证监会

豁除某等未获邀约的造访规则及《证券及期货条例》第174条

问1:

有关规定是否禁止向公众人士派发广告宣传资料?

答:

不是。然而,中介人应小心确保在派发过程中,除非接收人首先要求取得更多有关资料,否则中介人的职员或代理人不应与接收人就材料的内容进行互动式对话。

问2:

是否不得举办供公众人士参与的产品或服务推介活动(例如研讨会及讲座)?

答:

不是,这些活动并没有被禁止。不过,只有在参加者提出索取资料的要求的情况下(以任何形式均可),中介人才应作出跟进。如果参加者仅留下名片或联络办法资料,这并不构成为参加者邀请中介人对他作出造访或销售其产品或服务的明示邀请。

为免生疑问,中介人当然亦可以继续邀请过往的参加者出席其他活动。

问3:

中介人可否向公众人士提供财务策划服务而不会违反有关的禁止规定?

答:

可以。但除非客户特别提出要求,否则中介人不得利用这些机会向他们销售产品或服务。

问4:

我是获发牌进行证券交易及期货合约交易的中介人。如果我向只开立了证券帐户(或期货合约帐户)的客户提出有关出售期货合约(或证券)的要约,会否违反有关的禁止规定?

答:

不会。根据《证券及期货条例》第174条的规定,如果有关的“原有客户”在过去3年内,已和中介人订立客户合约或获中介人提供服务,而当中涉及的合约或服务构成受规管活动的话,中介人便可进行交叉销售。

然而,我们在此提醒注册机构,除非获它们提供杠杆式外汇交易服务或证券保证金融资服务的客户,就它们获注册进行的受规管活动(第3类及第8类除外)而言亦属于“原有客户”,否则注册机构不得向该等客户交叉销售证券或期货产品。

问5:

中介人可否推销与投资有关的保险产品或强积金计划?

答:

可以。但中介人不得就相关证券进行任何讨论(但传递若干事实资料,包括产品的组合结构(例如股本与债券的比例及不同地区的市场的分配比例等)则不在此限)。

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