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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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一、自首的的概念和意义　　
自首是指犯罪分子犯罪以后自动投案，如实供述自己罪行的行为，或被采取强制措施的犯罪嫌疑人、被告人和正在服刑的犯罪，如实供述司法机关还未掌握的本人其它的犯罪行为。自首的本质特征在于犯罪嫌疑人的悔罪，它与违背犯罪人意志的被动归案，及归案后的坦白行为，具有本质的差别。正是这种差别，表明自首犯的人身危险性相对较轻。由自首的本质及所反映的危险性的特征出发，我国刑法根据惩办与宽大相接合的原则设置了自首制度，并确定了自首从宽的原则。我国刑法设置自首制度及惩办与宽大相结合的刑罚裁量制度，表明我国刑法在报应的基础上追求刑罚效果，即通过自首从宽原则实施感化犯罪分子主动投案，鼓励改过自新，分化瓦解犯罪势力，获得有利于国家、社会的预防犯罪的效果。　　
二、自首的种类即构成条件　　
根据刑法典第67条的规定，自首分一般自首和余罪自首两种。一般自首是指犯罪分子犯罪以后自动投案，如实供述自己的罪行的行为。余罪自首是指被采取强制措施的犯罪嫌疑人、被告人和正在服刑的罪犯如实供述司法机关还未掌握的本人其他罪行的行为。根据刑法典第67条第1款的规定，成立一般自首必须具备以下条件：　　
（一）自动投案　　所谓自动投案，是指犯罪分子在犯罪之后，归案之前，出于本人的意志而自愿置于司法机关的控制之下，等待进一步交待犯罪事实，接受审判的行为。这种行为有三个方面的限制性：　　
第一，自首时间上的限定性。投案行为必须发生在犯罪人尚未归案前。这是犯罪人自动供述自已罪行还是坦白罪行的重要标志之一，投案行为通常实行于犯罪分子犯罪之后犯罪行为尚未被发现之前，或者犯罪事实虽然已被司法机关发觉，但犯罪人尚未被发觉以前或者犯罪事实和犯罪分子均已被发觉。而司法机关尚未对犯罪分子进行询问或者采取强制措施之前。其中犯罪分子正在自首途中或在积极准备自首抓获或犯罪人已知道司法机关人员在其家守候而主动回到家中或因形迹可疑被盘问，而主动交待自己罪行的，应视为自首。　　
第二，犯罪人主观意志上的主动性。犯罪分子必须是基于本人的主观意愿而自动归案，这是认定自动投案是否成立的关健条件。而要认定是否自动投案要把握犯罪分子投案动机的多样性：有的出于真诚悔罪，有的慑于法律的威严，有的为了争取宽大，有的潜逃在外生活无着落，等等。但不同的动机并不影响归案的自动性。同时还要看是否处于迫不得已而违背意愿。犯罪分子被围追堵截，无处藏身、走投无路，迫不得已向有关人员和组织交待自已的罪行，由于是被迫的，只能视为坦白，不能以自首论。如李某杀人逃跑，被公安机关包围在一个小树林，李某自知法藏身，便说：“不要开枪，我自首”。这种情况李某是迫不得已的坦白。　　实践中有的犯罪分子投案，其自动程度差异很大，但只要不违背犯罪分子的主观意愿，也应视为投案如：　　（1）托人代言。犯罪分子本人没有亲自向有关机关投案，而是别人代替他投案，一般情况下犯罪分子应亲自供述自已的罪行，可在特殊情况下：如病重、瘫痪、受重伤、抢救被害人、保护现场、救火等，因而委托他人代为投案，或者信电投案，查证委托属实的，应视为投案。这种投案能否成立，关键在于代替者是否受犯罪人委托，或是否征得犯罪人的同意。如果只是怕亲友被重判，背着犯罪人，或不顾犯罪人的反对，只能是检举告发，不能认为投案。　　（2）陪送投案。有的犯罪人在犯罪之后，想去投案又顾虑重重，父母亲友担心其逃匿他乡或自杀而陪送其投案；这种情况下，犯罪人心虽然不坚定，但投案仍出于他自己的意愿，虽有人陪送，但人身没有受到强制，仍应看作是出自犯罪人的自愿和主动，以投案论。　　（3）怕而投案。犯罪人犯罪以后，有的怕被重判，怕别人告发，怕同案犯检举把罪责加给自己，有的受同案犯威逼，怕不去投案为同伙承担罪责，将招致杀生之祸而投案。这些情况，惧怕只是一种精神状态，其意志仍是自由的，投案是出于自己的意愿。虽然他们存在着不同的压力，有被迫之感，但这与被四面围困，迫不得已有根本不同。从主观意志上看，其供述是自愿和主动的，应认定为自动投案。当然如果犯罪分子投案的目的是为包庇同伙，应当别论。　　
第三，自动投案的对象和具体性条件，犯罪分子必须向有关机关或个人承认自己实施了特定的犯罪。一般要求犯罪分子直接向公安机关、检察机关、或审判机关投案。对于犯罪分子本人向其所在单位、城乡基层组织或其他党政机关有关负责人投案的，只要投案人认为他们会向有关部门报告，自己将会被追究刑事责任即可。尽管实际上没有报告，也应认为是投案。　　
（二）如实供述自己的罪行　　犯罪分子投案后，只有如实供述自己的罪行，才能足以证明其悔罪服法，如实供述自己的罪行是自首成立的基本条件。　　如实供述自己的罪行，并不要求犯罪人全部彻底的交待犯罪所有情节，而是要如实交待主要犯罪事实，也就是影响定罪量刑的主要犯罪事实和情节。把握这一条件，应注意三个方面：　　1、投案人所交待的必须是犯罪事实，投案人因法律认识错误而交待违法或违反道德规范行为的事实不构成自首；反之，投案人交待自己的犯罪行为，因认识错误当成合法行为应构成自首，如将过失伤人当成正当防卫。　　2、投案人交待的必须是自己的犯罪事实，也即自己实施并由本人承担刑事责任的罪行。投案人交待的犯罪，即可以是一罪，也可以是数罪；即可以是单独实施的也可以是共同实施的。共同犯罪中，由于犯罪人所起的作用不同，要求供述的内容也不同，根据刑法规定，各种共同犯罪人自首时所要供述的自己的罪行的范围，与其在共同犯罪中所起的作用和具体分工相适应。　　（1）主犯应供述罪行的范围。主犯分首要分子和其他主犯。其中首要分子必须供述的罪行包括其组织、策划、指挥作用所及或支配下的全部罪行；其他主犯必须供述在首要分子的组织、策划、指挥作用的支配下单独实施的共同犯罪行为，以及与其他共同犯罪人共同实施的犯罪行为，因为这些犯罪活动是由其策划、组织、指挥的，即使他自己没有亲自实施，那也是分工不同。　　（2）从犯应供述的罪行范围。从犯分为次要的实行犯和帮助犯。次要实行犯应供述的罪行，包括犯罪分子自己实施的犯罪，以及与自己共同实施所犯罪的主犯和胁从犯的犯罪行为；帮助犯应供述的罪行，包括自己实施的帮助行为，及所帮助的实行犯的行为。　　（3）胁从犯应供述罪行的范围。包括自己在被胁迫情况下实施的犯罪，及所知道的胁迫自己犯罪的胁迫人所实施的犯罪行为。　　（4）教唆犯应供述罪行的范围。包括自己教唆行为，及所了解的被教唆人产生犯罪意图后实施的犯罪行为。　　
总之在共同犯罪中，犯罪嫌疑人除如实供述自己的罪行，还应供述自己所知道的同案犯。主犯则应当供述所知其他同案犯的共同犯罪事实才能认定自首。　　3、投案人必须如实供述所犯罪行。即犯罪分子应按实际情况彻底交待所实施的全部罪行。如果由于主客观因素的影响，犯罪人只能如实供述自己的主要或基本犯罪事实，也应视为如实供述。如果犯罪人在交待中避重就轻、虚构减轻罪责的情节或利用自首推卸罪责，包庇掩护同伙那就是交待失真，假自首。 一人犯数罪，其中有重罪也有轻罪，犯罪人只供述其中一罪或数罪，正确认定数罪的自首，关键在于判断犯罪人是否如实供述了所犯数罪。若所犯数罪为异种数罪，其供述的犯罪成立自首，其未供述的犯罪不成立自首；若所犯数罪为同种数罪，则应根据犯罪人所供述犯罪的程度，决定自首成立范围。其中犯罪人所供述的犯罪与未供述的犯罪在性质、情节、社会危害程度等方面大致相当的，只认定所供述之罪成立自首，自首的效力同样仅及于如实供述之罪，犯罪人确实由于主客观原因，只供述所犯数罪中主要或基本罪行，应认定为全案成立自首　　（三）自愿接受国家的审查和裁判　　刑法规定：“犯罪后自动投案，如实交待自己罪行的，是自首。”从形式上看，接受审查和裁判似乎不是成立要件，但从自首制度设立的目的来看，犯罪分子犯罪以后对自己行为应负的法律责任，必须自愿承担法律后果，就是犯罪人愿意为自己的行为负责，包括接受审查和裁判，这是自首的重要特性，是检验犯罪人真假自首的重要条件。　　犯罪分子自动投案后，必须听候、接受司法机关的侦查、起诉和审判，不能逃避，才能最终成立自首。犯罪人犯罪后将自己人身置于司法机关的控制下，是其悔罪的具体表现，也是国家对其从宽处理的重要根据。犯罪人归案后，无论在刑事诉讼的侦查阶段、起诉阶段，还是审判阶段逃避司法机关的现实控制，都是不接受国家审查和裁判的行为，不能成立自首。自愿接受国家的审查和裁判，要注意四个方面的问题：　　1、犯罪人自动投案并供述后又隐藏、脱逃的；或翻供，意图逃避制裁；或委托他人代为自首而本人拒不到案的；等等都属于拒不接受国家审查和裁判的行为。　　2、犯罪分子自动投案并如实供述罪行后，为自己进行辩护，或者提出上诉，或者更正某些事实，这都是法律赋予被告人的权利，应当允许，不能视为拒不接受国家审查和裁判。　　3、实践中，有的犯罪人匿名将赃物送回司法机关或者原主处，或者用其他方式指出赃物所在。此类行为并没有将自身置于司法机关的控制这下，没有接家国家审查和裁判的诚意，因而不能成立自首。　　4、投案自首后被取保候审期间又犯新罪的，如果其所犯新罪与前罪属不同种罪，前罪由于齐备了自首条件而成立，但在量刑时应依法不予从轻处罚；如所犯新罪与前罪属同种罪，则属连续犯，自然不能视为自首。　　根据刑法典第67条第2款的规定，“被采取强制措施的犯罪嫌疑人、被告人和正在服刑的罪犯，如实供述司法机关还未掌握的本人其他罪行，以自首论”。从而确定了余罪自首制度。余罪自首是自首的一种特殊形式。一般自首与余罪自首区别在于自首的时间、场合和是否自动投案，也即犯罪人是否自觉地投入刑事诉讼活动中，自动投案是以犯罪分子具有人身自由为前提的，而已被采取强制措施的犯罪嫌疑人、被告人和正在服刑的罪犯，其人身自由已受到司法机关的控制，便无从谈起自动投案的问题，但就自首的本质的特征来看，即就犯罪人自愿悔罪，愿意承担法律后果，犯罪人向司法机关供述尚未被掌握的其他犯罪行为，对于后罪来讲，在一定意义也是自动投案。　　成立余罪自首，除应符合成立一般自首的相应条件外，还必须具备如下条件：　　1、成立余罪自首的主体必须是被采取强制措施的犯罪嫌疑人、被告人和正在服刑罪犯。　　2、必须如实供述司法机关还未掌握的本人其他罪行。这是成立余罪自首的关键性条件。　　
三、自首犯的刑事处罚原则　　我国刑法第67条第1款规定：“对于自首的犯罪分子，可以从轻或者减轻处罚。其中，犯罪较轻的，可以免除处罚。”第68条第2款规定：“犯罪后自首又有重大立功表现的，应当减轻或者免除处罚”，我国刑法的这个规定是比较科学的，其一，贯彻了罪刑相适的原则。对犯罪的处罚，最基本的是看犯罪的性质和对社会的危害程度，犯罪人犯罪后的表现，如认罪态度、悔罪程度等，不能因自首而不分罪行轻重一律减免，否则就有损法律的严肃性。我国刑法对犯罪以后自首的不但作了可以从轻或减轻和免除的规定，而且还区分罪行较轻和罪行较重予以不同的处罚。其二，实事求是，符合实际。犯罪人的情况各异，所犯罪行不同，自首的动机也十分复杂，悔罪程度差异很大，自首后绝对从轻、减轻或者免除处罚，就不能适应这些复杂情况，对犯罪分子就很难起到惩罚和教育的作用，因此我国刑法采取相对从轻、免除原则，对自首的犯罪分子不是必须从轻、减轻或免除处罚，符合自首的复杂情况，有利充分发挥自首制度打击犯罪教育犯罪人、感召犯罪分子走自首之路，悔过自新的作用。　　（一）犯罪以后自首的，可以从轻或者减轻处罚　　犯罪以后自首的，可以从轻或者减轻处罚，这是处理犯罪后自首的一般规定，是处罚总原则。首先，对于犯罪后自首的犯罪分子，无论罪行轻重都可以从轻或者减轻处罚，因为自首从宽政策可以分化瓦解犯罪分子，打击犯罪活动，但是并都要一律从轻或者减轻处罚，对于极少数罪行特别恶劣的犯罪分子，也可以不从轻或减轻处罚。其次对自首的犯罪分子是从轻还是减轻要综合案件的各方面，全面考虑。在下列情况下，对自首的犯罪分子一般应考虑从轻或减轻处罚：1、犯罪不是特别严重或情节不是特别恶劣，从全案分析不存在法定或酌定的加重情节；2、犯罪人主观恶性不深，比较容易改造；3、犯罪人自首比较主动、悔罪比较明显，交待罪行属实，反之，不能从轻或者减轻处罚。　　（二）对于犯罪较轻的自首的犯罪分子，可以免除处罚　　所谓犯罪较轻，就是暂且不考虑犯罪人的情况和他犯罪以后认罪态度、是否自首等情况，只根据其犯罪事实、犯罪性质、情节及其对会的危害程度，应当判处三年有期徒刑以下的犯罪。犯罪较轻的“可以”而不是应当减轻或者免除处罚，能否免除处罚，除了看自首的犯罪分子所自首的犯罪是否较轻外，还要看自首的犯罪分子是否悔罪。犯罪人自首后，要免除处罚，必须具备两个条件：一是所自首的犯罪必须具备较轻的客观条件；二是自首的犯罪分子必须具备悔罪的主观条件。如不具备主、客观条件的可以减轻处罚。
（三）对犯罪后自首又有重大立功表现的，应当减轻或者免除处罚　　对于自首又立功的，依法“应当”减轻或免除处罚，“应当”表明只能无条件的遵照执行，没有灵活性，审判机关必须对他减轻或免除处罚。

北安市人民法院--崔文茂