Return of Mandatory Provident Fund Related Activities

Gitd!ifiiti
15 Sep 2000
Return of Mandatory Provident Fund (MPF) Related Activities Our Ref.: G12/34/9C (00) 15 September 2000 To: The Chief Executive All authorized Institutions Dear Sir/ Madam, Retur:n. of Mandatory Provident Fund (MPF) Related Act1v1t1es Under the Memorandum of Understanding that the HKMA has entered into with the Mandatory Provident Fund Schemes Authority (MPFA), the HKMA is responsible for supervising the MPF related activities conducted by authorized institutions (Als). To facilitate the supervision of such activities, the HKMA has developed a new return to collect information on these activities. A copy of the return form together with the completion instructions are attached. The return is to be submitted on a 6-monthly basis by Als that are registered as MPF intermediaries with the MPFA. The first return covering the period from 1 April to 30 September 2000 is to be submitted by 31 October 2000. Subsequent returns are to be submitted within 21 days after the end of March and September each year. The return should be submitted through the STET (Submission Through Electronic Transmission) System by using the new template upgrade software and instructions, which would be available for downloading from our private website (www.hkfin.net) from mid-October. A copy of a formal notice made under section 63(2) of the Banking Ordinance giving effect to the return is also attached. If you have any question concerning the return, please contact Ms Brenda Tao at 28781622. Yours faithfully, D T R Carse Deputy Chief Executive

c.c. Chairman, Hong Kong Association of Banks, Chairman, DTC Association, President, Hong Kong Society of Accountants Auditors of Authorized Institutions

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Hong Kong Monetary Authority ” 短 港金融 管理局
Annex
Our Ref.:G12/34/9C (00)
15 September 2000
To: All Authorized Institutions in Hong Kong NOTICE Banking Ordinance (Cap. 155) Pursuant to section 63(2) of the Banking Ordinance, I hereby require all authorized institutions in Hong Kong that are registered as MPF intermediaries with the Mandatory Provident Fund Schemes Authority to submit to me the information specified in the Hong Kong Government Form MA(BS)13. The first return shall be submitted to me not later than 31 October 2000 covering the period from 1 April 2000 to 30 September 2000. After this, all future returns shall be submitted not later than 21 days after the end of March and September each year. D TR Carse for Monetary Authority 30th Floor 3 Garden Road Hong Kong 7% HEE 10 Ji 3% 30

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under the Banking Ordinance
根據《銀行業條例》

RETURN OF MANDATORY PROVIDENT FUND RELATED ACTIVITIES 強制性公積金業務申報表

Position of the Hong Kong offices of an authorized institution registered as an MPF intermediary with the Mandatory Provident Fund Schemes Authority 於強制性公積金計劃管理局註冊為強積金中介人的認可機構香港辦事處狀況

for the 6-month period ended _______________________________________ 在結束於 (last day of March / September 三月/ 九月 最後一天) 六個月內的狀況

Name of Authorized Institution	Date of submission
認可機構名稱	遞交日期

The Banking Ordinance
《銀行業條例》

Return required under section 63(2) of the Banking Ordinance to be submitted to the Monetary Authority not later than 21 days after the end of March and September each year, unless otherwise advised by the Monetary Authority. 除金融管理局另有指示外，根據《銀行業條例》第63(2)條規定，本申報表須於三月及九月最後一 日起計21天內交回金融管理局。

Note: This return is to be prepared in accordance with the completion instructions issued by the Monetary Authority. 註：本申報表按金融管理局發出的填報指示填寫。

We certify that this return is, to the best of our knowledge and belief, correct. 我們據我們所知及確信，證明本申報表內容正確無誤。

Chief Accountant		Chief Executive
會計主任		行政總裁

Name		Name
姓名		姓名

Name and telephone number of responsible person who may be contacted by the Monetary Authority in case of any query. 金融管理局有疑問時可聯絡的負責人姓名和電話號碼。

Name		Telephone Number
姓名		電話號碼

PART I: SELLING OF OR ADVISING CLIENTS ON MANDATORY PROVIDENT FUND (“MPF”) SCHEMES
第I部： 銷售強制性公積金（「強積金」）計劃或就計劃提供意見

1. Types of MPF schemes
   強積金計劃的種類

During the reporting period, whether your institution was engaged in the selling of or advising clients on 申報期內，機構有否銷售以下計劃或就計劃提供意見

(1) Master trust schemes?
集成信託計劃？

Yes			No		(Display “X” in the appropriate box)
有			否		(在適當空格內填上 “X”)

(2) Industry schemes?
行業計劃？

Yes			No		(Display “X” in the appropriate box)
有			否		(在適當空格內填上 “X”)

(3) Employer sponsored schemes?
僱主營辦計劃？

Yes			No		(Display “X” in the appropriate box)
有			否		(在適當空格內填上 “X”)

2. Income from the selling of or advising clients on MPF schemes
   來自銷售強積金計劃或就計劃提供意見的收入

During the reporting period, the institution’s gross income arising from the selling of		(HK$’000)
and / or advising clients on MPF schemes amounted to		(港幣千元)
申報期內，機構因銷售強積金計劃或就計劃提供意見而得的總收人

3. Number of staff who were registered as MPF intermediaries
   已註冊為強積金中介人的僱員人數

At end of the reporting period, the number of staff that were registered as MPF intermediaries 申報期完結時，已註冊為強積金中介人的僱員人數

(1)	Full-time involvement in MPF related activities
	全職辦理強積金業務
(2)	Part-time involvement in MPF related activities
	兼辦強積金業務
PART II: OTHER ROLES PLAYED BY THE INSTITUTION
第II部： 機構扮演的其他角色

1. Investment manager
   投資經理：

(1) Whether during the reporting period your institution was the investment manager of any MPF schemes? 申報期內，機構是否任何強積金計劃的投資經理？

Yes			No		(Display “X” in the appropriate box. If
是			否		the answer is no, proceed to item 2)
					(在適當空格內填上 “X” 。 如答案為否，
					請轉至第2項)

(2) Please provide particulars of such activities.
請提供有關業務詳情。

(a)	As at end of the reporting period, the number of MPF constituent funds
	that your institution was the investment manager
	在申報期完結時，機構以投資經理的身分所管理的強積金成分基金數目
		(HK$’000)
		(港幣千元)
(b)	As at end of the reporting period, the aggregate size of the MPF
	constituent funds managed by your institution
	在申報期完結時，機構所管理的強積金成分基金總額
(c)	During the reporting period, the institution’s gross income arising from
	its role as investment manager of MPF constituent funds
	申報期內，機構因作為強積金成分基金投資經理所得的總收入

2. Custodian
   保管人：

(1) Whether during the reporting period your institution was the custodian of any MPF schemes? 申報期內，機構是否任何強積金計劃的保管人？

Yes			No		(Display “X” in the appropriate box. If
是			否		the answer is no, proceed to item 3)
					(在適當空格內填上 “X” 。 如答案為否，
					請轉至第3項)

(2) Please provide particulars of such activities.
請提供有關業務詳情。

(a)	As at end of the reporting period, the number of MPF constituent funds
	that your institution was the custodian
	在申報期完結時，機構以保管人身分所保管的強積金成分基金數目
		(HK$’000)
		(港幣千元)
(b)	As at end of the reporting period, the aggregate size of the assets of MPF
	constituent funds in the custody of your institution
	在申報期完結時，機構以保管人身分所保管的強積金成分基金總額
(c)	During the reporting period, the institution’s gross income arising from
	its role as custodian of MPF constituent funds
	申報期內，機構因作為強積金成分基金保管人所得的總收入

3. Guarantor
   擔保人：

(1) Whether during the reporting period your institution was the guarantor of any constituent funds of MPF schemes? 申報期內，機構是否任何強積金成分基金的擔保人？

Yes			No		(Display “X” in the appropriate box. If
是			否		the answer is no, proceed to item 4)
					(在適當空格內填上 “X” 。 如答案為否，
					請轉至第4項)

(2) Please provide particulars of such activities.
請提供有關業務詳情。

(a)	As at end of the reporting period, the number of MPF constituent funds
	that your institution was a guarantor
	在申報期完結時，機構以擔保人身分所擔保的強積金成分基金數目
		(HK$’000)
		(港幣千元)
(b)	As at end of the reporting period, the aggregate liabilities of your
	institution in respect of such guarantees
	在申報期完結時，機構就有關擔保所承擔的總負債
(c)	During the reporting period, the institution’s gross income arising from
	its role as guarantor of MPF constituent funds
	申報期內，機構因作為強積金成分基金擔保人所得的總收入

4. Financial supporter
   財政支援：

(1) Whether during the reporting period your institution was providing continuous financial support to companies that were trustees / custodian of MPF schemes? 申報期內，機構有否向身為強積金計劃受託人／保管人的公司提供持續財政支援？

Yes			No		(Display “X” in the appropriate box. If
是			否		the answer is no, proceed to item 5)
					(在適當空格內填上 “X” 。 如答案為否，
					請轉至第5項)

(2) Please provide particulars of such activities.
請提供有關業務詳情。

(a)	The number of companies that were the beneficiaries of the financial
	supports given by the institution
	獲機構提供財政支援的公司數目
		(HK$’000)
		(港幣千元)
(b)	As at end of the reporting period, the aggregate obligation of the
	institution in respect of such financial supports
	在申報期完結時，機構就有關財政支援的總承擔額
(c)	During the reporting period, the institution’s income arising from its
	undertaking to provide continuous financial support
	申報期內，機構因承諾提供持續財政支援所得的收入

5. Other roles
   其他角色

Please specify any other roles played by your institution in connection with any MPF schemes. 請註明機構就任何強積金計劃所扮演的任何其他角色。

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Completion Instructions

Return of Mandatory Provident Fund Related Activities (Form MA(BS)13)

Introduction

1. This return collects information on mandatory provident fund related activities conducted by authorized institutions in Hong Kong.

Section A: General Instructions

2. This return is to be submitted by all authorized institutions that are registered as MPF intermediaries with the Mandatory Provident Fund Schemes Authority.

3. Unless otherwise specified by the Monetary Authority, institutions should submit this return on a 6-monthly basis not later than 21 days after the end of March and September each year. If the submission deadline falls on a public holiday, it will be deferred to the next working day.

4. Amounts should be shown to the nearest thousands, in HK$ or HK$ equivalent in the case of foreign currency items. The closing middle market T/T rates prevailing at the reporting date should be used for conversion purpose.

Section B: Definitions and clarification

5. Master trust scheme means an MPF scheme other than an industry scheme, membership of which is open to the relevant employees of more than one employer, to self-employed persons, and to persons who wish to transfer their accrued benefits in another MPF scheme to the master trust scheme.

6. Industry scheme means a provident fund scheme established for persons engaged in a particular industry or class of industries and registered under section 21A of the MPF Schemes Ordinance:

7. Employer sponsored scheme means an MPF scheme, membership of which is open only to the relevant employees of an employer or its associated companies.

8. Continuous financial support means the undertaking given by an institution pursuant to section 12 or section 68 of the MPF Schemes (General) Regulation.

9. This return captures information on the activities conducted by the reporting institution’s offices in Hong Kong. Any such activities that were conducted by the reporting institution’s overseas offices or group companies should not be included in reporting.

Section C: Specific Instructions

10. Part I, Item 2 – Income from the selling of or advising clients on MPF schemes

Report the institution’s gross income during the reporting period. This includes income attributable to the selling efforts of the previous periods but which was not taken to the profit and loss account until the current reporting period. Income attributable to the institution’s role as promoter and/or distributor of the MPF schemes should also be reported here.

11. Part II, Items 1(2)(b) & 2(2)(b) – Size of MPF constituent funds

Report the size of the MPF constituent funds by using the market value of the assets as at end of the reporting period.