cp124q.docx

cp124q.docx

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cp124q

QUESTIONNAIREONCONSULTATIONPAPERONREVIEWOFTHECODEONCORPORATEGOVERNANCEPRACTICESANDASSOCIATEDLISTINGRULES

TheExchangeinvitesviewsonitsConsultationPaperonReviewoftheCodeonCorporateGovernancePracticesandAssociatedListingRules（ConsultationPaper）,downloadablefromtheHKExwebsiteat:

.hk/eng/newsconsul/mktconsul/documents/cp2010124.pdf.

ThisQuestionnairecontainsthePersonalInformationCollectionandPrivacyPolicyStatement;PartA:

GeneralInformationoftheRespondent;andPartB:

ConsultationQuestions.

AllresponsesshouldbemadeinwritingbycompletingandreturningtoHKExbothPartAandPartBofthisQuestionnairenolaterthan18March2011byoneofthefollowingmethods:

Bymailor

handdeliveryto

CorporateCommunicationsDepartment

HongKongExchangesandClearingLimited

12thFloor,OneInternationalFinanceCentre

1HarbourViewStreet

Central

HongKong

Re:

ConsultationPaperonReviewofTheCodeonCorporateGovernancePracticesandAssociatedListingRules

Byfaxto

（852）2524-0149

Bye-mailto

response@.hk

Pleasemarkinthesubjectline:

“Re:

CPonCGReview”

Oursubmissionenquirynumberis（852）2840-3844.

Thenamesofpersonswhosubmitcommentstogetherwiththewholeorpartoftheirsubmissionsmaybedisclosedtomembersofthepublic.IfyoudonotwishyournametobepublishedpleaseindicatesoinPartA.

PersonalInformationCollectionandPrivacyPolicyStatement

ProvisionofPersonalData

1.YoursupplyofPersonalDatatoHKExisonavoluntarybasis.“PersonalData”inthesestatementshasthesamemeaningas“personaldata"inthePersonalData（Privacy）Ordinance,Cap486,whichmayincludeyourname,identitycardnumber,mailingaddress,telephonenumber,emailaddress,loginnameand/oryouropinion.

PersonalInformationCollectionStatement

2.ThisPersonalInformationCollectionStatementismadeinaccordancewiththeguidelinesissuedbythePrivacyCommissionerforPersonalData.ItsetsoutthepurposesforwhichyourPersonalDatawillbeusedaftercollection,whatyouareagreeingtoinrespectofHKEx’suse,transferandretentionofyourPersonalData,andyourrightstorequestaccesstoandcorrectionofyourPersonalData.

PurposeofCollection

3.HKExmayuseyourPersonalDataprovidedinconnectionwiththisconsultationpaperforpurposesrelatingtothisconsultationandforoneormoreofthefollowingpurposes:

∙administration,processingandpublicationoftheconsultationpaperandanyresponsesreceived;

∙performingordischargingHKEx’sfunctionsandthoseofitssubsidiariesundertherelevantlaws,rulesandregulations;

∙researchandstatisticalanalysis;and

∙anyotherpurposespermittedorrequiredbylaworregulation.

TransferofPersonalData

4.YourPersonalDatamaybedisclosedortransferredbyHKExtoitssubsidiariesand/orregulator（s）foranyoftheabovestatedpurposes.

5.Toensurethattheconsultationisconductedinafair,openandtransparentmanner,anyresponsetogetherwithyournamemaybepublishedonan“asis”basis,inwholeorinpart,indocumentform,ontheHKExwebsiteorbyothermeans.Ingeneral,HKExwillpublishyournameonlyandwillnotpublishyourotherPersonalDataunlessspecificallyrequiredtodosounderanyapplicablelaworregulation.Ifyoudonotwishyournametobepublishedoryouropiniontobepublished,pleasestatesowhenrespondingtothispaper.

AccesstoandCorrectionofData

6.Youhavetherighttorequestaccesstoand/orcorrectionofyourPersonalDatainaccordancewiththeprovisionsofthePersonalData（Privacy）Ordinance.HKExhastherighttochargeareasonablefeeforprocessinganydataaccessrequest.Anysuchrequestforaccesstoand/orcorrectionofyourPersonalDatashouldbeaddressedtothePersonalDataPrivacyOfficerofHKExinwritingbyeitherofthefollowingmeans:

Bymailto:

PersonalDataPrivacyOfficer

HongKongExchangesandClearingLimited

12thFloor,OneInternationalFinanceCentre

1HarbourViewStreet

Central

HongKong

Re:

ConsultationPaperonReviewoftheCodeonCorporateGovernancePracticesandAssociatedListingRules

Byemailto:

pdpo@.hk

RetentionofPersonalData

7.YourPersonalDatawillberetainedforsuchperiodasmaybenecessaryforthecarryingoutoftheabove-statedpurposes.

PrivacyPolicyStatement

8.HKExisfirmlycommittedtopreservingyourprivacyinrelationtothePersonalDatasuppliedtoHKExonavoluntarybasis.PersonalDatamayincludenames,identitycardnumbers,telephonenumbers,mailingaddresses,e-mailaddresses,loginnames,opinion,etc.,whichmaybeusedforthestatedpurposeswhenyourPersonalDataarecollected.ThePersonalDatawillnotbeusedforanyotherpurposeswithoutyourconsentunlesssuchuseispermittedorrequiredbylaworregulation.

9.HKExhassecuritymeasuresinplacetoprotectagainsttheloss,misuseandalterationofPersonalDatasuppliedtoHKEx.HKExwillstrivetomaintainPersonalDataasaccuratelyasreasonablypossibleandPersonalDatawillberetainedforsuchperiodasmaybenecessaryforthestatedpurposesandfortheproperdischargeofthefunctionsofHKExandthoseofitssubsidiaries.

PartAGeneralInformationoftheRespondent

Allfieldsaremandatory,exceptthefieldswithanasterisk（*）ifyouareanindividualrespondent.

Name/CompanyName*

:

ContactPerson

:

Title

:

PhoneNumber

:

E-mailAddress

:

Ifyoudonotwishtodisclosetheaboveinformationtothepublic,pleasechecktheboxhere:

Idonotwishtodisclosetheinformationabove.

PartBConsultationQuestions

Pleaseindicateyourpreferencebycheckingtheappropriateboxes.PleasereplytothequestionsbelowontheproposedchangediscussedintheConsultationPaperdownloadablefromtheHKExwebsiteat:

.hk/eng/newsconsul/mktconsul/documents/cp2010124.pdf.

Wherethereisinsufficientspaceprovidedforyourcomments,pleaseattachadditionalpages.

CHAPTER1:

INTRODUCTION

PlainWritingAmendments

Question1.Doyouhaveanycommentsontheplainerwritingamendments?

Doyouconsideranypart（s）oftheplainerwritingamendmentswillhaveunintendedconsequences?

Yes

No

Pleasegivereasonsforyourviews.

CHAPTER2:

PROPOSEDSUBSTANTIVEAMENDMENTS

PARTI:

DIRECTORS

1.Directors’DutiesandTimeCommitments

Question2.DoyouagreewithourproposedchangetoRule3.08toclarifytheresponsibilitiestheExchangeexpectsofdirectors?

Yes

No

Pleasegivereasonsforyourviews.

Question3.

DoyouagreewithourproposedadditionoftheNotetoRule3.08referringtotheguidanceissuedbytheCompaniesRegistryandHKIOD?

Yes

No

Pleasegivereasonsforyourviews.

Question4.Doyouagreetoincludeanewduty（CPA.5.2（e））inthenominationcommittee’swrittentermsofreferencethatitshouldregularlyreviewthetimerequiredfromadirectortoperformhisresponsibilitiestotheissuer,andwhetherheismeetingthatrequirement?

Yes

No

Pleasegivereasonsforyourviews.

Question5.Doyouagreetoincludea newduty（CPA.5.2（f））inthenominationcommittee’swrittentermsofreference thatitshouldreviewNEDs’annualconfirmationthat theyhavespentsufficienttimeontheissuer’sbusiness?

Yes

No

Pleasegivereasonsforyourviews.

Question6.

DoyouagreetoincludeadisclosurerequirementintheCorporateGovernanceReport（paragraphL（d）（ii）ofAppendix14）thatNEDshavemadeannualconfirmationtothenominationcommitteethattheyhavespentsufficienttimeontheissuer’sbusiness?

Yes

No

Pleasegivereasonsforyourviews.

Question7.DoyouagreetoexpandingCPA.5.3（re-numberedCPA.6.3）tostatethatadirectorshouldlimithisotherprofessionalcommitmentsandacknowledgetotheissuerthathewillhavesufficienttimetomeethisobligations?

Yes

No

Pleasegivereasonsforyourviews.

Question8.DoyouagreetoexpandingCPA.5.3（re-numberedCPA.6.3）tostatethatanNEDshouldconfirmannuallytothenominationcommitteethathehasspentsufficienttimeontheissuer’sbusiness?

Yes

No

Pleasegivereasonsforyourviews.

Question9.

DoyouagreetoupgradingRBPD.1.4toaCP（re-numberedCPD.1.4）andamendingittostatethatanNED’sletterofappointmentshouldsetouttheexpectedtimecommitment?

Yes

No

Pleasegivereasonsforyourviews.

Question10.DoyouagreetoupgradingRBPA.5.6toaCP（re-numberedCPA.6.6）andtoamendingittoencouragetimelinessofdisclosurebyadirectortotheissueronanychangetohissignificantcommitments?

Yes

No

Pleasegivereasonsforyourviews.

Question11.DoyouconsiderthatthereshouldbealimitonthenumberofINEDpositionsanindividualmayhold?

Yes

No

Pleasegivereasonsforyourviews.

Question12.IfyouranswertoQuestion11is“yes”,whatshouldbethenumber?

Pleasegivereasonsforyourviews.

Question13.IfyouranswertoQuestion11is“yes”,doyouthinkthatitshouldbeaRuleoraCP?

Rule

CP

Pleasegivereasonsforyourviews.

2.Directors’TrainingandIndependentNon-executiveDirectors

Question14.DoyouagreethatweshouldupgradeRBPA.5.5（requirementforcontinuousprofessionaldevelopment）toaCP（re-numberedCPA.6.5）?

Yes

No

Pleasegivereasonsforyourviews.

Question15.Doyouagreethattheminimumnumberofhoursofdirectorstrainingshouldbeeight?

Yes

No

Pleasegivereasonsforyourviews.

Question16.WhattrainingmethodsdoyouconsidertobeacceptablefortherequirementsstatedintheproposedC