Page

Section

Item

Relevant

LegCo Paper

8

201

Definitions : Part II

CB(1)345/96-97(02)

Approval Criteria of Trustees

9

202

Eligibility for approval as trustee

- ditto -

9

203

Eligibility requirements for body corporate incorporated in Hong Kong

- ditto -

11

204

Eligibility requirements for body corporate incorporated outside Hong Kong

- ditto -

13

205

Who is an independent director?

- ditto -

14

206

What is continuous financial support for purposes of sections 203 and 204?

- ditto -

14

207

Eligibility requirements for persons other than bodies corporate

- ditto -

14

208

Consequence of failure to provide additional information when required

- ditto -

15

209

Ground for refusal of application

- ditto -

15

210

Authority to issue certificate of approval to successful applicant

- ditto -

15

211

Authority to notify applicant if application for approval is refused

- ditto -

Page

Section

Item

Relevant

LegCo Paper

17

301

Definition: Part III

N/A

17

302

Operation of this Part

N/A

17

303

Application requirements

CB(1)345/96-97(02)

Approval Criteria for Trustees

CB(1)345/96-97(05)

Professional Indemnity Insurance

19

304

Approved trustee to accept contributions

N/A

19

305

Requirements with respect to voluntary contributions

CB(1)810/96-97(03)

Non-Mandatory Contributions

20

306

Requirements with respect to fees for transfer of accrued benefits

CB(1)537/96-97(01)

Circumstances and Fees for Portability

21

307

No fees to be charged

CB(1)852/96-97(01)

Small Balance Accounts

21

308

Scheme may consist of a single fund or of separate funds

CB(1)401/96-97(04)

Investment Management

21

309

Application to include statement of investment policy

CB(1)401/96-97(04)

Investment Management

22

310

Requirements with respect to appointment of investment managers of scheme funds

CB(1)401/96-97(04)

Investment Management

22

311

Requirements with respect to investment of scheme funds

CB(1)401/96-97(02)

Investment Restrictions and Guidelines

22

312

Offence to breach undertaking

N/A

Page

Section

Item

Relevant

LegCo Paper

23

401

Approved trustee to exercise appropriate care, skill, diligence and prudence with respect to scheme investments

CB(1)345/96-97(03)

Duties of Trustees

23

402

Duty to appoint investment manager

CB(1)401/96-97(04)

Investment Management

25

403

Delegation of investment management functions

CB(1)401/96-97(04) Investment Management

25

404

Independence of investment manager

CB(1)401/96-97(04) Investment Management

26

405

Investment management contracts

CB(1)401/96-97(04) Investment Management

27

406

Approved trustee to prepare statement of investment policy

CB(1)401/96-97(04) Investment Management

28

407

Duties of approved trustee with respect to investment of scheme funds

CB(1)401/96-97(04) Investment Management

29

408

Approved trustee to ensure that investment standards are complied with

CB(1)345/96-97(03)

Duties of Trustees

29

409

Approved trustee to ensure that there is custodian of scheme assets

CB(1)345/96-97(03)

Duties of Trustees

30

410

Restrictions on entering into repurchase agreements

CB(1)401/96-97(02) Investment Restrictions and Guidelines

31

411

Restrictions on lending of scheme securities

CB(1)401/96-97(02) Investment Restrictions and Guidelines

32

412

Duty of approved trustee with respect to investing in futures contracts and options contracts

CB(1)401/96-97(02) Investment Restrictions and Guidelines

32

413

Approved trustee to provide scheme members with annual benefit statements

CB(1)810/96-97(01)

Mandatory Contributions

CB(1)1160/96-97(02)

Report on Outstanding Scheme Operational Issues

34

414

Approved trustee to designate person to assist participating employers and scheme members

CB(1)810/96-97(01)

Mandatory Contributions

35

415

Duty of approved trustee to inform participating employers and scheme members of changes of business particulars

N/A

35

416

Duty of approved trustee to inform participants of requirements relating to scheme

N/A

35

417

Offences against Part IV

N/A

Page

Section

Item

Relevant

LegCo Paper

68

901

Definitions: Part IX

N/A

69

902

Relevant income of self-employed person

CB(1)537/96-97(03) Self-employed Persons

70

903

Calculation of relevant income in respect of person who produces evidence of relevant income

CB(1)537/96-97(03)

Self-employed Persons

71

904

Calculation of relevant income in respect of person who does not produce evidence of relevant income

CB(1)537/96-97(03)

Self-employed Persons

72

905

Adjustments in calculating relevant income

N/A

73

906

When contributions must be made

CB(1)1160/96-97(02)

Report on Outstanding Scheme Operational Issues

73

907

Approved trustee to verify that contributions of statutory minimum contributions are correct

CB(1)810/96-97(01)

Mandatory Contributions

74

908

Approved trustee’s duty to notify defaulters of failure to pay contributions

CB(1)810/96-97(02)

Default Contributions

74

909

Approved trustee to report non-payment or underpayment of statutory minimum contribution

CB(1)810/96-97(02)

Default Contributions

75

910

Approved trustee to ensure that calculations of default contributions and penalty interest are correct

CB(1)810/96-97(02)

Default Contributions

75

911

Crediting of payments

N/A

75

912

Reporting of non-payment of arrears and penalty interest

CB(1)810/96-97(02)

Default Contributions

76

913

Authority to give notice to defaulter

CB(1)810/96-97(02)

Default Contributions

77

914

Ascertainment of relevant income for following financial period of scheme

N/A

77

915

Offences under this Part

N/A

77

916

Penalty interest and financial penalty for failure to remit contributions on time

CB(1)810/96-97(02)

Default Contributions