All sections · Part XX: Obligations Relating To Beneficial Owners
355 实益所有人登记册：定义和解释
(1) 在这一部分中--
所有者是指，除第(2)、(3)和(4)款外，任何就公司而言的人（代表他人的代名人除外）----。
(a) 最终拥有（直接或间接以及单独或与任何其他个人或实体共同）超过25%的公司股份。
(b) （直接或间接以及单独或与任何其他个人或实体共同）对公司成员的总投票权的25 %以上行使最终控制权。
(c) 有权（直接或间接以及单独或与任何其他个人或实体共同）任命或罢免本公司的大多数董事；或
(d) 有权对该企业或其管理层行使或有效行使控制权。
列入公司的意思是 - - -
(a) 其证券在公认的证券交易所上市的实体；或
(b) 是公司、合伙企业或信托机构的子公司，其证券在公认的证券交易所上市的实体。
-公认的交换是指 - - -
(a) 根据《证券法》获得许可的证券交易所； (b) 根据《证券法》定义的公认的外国证券交易所。
证券法》；或
(c) 作为世界成员的任何其他证券交易所。
交易所联合会。
-公司的实益拥有人登记册，指第356(1)条中提到的实益拥有人登记册；以及
-可供登记的细节，就某一企业而言，指的是
第356(1)(a)至(d)条所要求的信息。
(2) 根据留置权（第89条定义）拥有公司股份担保权益的质押人，不应仅仅因为其仅由此类担保权益组成而成为本部的实际所有人。
(3) 如果一个信托的受托人最终拥有或控制（直接或间接，无论是单独或与另一个人或实体联合）超过了
就本部分而言，拥有某公司的股份或投票权的25%人，或有权对该公司或其管理层行使或实际行使控制权的人，是该公司的实际所有人--。
(a) 任何拥有或拥有超过信托财产资本的25%的实益权益的人。
(b)该信托的设立或运作是为了其主要利益的那一类人，除非该信托是专门为(a)项所述的人的利益而设立或运作；或
(c) 任何对该信托基金有控制权的人。
(4) 如果一个基金会最终拥有或控制（直接或间接，无论是单独或与另一个人或实体共同拥有）超过25%的公司股份或投票权，或以其他方式有权行使或实际行使对该公司或其管理层的控制权，就本部而言，该公司的实际所有人是-。
(a) 拥有基金会资产中超过25%的资本或拥有其实际权益的任何人。
(b) 基金会为其主要利益而设立或运作的群体，除非该基金会是专门为(a)项所述人员的利益而设立或运作的；或
(c) 任何对基金会有控制权的人。
(5) 就第(3)(c)和(4)(c)款而言，"控制权 "是指根据法律或信托契约或基金会契约或（视情况而定）条例，单独、与另一人共同或在另一人同意的情况下，--的权力。
(a) 处置、优惠、借出、投资、支付或应用信托或基金会的任何资产。
(b) 修改信托契约或信托的条款。
法规或条例。
(c) 增加或删除一个人作为受益人。
(d) 任命或罢免受托人、保护人或理事会成员；或
(e) 直接行使(a)、(b)、(c)或(d)段中提到的任何权力，但不同意或否决。
所有者是指，除第(2)、(3)和(4)款外，任何就公司而言的人（代表他人的代名人除外）----。
(a) 最终拥有（直接或间接以及单独或与任何其他个人或实体共同）超过25%的公司股份。
(b) （直接或间接以及单独或与任何其他个人或实体共同）对公司成员的总投票权的25 %以上行使最终控制权。
(c) 有权（直接或间接以及单独或与任何其他个人或实体共同）任命或罢免本公司的大多数董事；或
(d) 有权对该企业或其管理层行使或有效行使控制权。
列入公司的意思是 - - -
(a) 其证券在公认的证券交易所上市的实体；或
(b) 是公司、合伙企业或信托机构的子公司，其证券在公认的证券交易所上市的实体。
-公认的交换是指 - - -
(a) 根据《证券法》获得许可的证券交易所； (b) 根据《证券法》定义的公认的外国证券交易所。
证券法》；或
(c) 作为世界成员的任何其他证券交易所。
交易所联合会。
-公司的实益拥有人登记册，指第356(1)条中提到的实益拥有人登记册；以及
-可供登记的细节，就某一企业而言，指的是
第356(1)(a)至(d)条所要求的信息。
(2) 根据留置权（第89条定义）拥有公司股份担保权益的质押人，不应仅仅因为其仅由此类担保权益组成而成为本部的实际所有人。
(3) 如果一个信托的受托人最终拥有或控制（直接或间接，无论是单独或与另一个人或实体联合）超过了
就本部分而言，拥有某公司的股份或投票权的25%人，或有权对该公司或其管理层行使或实际行使控制权的人，是该公司的实际所有人--。
(a) 任何拥有或拥有超过信托财产资本的25%的实益权益的人。
(b)该信托的设立或运作是为了其主要利益的那一类人，除非该信托是专门为(a)项所述的人的利益而设立或运作；或
(c) 任何对该信托基金有控制权的人。
(4) 如果一个基金会最终拥有或控制（直接或间接，无论是单独或与另一个人或实体共同拥有）超过25%的公司股份或投票权，或以其他方式有权行使或实际行使对该公司或其管理层的控制权，就本部而言，该公司的实际所有人是-。
(a) 拥有基金会资产中超过25%的资本或拥有其实际权益的任何人。
(b) 基金会为其主要利益而设立或运作的群体，除非该基金会是专门为(a)项所述人员的利益而设立或运作的；或
(c) 任何对基金会有控制权的人。
(5) 就第(3)(c)和(4)(c)款而言，"控制权 "是指根据法律或信托契约或基金会契约或（视情况而定）条例，单独、与另一人共同或在另一人同意的情况下，--的权力。
(a) 处置、优惠、借出、投资、支付或应用信托或基金会的任何资产。
(b) 修改信托契约或信托的条款。
法规或条例。
(c) 增加或删除一个人作为受益人。
(d) 任命或罢免受托人、保护人或理事会成员；或
(e) 直接行使(a)、(b)、(c)或(d)段中提到的任何权力，但不同意或否决。
Translation for information only. Only the English original is legally binding.
Original wording (English, legally binding): Register of beneficial owners: definitions and interpretation
(1) In this Part —
owners: definitions and
„beneficial owner“ means, subject to subsections (2), (3) and (4), any
individual (excluding a nominee who acts on behalf of another) who in
respect of a company —
(a) ultimately owns (directly or indirectly and whether alone or
jointly with another person or entity) more than 25% of the shares
in the company;
(b) exercises (directly or indirectly and whether alone or jointly with
another person or entity) ultimate control over more than 25% of
the total voting rights of members in the company;
(c) is entitled (directly or indirectly and whether alone or jointly with
another person or entity) to appoint or remove a majority of the
directors of the company; or
(d) is otherwise entitled to exercise or actually exercises control over
the company or its management;
„listed company“ means —
(a) a company whose securities are listed on a recognised exchange;
or
(b) a company which is a subsidiary of a body corporate, partnership
or trust whose securities are listed on a recognised exchange;
„recognised exchange“ means —
(a) a securities exchange licensed under the Securities Act;
(b) a recognised overseas securities exchange as defined in the
Securities Act; or
(c) any other exchange that is a member of the World Federation
of Exchanges;
„register of beneficial owners“ in relation to a company, means the
register of beneficial owners referred to in section 356(1); and
„registrable particulars“ means, in relation to a company, the particulars
referred to in section 356(1)(a) to (d) inclusive.
(2) A pledgee with security interests in any shares in a company pursuant to
a pledge (as defined in section 89) shall not by reason only of such
security interests be a beneficial owner for the purposes of this Part.
(3) If the trustees of a trust ultimately own or control (directly or indirectly
and whether alone or jointly with another person or entity) more than
25% of the shares or voting rights in a company or are otherwise entitled
to exercise or actually exercise control over the company or its
management, for the purposes of this Part a beneficial owner of the
company shall be
(a) any individual who has or is entitled to a beneficial interest of
more than 25% percent of the capital of the trust‘s property;
(b) the class of persons in whose main interest the trust is formed
or operates except where the trust is formed or operates entirely
for the benefit of the individuals referred to in sub-paragraph
(a); or
(c) any individual who has control over the trust.
(4) If a foundation ultimately owns or controls (directly or indirectly and
whether alone or jointly with another person or entity) more than 25% of
the shares or voting rights in a company or is otherwise entitled to
exercise or actually exercises control over the company or its
management, for the purposes of this Part a beneficial owner of the
company shall be —
(a) any individual who has or is entitled to a beneficial interest of
more than 25% percent of the capital of the foundation‘s
property;
(b) the class of persons in whose main interest the foundation is
formed or operates except where the foundation is formed or
operates entirely for the benefit of the individuals referred to in
sub-paragraph (a); or
(c) any individual who has control over the foundation.
(5) For the purposes of subsections (3)(c) and (4)(c), „control“ means a
power, whether exercisable alone, jointly with another person or with the
consent of another person, by law or under the trust instrument or
foundation charter or regulations, as the case may be, to —
(a) dispose of, advance, lend, invest, pay or apply property of the
trust or foundation;
(b) vary the terms of the trust instrument or foundation‘s charter or
regulations;
(c) add or remove a person as a beneficiary;
(d) appoint or remove trustees, protectors or councillors, as the case
may be; or
(e) direct, withhold consent to or veto the exercise of a power
referred to in paragraph (a), (b), (c) or (d).
owners: definitions and
„beneficial owner“ means, subject to subsections (2), (3) and (4), any
individual (excluding a nominee who acts on behalf of another) who in
respect of a company —
(a) ultimately owns (directly or indirectly and whether alone or
jointly with another person or entity) more than 25% of the shares
in the company;
(b) exercises (directly or indirectly and whether alone or jointly with
another person or entity) ultimate control over more than 25% of
the total voting rights of members in the company;
(c) is entitled (directly or indirectly and whether alone or jointly with
another person or entity) to appoint or remove a majority of the
directors of the company; or
(d) is otherwise entitled to exercise or actually exercises control over
the company or its management;
„listed company“ means —
(a) a company whose securities are listed on a recognised exchange;
or
(b) a company which is a subsidiary of a body corporate, partnership
or trust whose securities are listed on a recognised exchange;
„recognised exchange“ means —
(a) a securities exchange licensed under the Securities Act;
(b) a recognised overseas securities exchange as defined in the
Securities Act; or
(c) any other exchange that is a member of the World Federation
of Exchanges;
„register of beneficial owners“ in relation to a company, means the
register of beneficial owners referred to in section 356(1); and
„registrable particulars“ means, in relation to a company, the particulars
referred to in section 356(1)(a) to (d) inclusive.
(2) A pledgee with security interests in any shares in a company pursuant to
a pledge (as defined in section 89) shall not by reason only of such
security interests be a beneficial owner for the purposes of this Part.
(3) If the trustees of a trust ultimately own or control (directly or indirectly
and whether alone or jointly with another person or entity) more than
25% of the shares or voting rights in a company or are otherwise entitled
to exercise or actually exercise control over the company or its
management, for the purposes of this Part a beneficial owner of the
company shall be
(a) any individual who has or is entitled to a beneficial interest of
more than 25% percent of the capital of the trust‘s property;
(b) the class of persons in whose main interest the trust is formed
or operates except where the trust is formed or operates entirely
for the benefit of the individuals referred to in sub-paragraph
(a); or
(c) any individual who has control over the trust.
(4) If a foundation ultimately owns or controls (directly or indirectly and
whether alone or jointly with another person or entity) more than 25% of
the shares or voting rights in a company or is otherwise entitled to
exercise or actually exercises control over the company or its
management, for the purposes of this Part a beneficial owner of the
company shall be —
(a) any individual who has or is entitled to a beneficial interest of
more than 25% percent of the capital of the foundation‘s
property;
(b) the class of persons in whose main interest the foundation is
formed or operates except where the foundation is formed or
operates entirely for the benefit of the individuals referred to in
sub-paragraph (a); or
(c) any individual who has control over the foundation.
(5) For the purposes of subsections (3)(c) and (4)(c), „control“ means a
power, whether exercisable alone, jointly with another person or with the
consent of another person, by law or under the trust instrument or
foundation charter or regulations, as the case may be, to —
(a) dispose of, advance, lend, invest, pay or apply property of the
trust or foundation;
(b) vary the terms of the trust instrument or foundation‘s charter or
regulations;
(c) add or remove a person as a beneficiary;
(d) appoint or remove trustees, protectors or councillors, as the case
may be; or
(e) direct, withhold consent to or veto the exercise of a power
referred to in paragraph (a), (b), (c) or (d).
