麻豆传媒

     WeChat    警示名单
经修订的操守準则

問1 : 為遵守《操守準则》附表5第5(产)段,持牌法团应如何计算银行信贷融通的信贷总额度?

答:

《操守準则》附表5第5(产)段所指的银行信贷融通的信贷总额度為以下数额的总和:

  • 所有无抵押的银行信贷融通的信贷额度;及
  • 以下两个数额中的较低者
    1.?所有有抵押的银行信贷融通的信贷额度;及
    2. ?該等銀行按照已抵押予該等銀行的保證而願意借出的總額。

持牌法团亦可把以下数额列作為银行信贷融通的信贷总额度的一部分:

  • 该等银行愿意以属於该持牌法团而尚未被抵押予该等银行的上巿证券作為抵押品而借出的数额;
  • 该等银行愿意以该持牌法团根据《证券及期货(客户证券)规则》的再质押上限而获容许可以再质押但并未如此再质押的客户的证券抵押品而借出的数额。

問2 : 假如一家持牌法團有再質押證券抵押品的做法,但在某一特定日子卻沒有再質押證券抵押品,則該持牌法團在當日為新保證金客戶开立帐户時是否須通知該客戶其有再質押的做法?

答:

是,不論有再質押做法的持牌法團是否有在該特定日子再質押證券抵押品,其為新保證金客戶开立帐户時都應通知該客戶有該做法。

問3 : 假如一家持牌法团有再质押证券抵押品的做法,但在某一(些)特定日子却没有再质押证券抵押品,则该持牌法团是否须就其再质押状况的短期改变而通知其客户?

答:

该持牌法团无须通知客户其由有再质押的状况转為没有再质押的状况的短期改变。然而,假如该持牌法团过去曾(直接或间接)通知客户,表示其并无再质押或已不再再质押客户的证券抵押品,便须在其开始再质押或恢復再质押时,在切实可行的范围内尽快通知其所有客户。

問4 : 持牌法团应以何种方式通知客户其有再质押的做法?

答:

《操守準则》并无订明向客户传达该资料的特定方式,但持牌法团应备存有关传达该资料的充分审计线索(例如在开户表格内註明已传达该资料的文件纪录)。

問5 : 假如持牌法团不再再质押客户的证券抵押品,是否须通知保证金客户?

答:

不。《操守準则》并无此项规定。

最後更新日期: 2006年9月28日

我们使用肠辞辞办颈别蝉来改善网站性能和用户体验。如果你继续使用本网站及相关服务,则表示你同意其使用。详细了解我们的隐私政策声明
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叁者,你承诺会将本免责声明同时传送予该第叁者,并保证该第叁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 麻豆传媒 (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.