证监会

客户证券规则

问1:

根据这条的规定,中介人或有联系实体可以将客户证券或证券抵押品存放于核准保管人。

我怎样知道哪家公司或海外公司已根据第11条获得证监会核准?

答:

香港证券结算有限公司(作为中央结算系统的操作者)是目前唯一根据《客户证券规则》(以及已废除的《证券条例》第81、81A及121AB条)获证监会核准的保管人。

我们目前并无计划核准其他保管人,但如日后我们授予这项核准,我们将会循适当途径通知市场。

问2:

目前,中央结算系统参与者的客户往往不会等待系统完成重新登记程序便存入实物股份证书,以立即将其股份出售。

中介人执行有关指示后,便会将股份证书存于香港结算存管处,以便在T+2进行交收。然而,有可能在一至两个星期后,香港结算会通知有关中介人,指某些股份证书不获接纳进行过户。这意味着由于另一客户的股份被用作交收该名存放证书的客户的出售指示,有关中介人因而在技术上违反了第10(1)条的规定。

答:

根据第10(1)条的规定,中介人或有联系实体须采取合理步骤,以确保除非按《客户证券规则》第2部规定行事,否则不得处理客户证券及证券抵押品。

我们认为中央结算系统拒绝重新登记股份证书这种可能会不时出现的情况,实际上非中介人所能控制。对于如何确定中介人或有联系实体已经采取合理步骤以保护客户资产,将要视乎有关情况而定。然而,在个别情况下,只要中介人或有联系实体未曾获提醒有可能会发生拒绝登记的情况,则他们将很可能不会被视为未有采取合理步骤。不过,如有任何客户重复出现被拒绝登记的情况,我们会要求有关的中介人或有联系实体采取额外的监控措施,以免事件重演,例如透过要求客户事先出示原来买入有关股份的证明文件或首先存入有关的实物股份证书。

免责声明 Disclaimer statement

香港证券及期货事务监察委员会(简称证监会)于本网站免费提供一套繁简字体转换软件(该软件)。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任,亦不会就其品质及性能作出任何担保;尤其是在无损前述的一般性的原则下,证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。

证监会明确陈述,本会并无核准或认可本网站内容的简体中文版,以及对于本网站内容的简体中文版不承担任何责任或法律责任(不论是何种及如何引致的责任或法律责任)。证监会同时明确陈述,本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的,当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性,证监会不承担任何责任或法律责任。在任何情况下,使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容,并且应该在依赖本网站内容的简体中文版或根据其内容行事之前,就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。

如果你将证监会网站的简体中文版的内容或网址传送予第三者,你承诺会将本免责声明同时传送予该第三者,并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。

The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.

3.7161 s