Chapter:
32I
Companies (Disqualification Orders) Regulation
Gazette Number Version Date
Empowering section
E.R. 1 of 2017
15/02/2017
(Cap 32, section 168R)
(Enacting provision omitted—E.R. 1 of 2014)
[15 July 1994]
(Originally L.N. 422 of 1994)
(*Format changes—E.R. 1 of 2017)
_____________________________________________________________________
Note:
* The format of the Regulation has been updated to the current legislative styles.
Section:
1
Interpretation
E.R. 1 of 2017
15/02/2017
In this Regulationgrant of leave (批給許可) means a grant by the court of leave referred to in section 168Q of the Ordinance to any
person in relation to a disqualification order.
(46 of 2000 s. 40)
(Enacted 1994)
Section:
2
Application
E.R. 1 of 2017
15/02/2017
This Regulation applies in relation to a disqualification order made after the coming into operation of this Regulation
and to a grant of leave, or any action taken by a court in consequence of which a disqualification order is varied or
ceases to be in force, made or taken after that date, in relation to a disqualification order made before, on or after that
date.
(Enacted 1994)
Section:
(1)
(2)
3
Officers of court to furnish particulars to Registrar
E.R. 1 of 2017
15/02/2017
The following officers of the court shall furnish to the Registrar the particulars specified in section 4(1)(a) and
(b) in the form and manner there specified(a) where a disqualification order or grant of leave is made by the Court of First Instance, the Chief Judicial
Clerk; (25 of 1998 s. 2)
(aa) where a disqualification order is made by the Tribunal within the meaning of section 2 of the repealed
Ordinance (within the meaning of section 168R(5) of the Ordinance) or the Market Misconduct Tribunal
within the meaning of section 1 of Part 1 of Schedule 1 to the Securities and Futures Ordinance (Cap 571),
the clerk to the Tribunal concerned, except that, where there is no clerk to the first-mentioned Tribunal, then
the clerk to the second-mentioned Tribunal; (5 of 2002 s. 407)
(ab) if a disqualification order is made by the Competition Tribunal established by section 134 of the
Competition Ordinance (Cap 619), the Registrar of the Tribunal; (14 of 2012 s. 176 and E.R. 1 of 2013)
(b) where a disqualification order is made by the District Court, the Registrar of the District Court;
(c) where a disqualification order is made by a magistrate, the First Clerk.
Where a disqualification order is made by any of the courts mentioned in subsection (1) and subsequently any
action is taken by a court in consequence of which that order is varied or ceases to be in force the officer of the
first-mentioned court specified in subsection (1) shall furnish to the Registrar the particulars specified in section
4(1)(c) in the form and manner there specified.
(Enacted 1994)
Cap 32I - Companies (Disqualification Orders) Regulation
1
Section:
(1)
(2)
4
Particulars to be furnished by officers of court
E.R. 1 of 2017
15/02/2017
The form in which the particulars are to be furnished is(a) that set out in Schedule 1 with such variations as circumstances require and the particulars contained therein
are the particulars specified for that purpose;
(b) that set out in Schedule 2 with such variations as circumstances require when a grant of leave is made by
the court, and the particulars contained therein are the particulars specified for that purpose;
(c) that set out in Schedule 3 with such variations as circumstances require when any action is taken by a court
in consequence of which a disqualification order is varied or ceases to be in force, and the particulars
contained therein are the particulars specified for that purpose.
A prescribed officer of the court is to furnish the Registrar with the said particulars as soon as practically
possible.
(Enacted 1994)
Schedule:
1
E.R. 1 of 2017
15/02/2017
[section 4(1)(a)]
FORM D.O. 1
COMPANIES (WINDING UP AND MISCELLANEOUS PROVISIONS) ORDINANCE
(Cap 32)
Particulars of a disqualification order
Pursuant to section 168R
To the Registrar of Companies
I furnish the following particulars of a disqualification order made against a person as required by the Companies
(Disqualification Orders) Regulation(1)
Section of the Companies Ordinance ( “ CO ” ), the repealed Securities (Insider Dealing) Ordinance
(“SIDO”), the Securities and Futures Ordinance (“SFO”) or the Competition Ordinance (“ComO”)
under which the order was made+—
Section 168E of CO
Section 168F of CO
Section 168G of CO
Section 168H of CO
Section 168J of CO
Section 168L of CO
Section 23(1)(a) of SIDO
Section 24(1) of SIDO
Section 214(2)(d ) of SFO
Section 257(1)(a) of SFO
Section 258(1) of SFO
Section 303(2)(a) of SFO
Section 307N(1)(a) of SFO
Section 101 of ComO
(2)
Particulars of the person against whom the order was made-
Cap 32I - Companies (Disqualification Orders) Regulation
2
(a) if an individual
Fo *)
re
n (
a
m
e
(
N
ot
e
2
)
Su *
r
n (
a
m
e
(
N
ot
e
3
)
)
Us
u
al
re
si
d
e
nt
ia
l
a
d
d
re
ss
at
th
e
d
at
e
o
f
th
e
Cap 32I - Companies (Disqualification Orders) Regulation
3
o
r
d
er
(
N
ot
e
4
)
Ho
n
g
K
o
n
g
i
d
e
n
t
i
t
y
c
a
r
d
N
o
.
,
i
f
a
n
y
(
N
o
t
e
5
)
Nu
Cap 32I - Companies (Disqualification Orders) Regulation
4
mbe
r
and
issu
ing
cou
ntry
o
f
any
pass
port
(No
te 6)
(b) if a body corporate
Corporate name
Registered No.
Address of registered
or principal office
in Hong Kong at the
date of the order
(3)
Date on which the order was made-
Day
(4)
Month
Year
Period of disqualification specified in the order-
Signed
Name
Date
Position
Court++
+ Please tick appropriate box
* Note 1
++ Please state full name
Notes 1. In the case of a Chinese individual, the Chinese characters for any forename or surname, if they are used
by such individual, must be included.
2. "Forename" includes a Christian or given name.
3. "Surname" in the case of a person usually known by a title different from his surname, means that title.
Cap 32I - Companies (Disqualification Orders) Regulation
5
4. Usual residential address must be given. "Residential address" does not include an address at a hotel
unless the person to whom it relates is stated to have no other permanent address nor does it include a post
office box number unless coupled with a residential address.
5. "Identity card" means an identity card issued under the Registration of Persons Ordinance (Cap 177). If
none, please state "None".
6. If the Hong Kong identity card number of the person has been given, there is no need to give this
information.
(46 of 2000 s. 40; 5 of 2002 s. 407; 14 of 2012 s. 176; 28 of 2012 ss. 912 & 920; 14 of 2016 s. 174)
(Enacted 1994)
Schedule:
2
E.R. 1 of 2017
15/02/2017
[section 4(1)(b)]
FORM D.O. 2
COMPANIES (WINDING UP AND MISCELLANEOUS PROVISIONS) ORDINANCE
(Cap 32)
Particulars of the grant of leave in relation to a disqualification order
Pursuant to section 168R
To the Registrar of Companies
I furnish the following particulars of the grant of leave in relation to a disqualification order as required by the
Companies (Disqualification Orders) Regulation(1)
Date of disqualification order in relation to which leave was granted-
Day
Month
Year
(2)
Court which made the disqualification order in relation to which leave was granted-
(3)
Particulars of the person to whom leave was granted(a) if an individual
Fo *)
r
e (
n
a
m
e
(
N
o
Cap 32I - Companies (Disqualification Orders) Regulation
6
te
2
)
Su *
r
n (
a
m
e
(
N
o
te
3
)
)
H
o
n
g
K
o
n
g
i
d
e
n
t
i
t
y
c
a
r
d
N
o
.
,
i
f
a
n
y
(
N
o
t
e
Cap 32I - Companies (Disqualification Orders) Regulation
7
4
)
N
um
ber
and
issu
ing
cou
ntry
o
f
any
pass
port
(No
te
5)
(b) if a body corporate
Corporate name
Registered No.
(4)
If the name in which the disqualification order was made was different from that at item (3), the name in which
that order was made(a) if an individual
Fo *)
r
e (
n
a
m
e
(
N
o
te
2
)
Su *
r
n (
Cap 32I - Companies (Disqualification Orders) Regulation
)
8
a
m
e
(
N
o
te
3
)
H
o
n
g
K
o
n
g
i
d
e
n
t
i
t
y
c
a
r
d
N
o
.
,
i
f
a
n
y
(
N
o
t
e
4
)
N
um
ber
Cap 32I - Companies (Disqualification Orders) Regulation
9
and
issu
ing
cou
ntry
o
f
any
pass
port
(No
te
5)
(b) if a body corporate
Corporate name
Registered No.
(5)
Name of company in respect of which leave was granted, or in the case of leave to promote or form a company,
the proposed name of the company where it is available, or if not, a brief description of the activities of the
company-
(6) Date on which leave was grantedDay
(7)
Month
Year
Activity for which leave was granted+-
Promotion
Formation
Directorship or other participation in management
Liquidation
Receivership or management of the property of the company
Signed
Name
Date
Position
Court++
*
+
Note 1
Please tick appropriate box(es)
Cap 32I - Companies (Disqualification Orders) Regulation
10
++ Please state full name
Notes 1. In the case of a Chinese individual, the Chinese characters for any forename or surname, if they are used
by such individual, must be included.
2. "Forename" includes a Christian or given name.
3. "Surname" in the case of a person usually known by a title different from his surname, means that title.
4. "Identity card" means an identity card issued under the Registration of Persons Ordinance (Cap 177). If
none, please state "None".
5. If the Hong Kong identity card number of the person has been given, there is no need to give this
information.
(28 of 2012 ss. 912 & 920)
(Enacted 1994)
Schedule:
3
E.R. 1 of 2017
15/02/2017
[section 4(1)(c)]
FORM D.O. 3
COMPANIES (WINDING UP AND MISCELLANEOUS PROVISIONS) ORDINANCE
(Cap 32)
Particulars of the variation or cessation
of a disqualification order
Pursuant to section 168R
To the Registrar of Companies
I furnish the following particulars of the action taken by a court whereby a disqualification order made by this court
under the Companies (Winding Up and Miscellaneous Provisions) Ordinance, the repealed Securities (Insider
Dealing) Ordinance (Cap 395), the Securities and Futures Ordinance (Cap 571) or the Competition Ordinance (Cap
619) was varied or ceased to be in force- (14 of 2012 s. 176 and E.R. 1 of 2013)
(1)
Date on which the disqualification order was made by this court-
Day
(2)
Month
Year
Particulars of the person against whom the disqualification order was made(a) if an individual
Fo *)
r
e (
n
a
m
e
(
N
o
Cap 32I - Companies (Disqualification Orders) Regulation
11
te
2
)
Su *
r
n (
a
m
e
(
N
o
te
3
)
)
H
o
n
g
K
o
n
g
i
d
e
n
t
i
t
y
c
a
r
d
N
o
.
,
i
f
a
n
y
(
N
o
t
e
Cap 32I - Companies (Disqualification Orders) Regulation
12
4
)
N
um
ber
and
issu
ing
cou
ntry
o
f
any
pass
port
(No
te
5)
(b) if a body corporate
Corporate name
Registered No.
(3)
Name of court by which action was taken whereby the disqualification order was varied or ceased to be in force-
(4)
Result of such action+-
(a)
order ceased to be in force
(b)
order varied
if (b), state period of disqualification now specified in the order (to run from the date on which the order was
originally made)
(5)
Date on which the new order was made-
Day
Month
Signed
Cap 32I - Companies (Disqualification Orders) Regulation
Year
Date
13
Name
Position
Court++
* Note 1
+ Please tick appropriate box
++ Please state full name
Notes 1.
2.
3.
4.
5.
In the case of a Chinese individual, the Chinese characters for any forename or surname, if they are used
by such individual, must be included.
"Forename" includes a Christian or given name.
"Surname" in the case of a person usually known by a title different from his surname, means that title.
"Identity card" means an identity card issued under the Registration of Persons Ordinance (Cap 177). If
none, please state "None".
If the Hong Kong identity card number of the person has been given, there is no need to give this
information.
(46 of 2000 s. 40; 5 of 2002 s. 407; 28 of 2012 ss. 912 & 920)
(Enacted 1994)
Cap 32I - Companies (Disqualification Orders) Regulation
14