证监会

客户款项规则

问1:

若由于经纪的错失、付款银行在汇款时出错或其他在持牌法团控制范围以外的未能预见的情况下,以致结算款项的转付受到阻延,有关持牌法团可否将本身的资金存入指定信讬帐户或客户帐户以缓解有关情况所带来的影响?

答:

维持独立信讬帐户的目的,是在持牌法团一旦无偿债能力时利便客户识别本身在帐户内的款项。因此,若允许持牌法团将一笔缓冲款项(属该持牌法团本身的资金)存入指定信讬帐户并与客户款项汇集起来,便会有违以上目的。根据该规则第10条的规定,持牌法团如察觉它在独立帐户内持有并非客户款项的款额,便须在1个营业日内从该帐户发放该款额。

无论如何,若持牌法团希望按时完成其代客户进行的交易的结算程序,但客户帐户因其他交易出现交收错误以致缺乏充足的现款,则有关持牌法团可考虑从其公司帐户中提取款项(或允许他人从中提取款项),以作为后备措施,只要适用于有关中介人的其他法例、规例或合约义务并不禁止该安排。

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