证监会

总论

问1:

很多经纪行在星期六都是不办公的,但在《证券及期货条例》里,“营业日”的定义明确地包括星期六。由于很多规则都规定必须在1个营业日内遵从,否则即属犯罪,及会被判处巨额罚款及监禁,因而为这些商号带来严重的合规问题。

答:

我们接受很多经纪行在星期六都是不办公的,而我们亦不打算要求它们改变这种做法。

另一方面,我们不想将星期六从“营业日”的定义中删去,因为有部分规则同时适用于注册机构及就其他受规管活动类别而获发牌的法团,而这些机构及法团在星期六是办公的。

因此,我们在考虑某商号有否遵从有关规则时,会顾及到其是否在星期六办公。

问2:

很多规则都规定客户必须以书面方式给予指令或作出授权。就这方面而言,以图文传真方式作出的指示会否被接纳?

答:

会。只要以图文传真方式作出的指示载有客户的书面签署,便会获得接纳。

尽管如此,我们仍要求商号设立监控措施,以减轻可能因为以书面原文以外的途径而进行的通讯方式所产生的任何风险,例如核实客户的签署,及使用专供交收职员使用的传真机。如果商号获悉情况有异,应该索取书面原文以供纪录。

问3:

很多规则都规定客户必须以书面方式给予指令或作出授权。假如网上收到的客户指示已配备常见的密码及私人密码的组合,以确保保安不会出现问题,证监会会否接受此种指示?

答:

由于这种做法已在市场上广泛应用,只要不会因不同的沟通方式而影响到指示的真确性,我们会将透过密码及私人密码而得到核证的指示等同为书面指示。

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