齐齐哈尔市人民政府地方性法规草案和规章制定程序规定

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齐齐哈尔市人民政府地方性法规草案和规章制定程序规定

黑龙江省齐齐哈尔市人民政府


齐齐哈尔市人民政府地方性法规草案和规章制定程序规定
齐齐哈尔市人民政府


第一章 总 则
第一条 为使地方性法规草案和规章制定工作规范化、制度化、科学化,根据《中华人民共和国地方各级人民代表大会和地方各级人民政府组织法》和《黑龙江省人民政府规章制定程序规定》,结合本市实际情况,制定本规定。
第二条 市人民政府根据法律、行政法规和省、市人大及其常委会发布的地方性法规和有关规定起草地方性法规草案,制定规章。
第三条 地方性法规草案的名称一般称为条例、办法、细则、规定等;规章的名称一般称为规定、办法、规则、实施办法和实施细则等。
第四条 市人民政府法制办公室负责地方性法规草案和规章规定的组织、指导、督促、协调、审核工作。

第二章 规 划
第五条 市人民政府根据国务院和省的立法规划和计划以及全市改革、开放和经济建设、社会发展的需要与实际可能,编制年度地方性法规草案和规章制定规划。
第六条 市人民政府各部门根据法制建设的需要,结合业务分工和职责范围,于每年年底前向市人民政府提出下年度制定地方性法规草案、规章的具体建议,送市人民政府法制办公室。
建议内容应包括:法规草案、规章名称,制定目的,法律依据,主要内容,起草部门,发布机关,完成起草工作的时间等。
市人民政府法制办公室对政府各部门提出的具体建议进行综合研究、协调,并与市人大常委会有关部门协商,提出全市地方性法规草案和规章制定规划,报市人民政府批准。
第七条 规划下达后,市人民政府有关部门必须按规划认真组织实施。市人民政府法制办公室应当加强对规划实施工作的监督和指导。
因特殊情况需要增、减或更换当年地方性法规草案和规章制定规划题目的,起草部门必须经市人民政府法制办公室报分管市长同意;属地方性法规草案的,还须由市人民政府报市人大常委会批准。

第三章 起 草
第八条 地方性法规草案、规章的起草工作由市人民政府有关部门负责;地方性法规草案、规章涉及部门较多的,由市人民政府法制办公室组织有关部门起草。
第九条 地方性法规草案、规章起草部门应当组成起草小组或指定专人承担起草任务。
第十条 起草地方性法规草案、规章应当遵循下列原则:
(一)符合宪法、法律、法规和本省地方性法规的规定,符合党和国家的路线、方针、政策;
(二)坚持四项基本原则,为改革、开放和社会主义现代化建设服务;
(三)结合本市实际情况,实事求是;
(四)贯彻民主集中制,充分发扬民主。
第十一条 地方性法规草案、规章的内容应包括:制定目的和依据、适用范围、主管部门、具体规范、奖惩办法、解释权属、施行日期等。
第十二条 地方性法规草案、规章的内容用条文形式表述,以条为基本单位,每条可以分为款、项、目;条文较多的,可以分章。整个法规草案、规章应当结构严谨、条理清楚、用词准确、文字简明。
第十三条 起草地方性法规草案、规章应当注意与本市现行有关地方性法规、规章的衔接与协调。对同一事项作出与本市现行地方性法规、规章不相一致的规定的,应当在上报初稿时说明情况和理由。
第十四条 起草地方性法规草案、规章时,应当在本部门、本系统组织讨论,广泛征求意见。必要时,还应当召开专门会议,听取有关专家、学者、实际工作人员以及行政管理相对人的意见。
地方性法规草案、规章内容涉及其他部门业务和职责的,起草部门应主动进行协调,力求意见一致。经充分协调仍有分歧意见的,应在上报初稿时说明情况。
凡应由起草部门进行协调而未作协调的法规草案和规章初稿,不得上报市人民政府。
第十五条 地方性法规草案、规章初稿拟定后,起草部门应当写出起草说明。说明的内容应包括:制定目的、法律依据、起草经过、协调情况、对主要条款的解释以及其他需要说明的问题等。

第四章 审定与发布
第十六条 地方性法规草案、规章初稿定稿后,须经起草部门主要负责人签字并请有关部门会签后,以正式文件形式报送市人民政府法制办公室。
第十七条 报送地方性法规草案、规章初稿应包括下列文件、资料:
(一)起草部门关于送审地方性法规草案、规章初稿的报告;
(二)法规草案(一式二十份)、规章初稿(一式十五份);
(三)起草说明、所依据的文件及有关资料;
(四)拟废止或修改的现行地方性法规、规章文本。
第十八条 市人民政府法制办公室负责地方性法规草案和规章的具体审核、协调工作。
对经有关部门协调仍有较大分歧的,由市人民政府法制办公室进行协调;涉及面较大的,由市人民政府分管秘书长或分管市长协调。
第十九条 对地方性法规草案和规章审核、协调的重点是:
(一)地方性法规、规章制定的必要性;
(二)是否与宪法、法律、行政法规和本省地方性法规、规章相一致,是否符合党和国家的路线、方针、政策;
(三)内容是否切合本市实际,具有可行性;
(四)涉及有关部门业务和职责的,是否进行了协调、会签;
(五)文字表述及结构是否符合规范性文件的要求。
第二十条 市人民政府法制办公室在审核、协调地方性法规草案和规章时一般采取书面或召开协调会的形式征求意见。
有关部门和单位在收到征求意见稿后,必须认真进行研究,提出修改补充的意见和建议,由主管领导签字并加盖公章后按时限要求返回市人民政府法制办公室。
第二十一条 地方性法规草案、规章有下列情况的,由市人民政府法制办公室分别处理:
(一)因情况变化不需要制定的或应当暂缓制定的,应向起草部门说明理由;
(二)对不符合起草要求或需要作较大改动的,可以提出意见,退回起草部门重新起草或修改。
起草部门收到退稿后,应即组织有关人员认真研究,提出修改稿,由部门主要负责人签字后,按时报送市人民政府法制办公室。
第二十二条 经协调和修改后的法规草案和规章初稿,由市人民政府办公厅分管主任和市人民政府分管秘书长、市长审阅后,提交市人民政府常务会议讨论。
提请市人大常委会审议的地方性法规草案在提交市人民政府常委会议讨论前,市人民政府法制办公室应向市人大常委会有关部门通报情况。
第二十三条 市人民政府常务会议讨论地方性法规草案和规章时,由起草部门负责人到会作起草说明,市人民政府法制办公室负责人作审核情况说明。
第二十四条 地方性法规草案经市人民政府常务会议讨论通过后,由市人民政府以文件形式向市人大常委会提出审议报告,提请市人大常委会审议。
规章经市人民政府常委会议讨论通过后,由市长签署,以市人民政府令发布或者经市人民政府批准,由市人民政府主管部门负责签署,以部门首长令发布。
第二十五条 以市人民政府令发布的规章由市人民政府法制办公室监印文本;以部门首长令发布的规章,由发布部门监印文本。规章均在《齐齐哈尔市政报》上全文刊载。以市人民政府令发布的规章,应在《齐齐哈尔日报》上全文刊载。
第二十六条 规章发布后,由市人民政府法制办公室按规定向国务院和省人民政府备案。
第二十七条 规章发布后,由主管部门或规章指定的部门负责组织实施并研究、解决实施中的具体问题。

第五章 清理、修改与废止
第二十八条 规章每年清理一次,由市人民政府法制办公室负责组织。
各有关部门应当于每年一月底前向市人民政府法制办公室提出对由本部门组织实施的现行规章的清理意见。
第二十九条 对组织实施部门提出的修改或废止的规章,经市人民政府法制办公室审核后,由市人民政府决定。
需要废止的规章,由市人民政府明令废止。
修改规章的程序,参照本规定程序办理。
第三十条 对继续有效的规章,由市人民政府法制办公室按年汇编成册。

第六章 附 则
第三十一条 地方性法规、规章的组织实施部门,应当及时做好地方性法规、规章施行中的监督检查和有关问题的反馈工作,并在地方性法规、规章施行满一年时,向市人民政府提交实施情况的报告。
第三十二条 本规定由市人民政府法制办公室负责解释。
第三十三条 本规定自一九九二年九月一日起施行。
1987年齐齐哈尔市人民政府公布的《齐齐哈尔市人民政府关于地方法规制定和实施工作程序的规定》同时废止。



1992年8月22日
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温州市人民政府办公室关于印发温州市深入开展整治违法排污企业保障群众健康环保专项行动工作方案和考核办法的通知

浙江省温州市人民政府办公室


温政办〔2005〕136号

温州市人民政府办公室关于印发温州市深入开展整治违法排污企业保障群众健康环保专项行动工作方案和考核办法的通知

各县(市、区)人民政府,市各有关单位:
  《温州市深入开展整治违法排污企业保障群众健康环保专项行动工作方案》和《温州市整治违法排污企业保障群众健康环保专项行动考核办法》,已经市政府领导同意,现印发给你们,请认真贯彻执行。

  

   二○○五年八月八日

  
温州市深入开展整治违法排污企业
保障群众健康环保专项行动工作方案

  根据《国务院办公厅关于深入开展整治违法排污企业保障群众健康环保专项行动的通知》(国办发〔2005〕34号)、《浙江省人民政府办公厅关于深入开展整治违法排污企业保障群众健康环保专项行动的通知》(浙政办函〔2005〕13号)和省环保局、发展改革委、经贸委、监察厅、工商局、司法厅、安全监管局《关于印发开展整治违法排污企业保障群众健康环保专项行动工作方案和考核办法的通知》(浙环函〔2005〕181号)精神,结合我市实际,特制定本方案。
  一、专项整治行动的重点和要求
  (一)群众反映强烈、影响社会稳定的环境污染和生态破坏问题。要认真梳理群众反响强烈的饮用水源地污染、大气污染、城市噪声、生态破坏以及边界污染纠纷等问题,作为重点,着力解决。对于群众投诉后两年内仍未解决、群众反映仍然强烈的问题,要挂牌督办,制定解决方案,明确时限,落实责任,逐一解决。要将解决方案、时限以及工作进展情况向群众公布,接受群众监督,切实维护群众环境权益。各地要继续采取措施,加大饮用水源地污染整治力度,切实整改今年一季度“清洁饮水源、喝上放心水”专项执法检查中发现的有关问题,确保群众饮水安全。要加大城市噪声和大气污染整治力度,协调相关部门对各类生产、建设、生活、餐饮和娱乐行业的噪声和大气污染等问题进行集中治理,严格按照《环境噪声污染防治法》和《大气污染防治法》相关条款进行查处。
  (二)重点流域、重点区域和重点行业的环境污染整治。切实抓好三大水系特别是鳌江流域以及温瑞塘河的水污染防治工作;加快省级环境保护重点监管区和市级环境保护重点严管区的整治进度;加大电镀、化工、制革、印染、造纸、食品等6个重点污染行业的整治力度。特别要抓好今年年初全省通报的3家重点污染企业、3家限期整改企业和今年省人大常委会生态环保执法跟踪检查中指出的3个亟待整改的突出问题以及连续两年环保专项行动查处的环境违法企业的整改工作。要综合运用法律、经济、行政等手段,加大惩治力度,千方百计地提高企业的违法排污成本,坚决打击偷排、漏排、直排、稀释排放等严重违法排污行为,有效遏制企业超标排放。市环境污染整治工作领导小组将根据近两年环保专项行动的情况,重点挂牌督办一批重大环境问题。各地也要结合实际,挂牌督办本行政区域内群众反复投诉长期未能解决的环境污染、违法排污问题。
  (三)建设项目违反环境影响评价法及“三同时”制度的情况。要结合实际,开展建设项目环境管理专项执法检查,特别是违反“三同时”制度、违法审批、越权审批以及在自然保护区内违法建设等情况。要对2004年底已建成并投产(或投入试运营)建设项目的“三同时”执行情况进行一次清查,对发现的各类违法行为要依法及时进行处理。
  (四)污水处理厂和部分超标严重的纳管排污企业。对已建成运行的和在建的城市污水集中处理设施以及部分纳管企业进行一次清查。重点检查2004年环保专项行动中查处的污水处理厂的整改情况和排污情况,以及部分超标严重的纳管企业的排污情况。对管网不配套的,2005年8月底前必须制定具体方案,限期解决;对不正常运行污水处理设施导致超标排污的,依法征收超标排污费;所有污水处理厂应按要求安装自动监控设备并与环保部门联网。对超过纳管标准的排污企业要查清厂区内清污分流情况,并责令限期整改,依法进行处罚,对造成严重后果的要追究企业负责人的行政和法律责任。
  (五)固体废物污染。各地要依法推进危险废物无害化处置与管理工作。要对危险废物产生重点源进行检查,重点检查11个省危险废物重点管理单位;对从事危险废物经营活动的单位及危险废物集中处置设施进行检查;对医疗单位和医疗废物处置单位进行检查;对生活垃圾处置设施安全运行情况进行检查;对历史上遗留的危险废物进行检查。
  (六)违反环境保护法律法规的政策和规定。要对下发的各类文件及导向性政策进行一次清理,检查是否存在限制行政执法部门监督检查、承诺企业包干缴纳排污费、违规不予处罚等违反国家环保法律法规和国家产业政策、降低环保准入标准的政策措施。凡是与国家现行法律法规及产业政策不相符的,要坚决予以纠正。对拒不纠正的,由上级环境污染整治工作领导小组对其曝光,必要时将追究有关领导的责任。
  二、环保专项行动的阶段性重点
  根据国务院有关部委的统一部署,此次环保专项行动,从7月-11月,每个月都有不同的侧重点。各地要结合上述环保专项行动的重点,统筹安排,分阶段突出重点。
  (一)连片污染反弹问题整治情况检查。国家环保总局最近陆续公布了2004年100余个连片污染问题整改名单。我市的制革污染整治,小电镀、金属加工污染整治,瑞安小熔炼污染整治被列入其中。我市的其他地方也存在着一些连片污染问题。各地要结合自身产业结构特点,对连片污染反弹进行重点检查,及时严肃查处。各地要在8月20日前向市环境污染整治工作领导小组办公室提交专项检查报告。
  (二)饮用水源地保护区专项检查。各地要在一季度“清洁饮水源、喝上放心水”环保专项执法检查的基础上,进一步加大对饮用水源地保护区的环境监察和监测力度,依法及时查处各种污染饮用水源地的违法行为,确保饮用水源地的水质安全。对集中式饮用水源保护区进行一次全面检查,明确各类保护区的水质类别,掌握保护区内排放污染物的企业名单、保护区内新建项目等情况。对不应建设的项目要坚决搬迁,向一级保护区直排的企业要坚决搬迁或拆除。各地要在9月15日前向市环境污染整治工作领导小组办公室提交专项检查报告。
  (三)重点排污企业违法排污问题检查。重点查处2004年集中整治的化工、造纸等重污染行业的违法排污、不符合国家产业政策的问题。各地要借助国家产业结构调整的机会,认真清理辖区内重点行业的排污企业,摸清每个行业中的企业数、排污情况、工艺情况。对严重超标排污、整改措施不落实的,要依法从重处理。各地要在10月1日前向市环境污染整治工作领导小组办公室提交专项检查报告。
  (四)对纺织、印染企业的检查。为应对一些国家对我国纺织品设限问题,最近国务院明确要求开展对纺织、印染行业企业的专项环保执法检查,及时公布违法违规企业名单,并严肃查处。各地要结合专项行动,加大对纺织、印染企业的检查力度,于8月20日前向市环境污染整治工作领导小组办公室提交专项检查报告。
  三、切实加强措施,加强组织领导
  (一)成立领导小组,加强部门沟通协作。根据省政府办公厅浙政办函〔2005〕13号通知精神,我市各地由各级环境污染整治工作领导小组全面负责2005年环保专项行动的组织和开展。各地、各有关部门要充分协调配合,建立定期协商、联合办案制度和环境违法案件移交、移送、移办制度,共同打击环境违法行为。要及时召开工作例会,研究各阶段环境执法重点工作和整合各部门执法资源、提高行政执法整体效能的具体办法。发展改革部门要把污染防治作为结构调整的重要目标,将加大监管力度作为落实宏观调控的重要手段,积极推进清洁生产、循环经济,促进经济增长方式的根本转变;经贸部门要监督淘汰落后生产能力、工艺和产品;监察部门要依法依纪追究违反环保法律法规的政府及部门负责人、有关人员的行政责任,要把环保专项行动纳入党风廉政建设和反腐倡廉工作的总体格局中,作为服务经济建设的一项重要内容;司法部门要加大环保法律法规宣传力度,认真开展环保法律法规的宣传教育和督促检查,充分发挥律师、公证、人民调解组织、法律援助工作者的作用,及时排查调处环境纠纷;工商部门要依法注销、吊销被依法关闭企业的营业执照;安全监管部门要进一步加强危险化学品生产、储存、经营、使用环节的安全监管,严防由此引发的环境污染事故。
  各级发展改革委、经贸委、工商局、监察局、司法局、安全生产监管局在行使各自职责时,凡涉嫌环境违法的案件应及时移交环保部门。各部门应由专人负责移送案件的受理工作,按规定程序办理移交或立案手续,处理结果及时通报。
  (二)严肃追究环境保护行政责任。各地要认真贯彻中央人口资源环境工作座谈会和中央纪委五次全会精神,把环保专项行动作为推动各级政府树立科学发展观、构建和谐社会的重要手段。对违反环境保护法律法规,出现重大决策失误,造成环境严重污染的;对环境违法行为查处不力,甚至包庇、纵容违法排污企业,致使群众反映强烈的问题长期得不到解决的;对不依法行使职权,并造成严重后果的政府及部门负责人、有关人员,要根据《浙江省环境违法行为责任追究办法(试行)》追究责任。
  (三)加强舆论宣传和社会监督。各地要制订分阶段新闻报道计划,确定宣传重点,积极组织和协调新闻媒体做好宣传和跟踪报道;充分利用报刊、电视、广播、互联网、展览等各种媒体形式,加大环保法律法规宣传力度,引导群众广泛参与环保专项行动。对于查处的严重危害群众身体健康、屡查屡犯的典型环境违法案件要进行跟踪报道、公开查处,定期公布查处情况并予以曝光,起到处罚一个、震慑一批、教育一片的作用。
  四、统筹时间安排
  我市2005年度环保专项行动整体时间安排为:
  (一)准备动员阶段。各县(市、区)政府制定实施方案,召开会议进行动员和部署,并将有关情况在8月12日前报市环境污染整治工作领导小组办公室。
  (二)自查摸底阶段。各县(市、区)政府对辖区内重点污染问题进行深入检查,对群众举报问题进行认真梳理,在此基础上确定挂牌督办名单,8月12日前将检查情况和挂牌督办名单报市环境污染整治工作领导小组办公室。
  (三)全面整治阶段。各级人民政府组织有关部门对检查出的重点环境问题进行集中整治,公开查处、曝光一批典型环境违法案件。各县(市、区)环境污染整治工作领导小组将典型环境违法案件和挂牌督办问题整改情况于9月15日前报送市环境污染整治工作领导小组办公室。市有关部门将不定期组织督查组到各地进行督查或暗查,公开查处一批严重危害群众健康、影响社会稳定的典型环境违法案件,公开处理一批责任人。
  (四)总结考核阶段。各县(市、区)政府要及时认真总结环保专项行动取得的成效与不足,提出加强长效管理的措施,提交《2005年环保专项行动工作总结》和《环保专项行动三年工作总结》,于11月5日前报市环境污染整治工作领导小组办公室,全市汇总总结后报市政府和省环境污染整治工作领导小组办公室。市环境污染整治工作领导小组办公室将对各地环保专项行动开展的情况进行考核。
  五、加强信息动态管理和报送工作
  在环保专项行动开展的全过程,各地环境污染整治工作领导小组办公室要确定专人负责环保专项行动信息管理工作,并及时报送环保专项行动进展情况。各县(市、区)每周要上报上一周工作进展情况,并按期上报阶段报告。重要情况和工作中遇到的难点随时报告,重点环境污染问题和查处的典型案件要及时上报。
  

  
  温州市整治违法排污企业保障群众健康
  环保专项行动考核办法

  为保障我市整治违法排污企业保障群众健康环保专项行动(以下简称环保专项行动)深入、广泛开展并取得实效,根据《浙江省人民政府办公厅关于深入开展整治违法排污企业保障群众健康环保专项行动的通知》(浙政办函〔2005〕13号),参照省环保局等七委厅局制定的《浙江省整治违法排污企业保障群众健康环保专项行动考核办法》,制定本考核办法。
  一、考核内容
  各县(市、区)政府开展环保专项行动的情况,主要包括组织领导、案件督办、污染反弹控制、环境执法能力建设等方面的情况。
  二、考核指标
  按照考核内容共设16项指标,设置不同的分值。具体指标、分值见《温州市整治违法排污企业保障群众健康环保专项行动考核评分细则》(附后)。
  三、考核依据
  1.各地按要求报送的文件、报告、专项行动进展信息等资料。
  2.市有关部门通过督察、检查、暗查工作掌握的情况。
  3.报刊、电视、广播等新闻媒体反映的情况。
  四、考核程序
  1.各县(市、区)环境污染整治工作领导小组办公室按要求进行自我测评,并附考核依据所必须的材料,于11月10日前报市环境污染整治工作领导小组办公室。
  2.市环境污染整治工作领导小组办公室根据各地报送的资料及通过检查掌握的情况,对各地2005年开展环保专项行动的各项工作按照考核评分细则进行核验、评分。评分情况反馈各县(市、区)环境污染整治工作领导小组。
  3.市环境污染整治工作领导小组对考核评分结果进行审议,对前3名予以通报表彰。
  4.考核结果作为市环保专项行动总结报告的附件,一并上报省环保局等七委厅局和市政府。
  五、有关要求
  各县(市、区)环境污染整治工作领导小组要认真做好考核工作,如实提供相关资料,严禁弄虚作假。对在考核工作中弄虚作假的,将通报批评。



温州市整治违法排污企业保障群众健康
环保专项行动考核评分细则


考核

内容
考核指标
分值
评分细则
考核依据

组织领导 35
1
确定环保专项行动领导机构
4
确定县(市、区)环境污染整治工作领导小组负责与组织此次环保专项行动的得4分,未确定的不得分。
阶段性工作报告

2
制定具体实施方案
3
制定具体实施方案得3分,未制定不得分,未按时上报扣1分。
县级政府办公室下发的正式文件

3
制定宣传工作计划
3
制定宣传工作计划得3分,未制定不得分。
正式文件

4
建立联席会议制度
3
建立联席会议制度得3分,未建立不得分。
会议纪要

5
建立案件移送制度
3
建立案件移送制度得3分,未建立不得分。
正式文件

6
上报阶段性报告
9
按时上报三个阶段报告得6分,每缺一个扣2分,未按时上报每一个扣1分。
正式文件

7
上报工作简报
5
简报每周一期,总数不少于20期得5分,每缺一期扣0.5分。
按照电子邮件上报数量

8


上报各类检查信息情况
5
按照信息调度通知要求,每缺一大项内容扣1分,未按时上报扣0.5分。
按照在信息调度系统上的上报情况


案件督办 25
9
县级挂牌督办案件情况
10
挂牌督办案件数5个得10分,少于5个不得分,超过5个,每增加1个加2分。总分不超过20分。
阶段性工作报告,抽查

10
群众环境污染投诉办理情况
10
查处率100%得10分,每少1%扣1分。
阶段性工作报告,抽查

11
辖区内基层政府出台的违反环保法律法规的错误做法纠正情况
5
全部纠正得5分,每发现一项纠正不彻底扣1分。没有上述情况的得5分,但抽查发现有一项即不得分,并通报批评。
阶段性工作报告,抽查

污染反弹控制 25
12
省、市级重点监管企业稳定达标率
10
大于90%得10分,每少1%扣0.5分。
阶段性工作报告,抽查

13
县级建设项目“三同时”执行合格率
10
大于90%得10分,每少1%扣1分。
阶段性工作报告,抽查

14
辖区内环境违法企业取缔关停情况
5
2003年以来已取缔的十五小、新五小企业死灰复燃的或国家明令淘汰的生产线(设施)擅自恢复生产的,每发现一起扣1分,直至扣完此项分值。没有上述情况的得5分,但抽查发现有反弹的不得分,并通报批评。
阶段性工作报告,抽查

能力建设 15
15
县级环境监察机构标准化建设
5
达到一级标准化目标得5分,达到二级得2分,达到三级得1分。
标准化验收报告

16
辖区内12369环保热线开通情况
10
开通并有专人受理得10分,未开通不得分。
专项报告,抽查



SECURITIES (CLEARING HOUSES) ORDINANCE ——附加英文版

Hong Kong


SECURITIES (CLEARING HOUSES) ORDINANCE
 (CHAPTER 420)
 CONTENTS
  
  ion
  I    PRELIMINARY
  hort title
  nterpretation
  II    DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS
  NANCE AND RULES OF CLEARING HOUSES
  ecognized clearing houses
  ules of recognized clearing houses, etc.
  III   MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD
  ATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
  roceedings of recognized clearing house take precedence over law
of
  lvency
  upplementary provisions as to default proceedings
  uty to report on completion of default proceedings
  et sum payable on completion of default proceedings
  isclaimer of property, rescission of contracts, etc.
  Adjustment of prior transactions
  Right of relevant office-holder to recover certain amounts
arising
  certain transactions
  Application of market collateral not affected by certain other
  rests, etc.
  Enforcement of judgments over property subject to market charge,
etc.
  Law of insolvency in other jurisdictions
  IV    MISCELLANEOUS
  Participant to be party to certain transactions as principal
  Securities deposited with recognized clearing house
  Immunity, etc.
  Preservation of rights, etc.
  Amendment of Schedules 1 and 2
  (Omitted as spent)
  Transitional
  dule 1 Property which may be subject to a market charge or provided
as
  et collateral
  dule 2 Requirements for default rules of recognized clearing 
houses
  dule 3 (Omitted as spent)
 Whole document:
  
  rdinance to empower the Commission to declare clearing houses 
to be
  gnized clearing houses for the purposes of this Ordinance, to 
provide
  the approval by the Commission of the rules of recognized 
clearing
  es, to make provision for safeguarding the operations and 
procedures
  ecognized clearing houses, and to provide for matters 
incidental
  eto or connected therewith.
  ctober 1992] L. N. 324 of 1992
 PART I PRELIMINARY
  
  hort title
  This Ordinance may be cited as the Securities (Clearing 
Houses)
  nance.
  (Omitted as spent)
  nterpretation
  In this Ordinance, unless the context otherwise requires--
  rge" means any form of security, including a mortgage;
  aring house" means a person--
  whose activities or objects include the provision of services for 
the
  ring and settlement of transactions in securities effected 
on, or
  ect to the rules of, the Unified Exchange; or
  who guarantees the settlement of any such transactions;
  mission" means the Securities and Futures Commission 
established by
  ion 3 of the Securities and Futures Commission Ordinance (Cap.
24);
  stitution", in relation to a clearing house, means the memorandum 
and
  cles of association of the clearing house;
  ault proceedings" means any proceedings or other action taken 
by a
  gnized clearing house under its default rules;
  ault rules", in relation to a recognized clearing house, means
such of
  rules of the clearing house which it is required to have by virtue 
of
  ion 4 (2);
  aulter" means a participant who is the subject of any 
default
  eedings; "functions" includes duties and powers;
  ket charge" means a charge, whether fixed or floating, 
granted in
  ur of a recognized clearing house--
  over any property specified in Schedule 1 which is held 
by or
  sited with the clearing house; and
  for the purpose of securing liabilities arising directly in
connection
  the clearing house's ensuring the settlement of one or more 
market
  racts; "market collateral" means any property specified in
Schedule 1
  h is held by or deposited with a recognized clearing house for 
the
  ose of securing liabilities arising directly in connection 
with the
  ring house's ensuring the settlement of one or more market
contracts;
  ket contract" means a contract subject to the rules of a 
recognized
  ring house entered into by the clearing house with a 
participant
  uant to a novation which is both in accordance with those rules 
and
  the purposes of the clearing and settlement of 
transactions in
  rities effected on, or subject to the rules of, the Unified
Exchange;
  icer" means an officer within the meaning of section 2 
of the
  anies Ordinance (Cap. 32);
  ticipant" means a person who, in accordance with the rules 
of a
  gnized clearing house, may participate in one or more of the 
services
  ided by the clearing house in its capacity as a clearing house;
  formance", in relation to a function, includes discharge and
exercise;
  ognized clearing house" means a clearing house declared under 
section
  ) to be a recognized clearing house for the purposes 
of this
  nance;
  
  evant office-holder" means--
  the Official Receiver appointed under section 75 of the 
Bankruptcy
  nance (Cap. 6);
  any person acting in relation to a company as its 
liquidator,
  isional liquidator, receiver or manager;
  any person acting in relation to an individual as his 
trustee in
  ruptcy or interim receiver of his property; or
  any person appointed pursuant to an order for the 
administration in
  ruptcy of an insolvent estate of a deceased person;
  es", in relation to a clearing house--
  means the constitution, rules, regulations or directions, by 
whatever
  called, governing the membership, management, 
operations  and
  edures of the clearing house; and
  without restricting the generality of paragraph (a), includes 
rules,
  lations or directions relating to--
  the provision of clearing and settlement services, and the 
suspension
  ithdrawal of such services;
  the provision of services other than the services referred 
to in
  aragraph (i);
  ) the persons who may participate in one or more of the 
services
  rred to in subparagraphs (i) and (ii); and
  setting and levying fees and charges;
  urities" means securities within the meaning of section 2 
of the
  rities Ordinance (Cap. 333);
  tlement", in relation to a market contract,  includes 
partial
  lement; "Unified Exchange" means the Unified Exchange 
established
  r section 27 of the Stock Exchanges Unification Ordinance (Cap.
361).
  Where--
  a charge is granted partly for the purpose specified in the
definition
  market charge" and partly for other purposes, the charge is in 
this
  nance a market charge in so far as it has effect for that 
specified
  ose;
  collateral is provided partly for the purpose specified 
in the
  nition of "market collateral" and partly for other 
purposes, the
  ateral is in this Ordinance market collateral in so far as it has
been
  ided for that specified purpose.
  References in this Ordinance to the law of insolvency 
include
  rences to every provision made by or under--
  the Bankruptcy Ordinance (Cap. 6);
  the Companies Ordinance (Cap. 32); and
  any other enactment which is concerned with or in any way related 
to
  insolvency of a person.
  References in this Ordinance to settlement in relation to a 
market
  ract are to the discharge of the rights and liabilities of the
parties
  he contract, whether by performance, compromise or otherwise.
 PART II DECLARATION OF CLEARING HOUSES FOR PURPOSES OF THIS ORDI- 
NANCE AND RULES OF CLEARING HOUSES
  
  ecognized clearing houses
  Where the Commission is satisfied that it is appropriate to do 
so in
  interest of the investing public or in the public interest, or
for the
  er regulation of services for the clearing and 
settlement  of
  sactions in securities, it may, with the consent in writing 
of the
  ncial Secretary, by notice in the Gazette, declare a clearing
house to
  recognized clearing house for the purposes of this Ordinance.
  Where the Commission makes a declaration under subsection 
(1) in
  ect of a clearing house--
  it shall give notice thereof in writing to the clearing house;
and
  the rules of the clearing house in operation immediately 
before the
  aration shall continue to have effect unless otherwise 
specified, or
  l such time as is specified, in the notice referred to in paragraph
  
  ules of recognized clearing houses, etc.
  Subject to section 3 (2) (b) and subsection (4), no rules 
of a
  gnized clearing house (including any default rules of the 
clearing
  e) or any amendment thereto shall have effect unless 
approved in
  ing by the Commission.
  A recognized clearing house shall have rules which provide 
for the
  ng of proceedings or other action in the event of a 
participant
  aring to be unable, or likely to become unable, to 
meet his
  gations in respect of all unsettled market contracts to which he
is a
  y, and such rules shall comply with the requirements of Schedule
2.
  Where a recognized clearing house takes any default proceedings, 
all
  equent proceedings or other action taken under its rules 
for the
  oses of the settlement of market contracts of which the 
defaulter
  erned is a party shall be treated as done under the default rules 
of
  clearing house notwithstanding that, but for this subsection, 
such
  equent proceedings or other action would not be treated as done 
under
  default rules of the clearing house.
  The Commission may, by notice in the Gazette, declare any 
class of
  s of a recognized clearing house (except any default rules 
of the
  ring house) to be a class of rules which are not required 
to be
  oved under subsection (1) and, accordingly, any rules of that
clearing
  e which belong to that class (including any amendment thereto) 
shall
  effect notwithstanding that they have not been so approved.
  Without prejudice to the operation of subsection (4), a 
recognized
  ring house shall submit or cause to be submitted to the 
Commission,
  the information of the Commission, any of its rules 
(including any
  dment thereto )--
  which belong to a class of rules the subject of a declaration 
under
  ection (4); and
  as soon as practicable after those rules (or amendment thereto,
as the
  may be) are made.
  A recognized clearing house shall submit or cause to be 
submitted to
  Commission for its approval the rules of the clearing house and 
every
  dment thereto except any rules (including any amendment thereto)
which
  ng to a class of rules the subject of a declaration under
subsection
  
  
  Subject to subsections (8) and (9), the Commission shall, 
within 6
  s after the receipt of any submission under subsection (6) 
from a
  gnized clearing house, give notice in writing to the clearing 
house
  
  its approval of; or
  its refusal to approve,
  rules or amendment of the rules, as the case may be, or any 
part
  eof, the subject of the submission.
  The Commission may, in a particular case, with the agreement of 
the
  gnized clearing house concerned, extend the time 
prescribed in
  ection (7).
  The Financial Secretary may, on the advice of the 
Commission and
  er generally or in a particular case, extend the time 
prescribed in
  ection (7).
  The Commission may request in writing a recognized clearing
house--
  to make rules--
  specified in the request; and
  within the period specified in the request; or
  to amend rules--
  referred to in the request;
  in the manner specified in the request; and
  ) within the period specified in the request.
  Where the Commission is satisfied that a recognized clearing 
house
  not complied with a request referred to in subsection (10) within 
the
  od specified in the request, the Commission may direct in writing 
the
  ring house to comply with the request within such further period
as is
  ified in the direction and, accordingly, the clearing house 
shall
  ly with that request within that further period.
  For the purposes of subsection (10), "rules", in relation 
to a
  gnized clearing house, do not include the constitution of the
clearing
  e.
 PART III MODIFICATIONS OF THE LAW OF INSOLVENCY TO SAFEGUARD OPE- 
RATIONS AND PROCEDURES OF RECOGNIZED CLEARING HOUSES, ETC.
  
  roceedings of recognized clearing house take precedence over 
law of
  lvency
  None of the following shall be regarded as to any extent 
invalid at
  on the ground of inconsistency with the law relating 
to the
  ribution of the assets of a person on insolvency, 
bankruptcy or
  ing-up, or on the appointment of a receiver over any of the assets 
of
  rson--
  a market contract;
  the rules of a recognized clearing house relating to the
settlement of
  rket contract;
  any proceedings or other action taken under the rules of a 
recognized
  ring house relating to the settlement of a market contract;
  a market charge;
  the default rules of a recognized clearing house; or
  any default proceedings.
  Subject to subsection (3), the powers of a relevant office-
holder in
  capacity as such, and the powers of a court under the 
law of
  lvency, shall not be exercised in such a way as to 
prevent or
  rfere with--
  the settlement in accordance with the rules of a recognized 
clearing
  e of a market contract; or
  any default proceedings.
  Subsection (2) shall not operate to prevent a relevant 
office-holder
  seeking to recover any amount under section 11 after the 
completion
  matter referred to in paragraph (a) or (b) of that subsection.
  
  upplementary provisions as to default proceedings
  A court may on an application by a relevant office-holder make 
such
  r as it thinks fit altering or releasing him from compliance with
such
  he functions of his office as are affected by the fact that 
default
  eedings are pending or could be taken, or have been or could have
been
  n and, accordingly, such functions of the relevant officeholder 
shall
  onstrued subject to such order.
  Nothing in--
  section 12, 14 or 20 of the Bankruptcy Ordinance (Cap. 6); or
  section 166, 181, 183, 186 or 254 of the Companies Ordinance 
(Cap.
  shall prevent or interfere with any default proceedings.
  uty to report on completion of default proceedings
  A recognized clearing house shall, upon the completion by it of 
any
  ult proceedings, make a report on such proceedings stating in 
respect
  ach defaulter--
  the net sum, if any, certified by the clearing house to be payable 
by
  o the defaulter; or
  the fact that no sum is so payable,
  he case may be, and the clearing house may include in that report
such
  r particulars in respect of such proceedings as it thinks fit.
  A recognized clearing house which has made a report 
pursuant to
  ection (1) shall supply the report to--
  the Commission;
  any relevant office-holder acting in relation to--
  the defaulter to whom the report relates; or
  that defaulter's estate;
  if there is no relevant office-holder referred to in paragraph 
(b),
  defaulter to whom the report relates.
  Where the Commission receives pursuant to subsection (2) a report
made
  uant to subsection (1), it may publish notice of that fact in 
such
  er as it thinks appropriate to bring it to the attention of 
creditors
  he defaulter to whom the report relates.
  Where a relevant office-holder or defaulter receives 
pursuant to
  ection (2) a report made pursuant to subsection (1), he shall,
at the
  est of a creditor of the defaulter to whom the report relates--
  make the report available for inspection by the creditor;
  on payment of such reasonable fee as the relevant office-
holder or
  ulter, as the case may be, determines, supply to the creditor all 
or
  part of that report.
  In subsections (2), (3) and (4), "report" includes a copy of a
report.
  
  et sum payable on completion of default proceedings
  The provisions of this section shall apply with respect to any
net sum
  ified under section 7 (1) (a) by a recognized clearing house, upon
the
  letion by it of any default proceedings, to be payable by or 
to a
  ulter.
  Where a receiving or winding-up order has been made, or a 
resolution
  voluntary winding-up has been  passed,  any  net  sum 
shall,
  ithstanding any of the provisions of section 34 or 35 
of the
  ruptcy Ordinance (Cap. 6) or section 264 of the Companies
Ordinance
  . 32), be--
  provable in the bankruptcy or winding-up or, as the case 
may be,
  ble to the relevant office-holder; and
  taken into account, where appropriate, under section 35 
of the
  ruptcy Ordinance (Cap. 6) or that section as applied in the case
of a
  ing-up order under the Companies Ordinance (Cap. 32).
  isclaimer of property, rescission of contracts, etc.
  Neither section 59 of the Bankruptcy Ordinance (Cap. 6) nor 
section
  of the Companies Ordinance (Cap. 32) shall apply in relation to--
  a market contract;
  a contract effected by a recognized clearing house for the purpose 
of
  izing property provided as market collateral;
  a market charge; or
  any default proceedings.
  Neither section 42 of the Bankruptcy Ordinance (Cap. 6) nor 
section
  of the Companies Ordinance (Cap. 32) shall apply in relation to 
any
  matter or thing which has been done pursuant to--
  a market contract;
  a disposition of property pursuant to a market contract;
  the provision of market collateral;
  a contract effected by a recognized clearing house for the purpose 
of
  izing property provided as market collateral, or any 
disposition of
  erty pursuant to such a contract;
  a disposition of property in accordance with the rules of a
recognized
  ring house as to the application of property provided as 
market
  ateral;

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