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成交单据、户口结单及收据规则
(问1于2020年9月29日更新)

问1 : 如中介人向客户提供有关文件的方式,是让客户透过中介人网站取览有关文件,这种做法是否符合《成交单据规则》第17条的规定?

答: 《成交单据规则》第17条并没有指明应如何向客户提供有关文件。证监会目前的政策立场是,只要(a)中介人已就以这种提供交易文件的方式代替《证券及期货条例》第400条指明为符合就该条例的目的送达任何文件的规定的其他送达方式(例如专人交付、邮寄、电子邮递传送等),取得客户明确和可予撤销的同意,及(b)设有营运保障措施,以确保给予客户足够通知和让客户有充分机会取览交易文件,则就《成交单据规则》第17条的目的而言,让客户透过中介人的网站来取览交易文件,是可以接受的。

证监会于2020年9月29日发出的通函(SFC/IS/035/2020)载有一份已更新的营运措施一览表,列出本会认为在确保遵从《成交单据规则》的精神方面属恰当及必需的措施。该通函载于
https://apps.sfc.hk/edistributionWeb/gateway/TC/circular/intermediaries/supervision/doc?refNo=20EC61

参考条文:17

最后更新日期: 2020年9月29日

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