任)主持,副段长,技术、修车、修配主任,驻段验收员,质量检查员和有关技术专职人员参加。分析车辆与配件检修质量情况,并听取驻段验收员对段检修质量的意见,研究进一步提高检修质量工作。会议决议
事项应书面报车辆处与驻局验收室各一份备查;
4、配件生产会议:每月不少于两次,由检修副段长或段生产调度主持,材料主任,备品库负责人,修车、修配车间生产调度参加。会议主要内容是检查配件生产制作加修及现车定货供应情况。
二、车间生产会议制度:
1、日计划下达会:在开工前,由车间主任主持车间生产调度员、检查员及直接工组长参加,下达当日计划,提出当日生产关键与突破关键实现计划的措施;
2、工间会:由车间主任主持(参加人员同日计划下达会),研究分析当日检修车完成情况,并解决生产中的薄弱环节。
三、班组生产会议:
1、日计划传达会:开工前,由班组长传达日计划,并按任务适当安排工作;
2、完工会:于完工后,由班组长主持,检查分析当日计划完成情况,安全与质量情况,记录劳动竞赛评比资料。
第9条 车辆检修作业程序:
一、预检:客车应根据车统一110在入线检修前,由预检员或指定人员负责,将检修车辆进行技术状态检查,货车在入线定位前,由预检员负责核对定检修程,施行外观检查,对不良处所划上标记,确定修程范围与施修方法,并将主要故障详细填入车辆检修记录单(车统22),根
据工作量提出台位摆放意见。
二、会检:车辆开工前,由副段长或总工程师主持,修车主任、检修工程师、段生产调度、修车和修配车间生产调度(客车包括车电车间的生产调度)、质量检查员及验收员直接班组长参加,确定开工辆数,复查预检员施修标记,补充与修改车辆检修记录单。
三、计划下达。
四、分解检查:车辆分解后,由质量检查员对会检不能发现的零部件进行检查,如有需要换修者应涂打标记或标字,确定修理方法,补填检修记录单(或由班组长填写)。


五、重大配件鉴定:重大配件的报废,由总工程师(或技术主任)定期组织有关人员共同鉴定,鉴定结果做成记录,交技术室保留。
六、检修车辆修竣,验收员在车辆验收记录单(车统一33)上签字后,由质量检查员填发车辆修竣通知书(车统一36)。

第四章 调度工作
第10条 计划编制和下达完毕后,只是作业计划工作的开始,更重要的是如何贯彻执行。为此,车辆段应建立以段长为领导的修车作业生产指挥系统,加强生产调度工作。
车辆段生产调度分段与车间两级调度,段生产调度在段长领导下,车间生产调度由车间主任领导,接受段生产调度的指导组织、指挥生产工作,并及时向领导汇报计划完成情况。
第11条 生产调度工作的职责是:保证按质量标准、按品种数量,均衡地完成任务。调度工作,首先是根据生产工艺规程、技术条件、按照作业计划的进度组织均衡出车,在生产过程中不间断的检查计划完成情况,有系统的按照工序进度来检查各车间班组在生产上彼此衔接的情况,
在此基础上及时的预见薄弱环节,采取措施,保证按日、旬(周)、月全面均衡地完成和超额完成计划。
其职责的具体内容:
一、调度负责人:
1、掌握全段生产动态分析,提前做好生产准备;
2、掌握安全质量情况及分析主要技术指标完成情况;
3、组织配件生产会议;
4、按时提出有关生产总结报告;
5、根据批准的外委车辆检修计划,安排检修进度及根据入厂合同完成送车计划;
6、了解厂修车情况,对工厂修完的客车及时督促取回,处理返厂车;
7、有权采取措施向车间下达生产命令(做成记录,事后向段长汇报),保证完成生产计划。
二、段生产调度:
1、根据段检修计划,编制月度车辆检修计划和检修进度动态表,并组织编制配件生产计划;
2、掌握检修车出入线、摆放位置及检修进度;
3、掌握配件生产、主要配件加修供应工作及备品贮备情况;
4、检查督促日常检修会议决议执行情况;
5、日常生产计划完成统计及技术指标情况分析并按期提报;
6、检查车间生产前准备工作及计划调整工作;
7、掌握轮对贮备情况;
8、了解主要设备检修计划。
三、车间生产调度:
1、编制车间计划;
2、生产前准备工作,检查工地、材料、工艺、图纸及工具等情况;
3、督促检查配件修制进度及供应取送情况;
4、深入班组检查工序完成日、时进度情况,认真填写作业进度,加强分析,找出薄弱环节,及时解决问题;
5、每日向车间主任汇报生产技术指标、计划完成情况,并按规定提出报告;
6、修配车间生产调度须掌握互换配件贮备及加修周转情况;
7、车电车间生产调度须掌握发电机、蓄电池、电扇及其他车电装置、配件的贮备、加修情况;
8、参加生产会议,分析生产情况;
9、车间主任不在时,车间生产调度有权代理主任指挥生产工作。

第五章 备品库
第12条 备品库的主要任务是集中力量满足修车用料需要。方法可采取成套发料或送料上车,以及办理段制品和修车所用配件的加修、请领、修旧利废、回收旧废料等手续。其供应关系如下:
一、备品贮备供应(表略)。
二、互换备品(表略)。
第13条 备品库应按备品贮备定量,实行新旧料兼管,建立同一品种规格的配件新旧收支卡片及材料调拨手续,本着先旧后新的原则发料,减少新料消耗,降低修车成本。
第14条 备品贮备范围及贮备量:供应范围原则上为钉栓与配件(其他材料仍由材料室供应),为保证生产需要备品库必须有足够的贮备量。应根据任务数的大小,查定出固定资产和流动资金定额,并作为全段固定资产和流动资金的一部分,不得有帐外料,并以占用资金多少和是否
有帐外料来考核备品库的工作。
第15条 备品库工作制度:
一、成套发料制度:按照每辆车提出的用料计划成套发料,根据段修车特点,可施行一次补发料,并要送料上车,克服班组自己跑料、找料现象,以提高修车效率;
二、收发料质量检查制:备品库对进入的材料配件、段制品须有验收合格单,加修配件须有检验标记,外购配件必须检查质量,不得收入不合格配件;
三、备品清点盘存制度:管库员对备品库保管的材料配件,必须作到料卡相符,材料卡片收发登记清、领料票转帐清,达到“日清”“月结”“季盘点”的要求;
四、资金运用分析与备品余缺显示制度:根据备品流动资金定额与各项备品贮备量,每月定期分析,加速资金周转,防止有超过资金定额与库存定量不足情况。发现备品余缺时,要以标示牌显示,及时调整补充。
第16条 互换配件及主要配件储备情况表(辆作三)的掌握方法:备品库定期核对互换配件和修配车间加修情况,填写互换配件及主要配件储备情况表,以掌握互换配件及主要配件供应情况。

第六章 检查与验收
第17条 预检员主要职责:
1、进行入线定位前检修车的外观检查,并将不良修换处所划上标记;
2、填写车辆检修记录单;
3、参加会检,负责向修车主任及有关人员介绍入线车情况和重点故障;
4、提前对当月施修客车进行预检。
第18条 质量检查员主要职责:
一、根据客货车厂、段修规程、有关细则和命令、指示检查车辆与配件的加修质量;
二、监督各项作业过程、工艺规程与有关技术要求的正确执行;
三、对车辆与配件加修质量经常进行分析,提出改进建议,并按期提出质量分析报告;
四、经常进行车辆与配件加修过程中的中间检查,有权拒绝不合格车辆出线及不合格的配件装用;
五、施行修竣车的全面检查,核对车辆技术履历簿(车统—4);
六、负责审查入段材料配件的证明文件;
七、进行车辆分解后的技术状态检查,确定施修方法,补填车辆检修记录单。
第19条 车辆检验程序如下:
一、部件竣工后,由班组长检查,于消除不良处所后,在车辆检修记录单上签字,向质量检查员交工;
二、部分及全车竣工后,质量检查员检查完了,认为合格后,于车辆验收记录单内签字,向驻段验收员办理交验(检修副段长或车间主任交验时除外);
三、验收员验收合格后,在验收记录单上签字,由质量检查员填写车统—36,办理落成出段手续;
四、经验收员检查出的不良处所,各班组长或修车主任立即组织人力予以消除,并经验收员复查签认后,方可交付运用;
五、检修副段长每周不少于两次,车间主任要每天了解交车情况,每周不少于两日亲自办理交验工作。(附件略)



1979年9月26日

SECURITIES (INSIDER DEALING) ORDINANCE ——附加英文版

Hong Kong


SECURITIES (INSIDER DEALING) ORDINANCE
 (CHAPTER 395)
 ARRANGEMENT OF SECTIONS
  
  ion
  I    PRELIMINARY
  hort title
  nterpretation
  pplication
  Connected with a corporation"
  ossession of relevant information obtained in privileged
capacity
  Dealing in securities"
  Take-over offer"
  Relevant information"
  II    INSIDER DEALING
  hen insider dealing takes place
  Certain persons not to be held insider dealers
  Trustees and personal representatives
  Exercise of right to subscribe for or acquire securities
  Duty of officers of corporation
  Insider dealing not void or voidable
  III   INSIDER DEALING TRIBUNAL
  Constitution of Tribunal Inquiries by Tribunal
  Inquiries into insider dealing
  Powers of Tribunal
  Further powers of Tribunal to obtain information
  Incriminating answers
  Offences
  Privileged information Report and orders of Tribunal
  Report of Tribunal following inquiry
  Orders etc. of Tribunal
  Order against officer of corporation
  Limitation on aggregate amount of penalties
  Witnesses' expenses
  Expenses of investigation and inquiry
  Form and proof of order of Tribunal
  Order of Tribunal may be registered in Court
  Offence
  IV    APPEALS
  Appeal to Court of Appeal
  Powers of the Court of Appeal on appeal
  Stay of execution on appeal
  V    MISCELLANEOUS
  Offences by corporation, etc.
  Limitation on commencement of proceedings
  Chief Justice may make rules
  44. (Omitted)
 Whole document:
  
  dule.
  rdinance to amend the law relating to insider dealing in 
securities;
  for connected purposes.
  eptember 1991] L. N. 269 of 1991
 PART I PRELIMINARY
  
  hort title
  Ordinance may be cited as the Securities (Insider Dealing)
Ordinance.
  nterpretation
  In this Ordinance, unless the context otherwise requires--
  ociate", in relation to a person entitled to exercise or control 
the
  cise of voting power in relation to a corporation, means--
  that person's spouse, reputed spouse, person co-habiting 
with that
  on as a spouse, that person's brother, sister, parent, 
step-parent,
  d (natural or adopted) or step-child;
  any corporation of which that person is a director;
  any person who is an employee or partner of that person;
  if that person is a corporation--
  any director of that corporation;
  any related corporation of that corporation; and
  ) any director or employee of any such related corporation; and
  if that person has with any other person an agreement or 
arrangement
  respect to the acquisition, holding or disposal of shares or 
other
  rests in that corporation or under which they undertake 
to act
  ther in exercising their voting power in relation to it, that 
other
  on;
  k or other document" includes--
  books of a banker;
  cheques, orders for the payment of money, bills of 
exchange, and
  issory notes in the possession or under the control of a banker;
  securities in the possession or under the control of a banker,
whether
  ay of pledge or otherwise;
  any document or record used in the ordinary course of business 
of a
  ;
  any record so used which is kept otherwise than in a legible form 
and
  apable of being reproduced in a legible form; and
  any accounts or deeds;
  mission" means the Securities and Futures Commission 
established by
  Securities and Futures Commission Ordinance (Cap. 24);
  pany" means a company as defined in section 2 (1) of the 
Companies
  nance (Cap. 32);
  troller", in relation to a corporation, means any person--
  in accordance with whose directions or instructions the 
directors of
  corporation or of another corporation of which it is a subsidiary 
are
  stomed to act; or
  who, either alone or with any associate, is entitled to exercise, 
or
  rol the exercise of, more than 33% of the voting power at 
general
  ings of the corporation or of another corporation of which it 
is a
  idiary, and references in this Ordinance to "control" 
shall be
  trued accordingly; "corporation" means any company or 
other body
  orate or an unincorporated body, incorporated or formed either
in Hong
  or elsewhere;
  
  ector" includes--
  any person occupying the position of director, by 
whatever name
  ed; and
  any person in accordance with whose directions or 
instructions the
  ctors of the corporation are accustomed to act;
  ument" includes any register, book, record, tape recording, any 
form
  omputer input or output, and any other document or similar
material
  ther produced mechanically, electrically, or manually, or by any
other
  s whatsoever);
  h Court" means the High Court of Justice;
  ding company" means a corporation which is a holding company 
within
  meaning of section 2 of the Companies Ordinance (Cap. 32);
  uiry" means an inquiry instituted under section 16;
  ider dealer" means a person who perpetrates any act which 
is an
  der dealing within the meaning of section 9 and also means a 
person
  is to be regarded as an insider dealer under section 16 (6);
  ider dealing" means an insider dealing within the meaning of 
section
  
  ted securities" means securities that are listed on the 
Unified
  ange at the time of any insider dealing in relation 
to those
  rities;
  icer" in relation to a corporation includes a director, 
manager or
  etary, and in relation to an unincorporated body includes every
member
  he governing body thereof; "related corporation", in relation 
to a
  oration, means--
  any corporation that is that corporation's subsidiary or 
holding
  any or a subsidiary of that corporation's holding company;
  any corporation a controller of which is also a controller of 
that
  oration; "relevant share capital" means a corporation's issued 
share
  tal of a class carrying rights to vote at general meetings 
of the
  oration;
  urities" means any shares, stocks, debentures, loan stocks, 
funds,
  s, or notes of, or issued by, any body, whether 
incorporated or
  corporated, or of any government or local government authority, 
and
  udes--
  rights, options, or interests (whether described as 
units  or
  rwise) in or in respect of any of the foregoing;
  certificates of interest or participation in, or temporary or 
interim
  ificates for, receipts for, or warrants to subscribe to or 
purchase,
  of the foregoing; or
  any instruments commonly known as securities;
  sidiary" means any corporation which is a subsidiary 
within the
  ing of section 2 of the Companies Ordinance (Cap. 32);
  bunal" has the meaning given to it in section 15;
  fied Exchange" means the stock market established under section
27 of
  Stock Exchanges Unification Ordinance (Cap. 361).
  For the purpose of the definition of "controller", where a 
person is
  tled to exercise or control the exercise of 33% or more of the 
voting
  r at general meetings of a corporation and that 
corporation is
  tled to exercise or control the exercise of any of the voting power
at
  ral meetings of another corporation ("the effective voting 
power")
  the effective voting power at general meetings of 
that other
  oration is taken as exercisable by that person.
  
  A person shall not be deemed to be a person in accordance with 
whose
  ctions or instructions the directors of a corporation are 
accustomed
  ct by reason only that the directors of the corporation act on 
advice
  n by him in a professional capacity.
  In this Ordinance securities are deemed to be listed on the 
Unified
  ange notwithstanding that dealings in such securities 
have been
  ended.
  In this Ordinance a reference to an interest in securities is 
to be
  as including an interest of any kind whatsoever in the 
securities;
  accordingly there are to be disregarded any restraints or
restrictions
  hich the exercise of any right attached to the interest 
may be
  ect.
  pplication
  Ordinance shall not have effect with respect to an insider dealing
in
  tion to the listed securities of a corporation which has taken 
place
  re the commencement of this Ordinance.
  Connected with a corporation"
  A person is connected with a corporation for the purposes of
section 9
  being an individual--
  he is a director or employee of that corporation or a 
related
  oration; or
  he is a substantial shareholder in the corporation or a 
related
  oration; or
  he occupies a position which may reasonably be expected to give 
him
  ss to relevant information concerning the corporation by virtue
of--
  any professional or business relationship existing between
himself (or
  employer or a corporation of which he is a director or a firm of
which
  s a partner) and that corporation, a related corporation or an
officer
  ubstantial shareholder in either of such corporations; or
  his being a director, employee or partner of a 
substantial
  eholder in the corporation or a related corporation; or
  he has access to relevant information in relation to the 
corporation
  irtue of his being connected (within the meaning of paragraph (a),
(b)
  c)) with another corporation, being information which relates 
to any
  saction (actual or contemplated) involving both those
corporations or
  lving one of them and the listed securities of the other or to 
the
  that such transaction is no longer contemplated; or
  he was at any time within the 6 months preceding any 
dealing in
  tion to listed securities within the meaning of section 9 a 
person
  ected with the corporation within the meaning of paragraph (a),
(b),
  or (d).
  A corporation is a person connected with a corporation 
for the
  oses of section 9 so long as any of its directors or employees 
is a
  on connected with that other corporation within the 
meaning of
  ection (1).
  In subsection (1), "substantial shareholder" in 
relation to a
  oration means a person who has an interest in the relevant 
share
  tal of that corporation which has a nominal value equal to or 
more
  10% of the nominal value of the relevant share capital of 
that
  oration.
  
  ossession of relevant information obtained in privileged
capacity
  A public officer or a member or employee (whether such 
member or
  oyee is temporary or permanent, paid or unpaid) of any body 
referred
  n subsection (2), who in his capacity as such receives 
relevant
  rmation concerning a corporation shall be deemed to be a 
person
  ected with that corporation for the purposes of section 9.
  The bodies referred to in subsection (1) are--
  the Executive Council;
  the Legislative Council;
  the Futures Exchange Company, Stock Exchange Company or any 
clearing
  e;
  any board, commission, committee or other body appointed by 
or on
  lf of the Governor or the Governor in Council under any Ordinance;
  any body corporate established or incorporated by Ordinance; and
  any body corporate specified by the Financial Secretary by 
notice
  ished in the Gazette.
  In this section--
  aring house" means a clearing house within the meaning of section
2
  of the Commodities Trading Ordinance (Cap. 250) or authorized 
under
  other Ordinance to carry on business as a clearing house in
respect of
  rities;
  ures Exchange Company" means the Exchange Company within the 
meaning
  ection 2 (1) of the Commodities Trading Ordinance (Cap. 250);
  ck Exchange Company" means the Exchange Company within the
meaning of
  ion 2 (1) of the Stock Exchanges Unification Ordinance (Cap. 361).
  In the case of a body referred to in subsection (2) which 
has no
  ers the reference in subsection (1) to a member shall be construed 
as
  ference to a member of the governing body thereof.
  Dealing in securities"
  the purposes of this Ordinance, a person deals in securities if
  ther as principal or agent) he buys, sells, exchanges or 
subscribes
  or agrees to buy, sell, exchange or subscribe for, any securities 
or
  ires or disposes of, or agrees to acquire or dispose of, the right 
to
  sell, exchange or subscribe for, any securities.
  Take-over offer"
  his Ordinance, "take-over offer for a corporation" means an offer
made
  ll the holders (or all the holders other than the person making 
the
  r and his nominees) of the shares in the corporation to acquire 
those
  es or a specified proportion of them, or to all the holders (or 
all
  holders other than the person making the offer and his nominees)
of a
  icular class of those shares to acquire the shares of that class
or a
  ified proportion of them.
  Relevant information"
  his Ordinance "relevant information" in relation to a 
corporation
  s specific information about that corporation which is not 
generally
  n to those persons who are accustomed or would be likely to deal 
in
  listed securities of that corporation but which would if 
it were
  rally known to them be likely materially to affect the price of 
those
  rities.
 PART II INSIDER DEALING
  
  hen insider dealing takes place
  Insider dealing in relation to the listed securities of a 
corporation
  s place--
  when a person connected with a corporation who is in 
possession of
  rmation which he knows is relevant information in relation to 
that
  oration deals in any listed securities of that corporation (or
in the
  ed securities of a related corporation) or counsels or 
procures
  her person to deal in such listed securities knowing or 
having
  onable cause to believe that such person would deal in them;
  when a person who is contemplating or has contemplated making
(whether
  or without another person) a take-over offer for a corporation 
and
  knows that the information that the offer is contemplated or 
is no
  er contemplated is relevant information in  relation 
to  that
  oration, deals in the listed securities of that corporation (or
in the
  ed securities of a related corporation) or counsels or 
procures
  her person to deal in those listed securities, otherwise than for 
the
  ose of such take-over;
  when relevant information in relation to a corporation is 
disclosed
  ctly or indirectly, by a person connected with that 
corporation, to
  her person and the first-mentioned person knows that the 
information
  elevant information in relation to the corporation and knows 
or has
  onable cause for believing that the other person will make use
of the
  rmation for the purpose of dealing, or counselling or 
procuring
  her to deal, in the listed securities of that corporation (or in 
the
  ed securities of a related corporation);
  when a person who is contemplating or has contemplated making
(whether
  or without another person) a take-over offer for a corporation 
and
  knows that the information that the offer is contemplated or 
is no
  er contemplated is relevant information in  relation 
to  that
  oration, discloses that information, directly or 
indirectly, to
  her person and the first-mentioned person knows or has 
reasonable
  e for believing that the other person will make use of the
information
  the purpose in dealing, or in counselling or procuring 
another to
  , in the listed securities of that corporation (or in the 
listed
  rities of a related corporation);
  when a person who has information which he knows is 
relevant
  rmation in relation to a corporation which he received 
(directly or
  rectly) from a person--
  whom he knows is connected with that corporation; and
  whom he knows or has reasonable cause to believe 
held that
  rmation by virtue of being so connected,
  s in the listed securities of that corporation (or in the 
listed
  rities of a related corporation) or counsels or procures 
another
  on to deal in those listed securities;
  when a person who has received (directly or indirectly) from a 
person
  he knows or has reasonable cause to believe is contemplating or
is no
  er contemplating a take-over offer for a corporation, 
information to
  effect and knows that such information is relevant 
information in
  tion to that corporation, deals in the listed securities 
of that
  oration (or in the listed securities of a related 
corporation) or
  sels or procures another person to deal in those listed
securities.
  
  An insider dealing in relation to the listed 
securities of a
  oration also takes place when a person who is knowingly in 
possession
  elevant information in relation to that corporation in any 
of the
  umstances described in subsection (1) --
  counsels or procures any other person to deal in the listed
securities
  hat corporation (or in the listed securities of a related
corporation)
  he knowledge or with reasonable cause to believe that, that 
person
  d deal in those listed securities outside Hong Kong on any 
stock
  ange other than the Unified Exchange; or
  discloses that relevant information to any other person 
in the
  ledge or with reasonable cause to believe that, that or some 
other
  on will make use of that information for the purpose of dealing,
or of
  selling or procuring any other person to deal, in 
the listed
  rities of that corporation (or in the listed securities of a 
related
  oration) outside Hong Kong on any stock exchange other 
than the
  ied Exchange.

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