经修订的操守准则

问1 : 为遵守《操守准则》附表5第5(b)段,持牌法团应如何计算银行信贷融通的信贷总额度?

答:

《操守准则》附表5第5(b)段所指的银行信贷融通的信贷总额度为以下数额的总和:

  • 所有无抵押的银行信贷融通的信贷额度;及
  • 以下两个数额中的较低者
    1. 所有有抵押的银行信贷融通的信贷额度;及
    2.  该等银行按照已抵押予该等银行的保证而愿意借出的总额。

持牌法团亦可把以下数额列作为银行信贷融通的信贷总额度的一部分:

  • 该等银行愿意以属于该持牌法团而尚未被抵押予该等银行的上巿证券作为抵押品而借出的数额;
  • 该等银行愿意以该持牌法团根据《证券及期货(客户证券)规则》的再质押上限而获容许可以再质押但并未如此再质押的客户的证券抵押品而借出的数额。

问2 : 假如一家持牌法团有再质押证券抵押品的做法,但在某一特定日子却没有再质押证券抵押品,则该持牌法团在当日为新保证金客户开立帐户时是否须通知该客户其有再质押的做法?

答:

是,不论有再质押做法的持牌法团是否有在该特定日子再质押证券抵押品,其为新保证金客户开立帐户时都应通知该客户有该做法。

问3 : 假如一家持牌法团有再质押证券抵押品的做法,但在某一(些)特定日子却没有再质押证券抵押品,则该持牌法团是否须就其再质押状况的短期改变而通知其客户?

答:

该持牌法团无须通知客户其由有再质押的状况转为没有再质押的状况的短期改变。然而,假如该持牌法团过去曾(直接或间接)通知客户,表示其并无再质押或已不再再质押客户的证券抵押品,便须在其开始再质押或恢复再质押时,在切实可行的范围内尽快通知其所有客户。

问4 : 持牌法团应以何种方式通知客户其有再质押的做法?

答:

《操守准则》并无订明向客户传达该资料的特定方式,但持牌法团应备存有关传达该资料的充分审计线索(例如在开户表格内注明已传达该资料的文件纪录)。

问5 : 假如持牌法团不再再质押客户的证券抵押品,是否须通知保证金客户?

答:

不。《操守准则》并无此项规定。

最后更新日期: 2006年9月28日

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