证监会

就资本投资者入境计划与金融中介机构有关的常见问题

问1:

持牌中介人就担任资本投资者入境计划 (“该计划”) 之下的金融中介机构而言是否需要通过额外的审批程序?在资格方面有何要求?

答:

持牌中介人毋须就此申请批准。根据《证券及期货条例》获发牌进行第1类 (证券交易)、第4类 (就证券提供意见)及/或第9类 (提供资产管理)受规管活动的所有持牌法团均符合有关的资格。

问2:

若投资者不遵守该计划的规定,金融中介机构是否要承担任何责任?

答:

否。若投资者未有遵守该计划的任何规定,入境事务处处长将直接与有关的投资者交涉。然而,如果金融中介机构未有履行有关客户协议所订的责任,便可能会使人质疑其继续作为持牌人的适当人选资格,而证监会亦可能会对有关的中介人采取纪律处分行动。

问3:

可否在投资者的指定帐户进行保证金(孖展)交易?

答:

否。投资者在指定帐户内的所有投资一概不得以孖展形式进行交易。

问4:

若投资者拟将投资额增加至超过650万港元的最低要求,他应该增加在指定帐户的投资额还是就此开立另一帐户?

答:

增加在指定帐户的投资额并非可取的做法。由于在指定帐户的650万港元初步投资额是受到规限的,所以投资者就所增加的投资额而另行开立帐户,可更灵活地处理本身的投资,例如在提取款项或甚至进行孖展交易方面而言。若他利用同一帐户进行额外投资,有关的金融中介机构便须向入境事务处呈交另一份声明,以交代其受有关规定所规限的投资额。

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