FOR OFFICIAL USE ONLY

Transcription

1 FORM ORS-3 OCCUPATIONAL RETIREMENT SCHEMES ORDINANCE APPLICATION FOR AN EXEMPTION CERTIFICATE (under Section 7(2) of The Occupational Retirement Schemes Ordinance) The applicant should read the Guidance Notes on Application for an Exemption Certificate (NOTES ORS-3) carefully before completing this application form. The note numbers specified in this form correspond with those in the guidance notes. This application shall be made by: (a) (b) the relevant employer (see definition in note 1) of an occupational retirement scheme; or the representative employer of an occupational retirement scheme which covers two or more relevant employers that are related to each other in the manner as stated in section 67 of the Occupational Retirement Schemes Ordinance (Ordinance) (see note 3). If there is more than one occupational retirement scheme operated by the same relevant employer, separate applications for each of these schemes should be submitted. This application is required under the relevant statutory provisions stated above, and any personal data contained herein will be used for such purpose and other purposes stated in the Personal Information Collection Statement at the end of the form. Any relevant person who fails to supply the required information or provides false information shall be liable to prosecution under the relevant provisions of the Ordinance. Completed application forms should be sent to: The Registrar of Occupational Retirement Schemes, Level 8, Tower 1, Kowloon Commerce Centre 51 Kwai Cheong Road, Kwai Chung Hong Kong Mail items with insufficient postage: The MPFA will not accept any underpaid mail delivered via the Hongkong Post which will return the mail item to the sender if there is a return address or dispose of the item in accordance with its procedures. To avoid unsuccessful delivery of your mail, please ensure your mail items addressed to the MPFA carry sufficient postage before posting to us. FOR OFFICIAL USE ONLY Application no. : Subject officer : Fee receipt no. : Input officer : Date of fee receipt : Verification Officer : Date of letter of acknowledgement : Remarks : January 2018 Page 1

2 SECTION I - NAME OF THE OCCUPATIONAL RETIREMENT SCHEME (Scheme) Name of the Scheme (see note 4) (in English) : (in Chinese, if any) : SECTION II - GROUNDS FOR EXEMPTION (SEE NOTE 2) Please indicate the ground for making this application by ticking a box below: (a) (b) by virtue of section 7(4)(a) of the Ordinance by virtue of section 7(4)(b) or (c) of the Ordinance SECTION III - THE SCHEME (1) Is the Scheme an existing scheme (that is, existing immediately before the commencement of section 1 of the Ordinance) or a proposed scheme (that is, a scheme newly established on or after the commencement of section 1 of the Ordinance)? Existing Scheme Proposed Scheme (2) Domicile of the Scheme (see definition in note 1): Hong Kong domiciled scheme Offshore scheme (3) Scheme type (see definition in note 1): Defined contribution scheme Defined benefit scheme (4) Arrangement of the Scheme: Governed by trust Subject of or regulated by an insurance arrangement Others, please specify January 2018 Page 2

3 SECTION IV - APPROVAL BY OVERSEAS AUTHORITY (see note 2) This section is to be completed only for applications of offshore schemes made under section 7(4)(a) of the Ordinance. For the Registrar s consideration under this section, the following documents relating to the registration/approval by the overseas authority of the Scheme and the functions of the overseas authority should accompany this application:- (1) A certificate or statement issued by the overseas authority confirming registration or approval of the Scheme; and (2) An explanatory summary prepared by a person qualified to practise as a professional legal practitioner in the country or territory stated to be the domicile of the Scheme, stating the functions of the overseas authority responsible for the registration, authorization, regulation or supervision of the Scheme. The particulars of that legal practitioner (including his name, professional qualifications, experience relating to that particular jurisdiction, etc.) should also be stated; and (3) All relevant documents to prove that the overseas authority performs functions which are generally analogous to those conferred on the Registrar by the Ordinance. (1) Particulars of the regulatory/supervisory authority:- (a) Name (in English) : Code For official use (b) Address (in English): Flat/Room Floor Block Name of building Street no. Name of street Name of district/city/province Area code/postal code Name of country (c) Telephone no.: Fax no.: (d) address: (2) Date of approval/registration of the Scheme by that authority : Day Month Year January 2018 Page 3

4 SECTION V - MEMBERSHIP (see note 2) This section is to be completed only for applications made under section 7(4)(b) or (c) of the Ordinance. 1) Total number of members of the Scheme as at the date of this application 2) Number of members of the Scheme who are Hong Kong permanent identity card holders as at the date of this application 3) Percentage of members of the Scheme who are Hong Kong permanent identity card holders as at the date of this application 4) Total number of members of the proposed scheme as at the date of the establishment of the scheme 5) Number of member of the proposed scheme who are Hong Kong permanent identity card holders as at the date of the establishment of the scheme 6) Percentage of members of the proposed scheme who are Hong Kong permanent identity card holders as at the date of the establishment of the scheme Existing Schemes N/A N/A N/A Proposed Schemes January 2018 Page 4

5 SECTION VI - THE RELEVANT EMPLOYER (see note 3) If the Scheme has only one relevant employer, only item (3) below should be completed. If the Scheme covers two or more relevant employers, all items (1), (2) and (3) below should be completed. In completing item (2), the particulars of the representative employer should be given. Additionally, a copy of the power of attorney (see note 3) nominating the representative employer by all the relevant employers should be submitted with the application. In completing item (3), the particulars of each relevant employer should be supplied. Supplementary Form 3A annexed to this form, or photocopies thereof, can be used to insert additional entries if necessary. (1) How many relevant employers are there in relation to the Scheme? (2) Particulars of the representative employer: (a) Name (in English) : (in Chinese): Code For official use (b) Please tick the appropriate box below (see note 8): Registered office in Hong Kong (please provide copy of Certificate of Incorporation and Business Registration Certificate) Principal place of business in Hong Kong (please provide copy of Certificate of Registration and Business Registration Certificate) Business address (please provide copy of Business Registration Certificate) Address (in English): Flat/Room Floor Block Name of building Street no. Name of street Name of district/city/province Area code/postal code Name of country (c) Telephone no.: Fax no.: (d) address: (e) Business registration no. in Hong Kong, if any: January 2018 Page 5

6 (f) Apart from acting as the representative employer, is he also a relevant employer of the Scheme? Yes No (3) Particulars of the relevant employer: (a) Name (in English) : (Insert surname first for individual) (in Chinese): Code For official use (b) Please tick the appropriate box below (see note 8): For individual, business address preferred. Registered office in Hong Kong (please provide copy of Certificate of Incorporation and Business Registration Certificate) Principal place of Business in Hong Kong (please provide copy of Certificate of Registration and Business Registration Certificate) Business address (please provide copy of Business Registration Certificate) Residential address Address (in English): Flat/Room Floor Block Name of building Street no. Name of street Name of district/city/province Area code/postal code Name of country (c) Telephone no. : Fax no. : (d) address: (e) Business registration no. in Hong Kong, if any: January 2018 Page 6

7 SECTION VII - DECLARATION (see notes 3, 7 & 10) I/We declare that I/we have read the Personal Information Collection Statement and understand our rights and obligations in relation to the supply of personal data to the Registrar and the manner in which the Registrar may use or deal with the data. I/We declare that to the best of my/our knowledge and belief the information given in this application form (including any attached Supplementary Form 3A and other separate sheets and supporting documents) is correct and complete. I/We hereby confirm that in compliance with section 7(3) of the Ordinances, I/we have given written notice to each member of the Scheme who is the holder of a Hong Kong identity card that an application will be made to the Registrar of Occupational Retirement Schemes for an exemption certificate to be issued in respect of this Scheme or displayed an appropriate notice of such application and made it available for inspection by such member. Signature and company chop of the applicant (relevant / representative* employer) Name of authorized signatory (in English) : : Title or position Name of applicant (in English) Date : : : Name of the person and his telephone no. for the Registrar s enquiries in connection with this application: Name : Telephone no. : January 2018 Page 7

8 CHECKLIST FOR THE APPLICANT Before you send in your application, check that you have: 1. completed every relevant section in this form and inserted Nil, None or Not Applicable in those sections or parts as appropriate; ( ) 2. where the application is made based on the ground of section 7(4)(a) of the Ordinance, annexed to this form the relevant documents stated in Section IV; ( ) 3. where the Scheme has two or more relevant employers, annexed to this form: ( ) (a) (b) the power of attorney; and any Supplementary Form(s) 3A showing the particulars of the relevant employer(s) as required under Section VI of this form; 4. properly signed the declaration and stamped the official chop of the firm/company as appropriate in Section VII; and ( ) 5. enclosed the crossed paper cheque, e-cheque or bank draft in HK dollar for $940 made payable to the MPFA Administration Account in respect of the relevant application fee. (For payment made from overseas: The Authority only accepts payment by bank draft which can be drawn on a bank in Hong Kong and is in Hong Kong currency. Any bank charges incurred must be borne by the company itself.) For payment by e-cheque, please send an e-cheque via the e-cheque Collection Portal ( ( ) Staple your cheque or bank draft here January 2018 Page 8

9 Personal Information Collection Statement You are advised to read this Personal Information Collection Statement (PICS) carefully about your rights and obligations in relation to the supply of personal data by you (which data may relate to yourself or other persons) to the Mandatory Provident Fund Schemes Authority (MPFA). Purpose of Collection and Use 1. Personal data to be collected in support of this application will be used for one or more of the following purposes: (i) (ii) (iii) (iv) (v) (vi) (vii) processing this application which is required under the relevant statutory provisions stated at the beginning of this application; considering any other application(s) made under the Mandatory Provident Fund Schemes Ordinance (MPFSO) and the Occupational Retirement Schemes Ordinance (ORSO) which is related to you; establishing and keeping registers open to the public which will contain particulars including the name of employer, investment manager, designated person and scheme administrator; administering and monitoring on-going compliance with the MPFSO and the ORSO; taking supervisory, disciplinary or enforcement actions; exercising or performing the MPFA s other functions under the MPFSO or the ORSO; enabling or assisting other regulators to perform their functions under the MPFSO or their respective regimes; (viii) research and statistical purposes; and (ix) any other directly related purposes. 2. The supply of personal data by you in this application is required for the purpose of the application under the relevant statutory requirement provisions stated at the beginning of this application, and failure to supply sufficient information may result in delay or refusal in processing this application, and may constitute a breach of the relevant statutory requirements. If you supply personal data relating to another person, please ensure that he / she consents to the supply of his / her personal data by you to the MPFA for the purposes stated in this PICS. Transfer of Personal Data 3. Personal data provided by you will be used, disclosed or transferred to third parties including government bodies, other regulatory authorities, corporations, organizations or individuals in January 2018 Page 9

10 Hong Kong or overseas for the aforesaid purposes (where applicable) or in accordance with an order of a court or a law or a requirement made under a law. Access to Personal Data 4. You are entitled under the Personal Data (Privacy) Ordinance (PDPO) to ascertain whether the MPFA holds any of your personal data, and to request access to or correction of any such personal data, in the manner and subject to the limitations set out in the PDPO. All enquiries concerning your personal data supplied in support of this application and requests for access or correction should be directed in writing to the Personal Data Privacy Officer of the Mandatory Provident Fund Schemes Authority at Level 8, Tower 1, Kowloon Commerce Centre, 51 Kwai Cheong Road, Kwai Chung, Hong Kong. Mandatory Provident Fund Schemes Authority January 2018 Page 10