H. 有关多个券商客户编码的常见问题

问1 : 如一名客户在一家作为相关受规管中介人的银行维持一个私人银行证券交易帐户、一个零售银行证券交易帐户和一个联名证券交易帐户,是否须向该客户名下全部三个帐户编配同一个券商客户编码?

答: 如相关受规管中介人为同一客户维持多个证券交易帐户,它可选择向这名客户的不同帐户编配同一个券商客户编码,或不同的券商客户编码。

然而,一个(例如由陈先生及陈太太共同持有的)联名证券交易帐户与一个由陈先生本人持有的证券交易帐户,并不属于同一客户。因此,该联名帐户应获编配另一个券商客户编码,以作识别。就联名帐户而言,相关受规管中介人须编配券商客户编码予该帐户,而非帐户持有人。此联名帐户的券商客户编码应有别于联名帐户的任何持有人以自身名义在该相关受规管中介人持有的证券交易帐户所获编配的券商客户编码。包含该联名帐户的所有持有人的客户识别信息的配对档案,应由相关受规管中介人按该联名证券交易帐户获编配的券商客户编码提交予联交所。
 

问2 : 如一名客户在某相关受规管中介人持有一个证券交易帐户,并在另一名相关受规管中介人持有另一个证券交易帐户,该客户是否会有两个券商客户编码?该两名相关受规管中介人是否须互相查核,以对同一客户采用同一券商客户编码?

答: 是。一名客户在某相关受规管中介人的券商客户编码,可以与其在另一名相关受规管中介人的券商客户编码不同。相关受规管中介人无须互相查核,以便对同一客户编配同一券商客户编码。只要相关受规管中介人向其本身的客户编配一组独有的券商客户编码,而该券商客户编码符合《港交所资料文件》所载规定,则每个相关受规管中介人都可在编配券商客户编码时采用其本身的编码逻辑。

最后更新日期: 2021年11月26日

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