证监会

网上平台应提供的最低限度资料及警告声明

以下列表并非详尽无遗,旨在举例说明中介人应以易于理解的方式提供有关复杂产品的最低限度资料。中介人为遵从《网上分销及投资谘询平台指引》第6.7段及《证券及期货事务监察委员会持牌人或注册人操守准则》第5.5段,应参阅本列表。

  1. 产品的性质,例如可转换股票、期权、债券、基金、结构性产品;
  2. 复杂产品的主要条款及特点,例如就债券而言:(i) 债券类别;(ii) 信贷资料;(iii) 票息及派息次数;(iv) 到期日;(v) 特点;和就结构性产品而言:(i) 产品类别,例如股票挂钩投资、股票挂钩票据、信贷挂钩票据;(ii) 到期日;(iii) 产品的条款及条件可能作出的任何调整;(iv) 投资者对抵押品的权利(如有);
  3. 复杂产品是否只供专业投资者买卖;
  4. 复杂产品的主要风险,例如是否存在损失大于投资金额的风险;
  5. 结构性产品的最坏情况分析;
  6. 潜在利益是否有上限或限制;
  7. 复杂产品是否保本;
  8. 是否有提早终止的特点;
  9. 提早赎回的任何罚则;及
  10. 该复杂产品是否有第二市场。

以下列表说明中介人应作出的警告声明类别(如适用)。中介人为遵从《网上分销及投资谘询平台指引》第6.8段及《证券及期货事务监察委员会持牌人或注册人操守准则》第5.5段,应参阅本列表。

  1. 一份表明该产品是复杂产品及投资者应就该产品审慎行事的警告声明。
  2. 一份表明投资者或会蒙受大于投资金额的损失的警告声明(如适用)。
  3. 就发行人提供未经证监会审阅的要约文件或资料的复杂产品而言,应作出警告声明,表明相关要约文件未经证监会审阅,及投资者应就该要约审慎行事。
  4. 就被形容为已获证监会认可的复杂产品而言,应作出警告声明,表明该认可不表示获得官方推介或证监会认可不等如对该产品作出推介或认许,亦不是对该产品的商业利弊或表现作出保证。
  5. 如提供过往业绩资料,应作出警告声明,表明往绩并非预测日后业绩表现的指标。
  6. 就只供专业投资者买卖的复杂产品而言,应作出警告声明,表明该产品只供专业投资者买卖。

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