E. 有关静止帐户的常见问题

问1 : 相关受规管中介人是否须每月进行审查,以识别静止帐户(即有关帐户自上次交易后24个月不活跃)及更新配对档案内的状况,以便提交券商客户编码?相关受规管中介人是否需要为这些静止帐户编配券商客户编码?

答: 配对档案不包含帐户的状态(即活跃/静止),因此相关受规管中介人在投资者识别码制度下无须汇报帐户的状态。

在实施投资者识别码制度前,当相关受规管中介人就向联交所及证监会转移个人资料一事寻求客户同意时,以及当相关受规管中介人更新客户的客户识别信息时,它应分别联络所有自然人相关客户(就取得同意而言)及所有相关客户(就更新客户识别信息而言),不论这些客户的帐户状态是活跃还是静止。

然而,若静止客户在实施投资者识别码制度前未有提供客户识别信息或给予同意(视何者适用而定),但拟在其帐户重新启动当日(即进行交易当日,T日)进行交易,那么该名静止客户会获给予若干灵活性。相关受规管中介人可在T日编配券商客户编码给静止客户,而包含该静止客户的更新客户识别信息的配对档案可在提交交易指令之前或之后提交至联交所的数据资料库,但无论如何须在联交所订明及《香港交易所资料文件》所载的T日的截止时间之前提交。有关就静止客户提交配对档案的详情,请参阅《谘询总结》第126至130段及《香港交易所资料文件》第8段。
 

最后更新日期: 2021年11月26日

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