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幫助中心 > 操作指南 > 交易須知 > 香港投資者識別碼制度(HKIDR)及場外證券交易匯報制度(OTCR)

香港投資者識別碼制度(HKIDR)及場外證券交易匯報制度(OTCR)

2022-05-16 15:27:00

香港投資者識別碼制度 及 場外證券交易匯報制度 - 通知及徵求同意

 

香港證券及期貨監察委員會 (「證監會」) 將在交易層面上對香港證券市場實施投資者識別碼制度 (「香港投資者識別碼制度」) ,及為在香港聯合交易所有限公司(「聯交所」)上市的股份引入場外證券交易匯報制度 (「場外證券交易報制度」) 。在相關制度實施後,華盛資本証券有限公司(「華盛」)將須遵守香港投資者識別碼制度及/或場外證券交易匯報制度。

根據香港投資者識別碼制度,華盛須確保唯一的識別碼 (「券商客戶編碼」) 已編配給已經或擬就在聯易所的交易系統上市或買賣的證券發出(i)自動對盤交易指令或(ii)须根據聯交所規則向聯交所匯報的非自動對盤交易的相關客戶,並確保已向每名客戶取得最新的客戶識別信息 (「客戶識別信息」) ,連同客戶的券商客戶編碼一併提交予聯交所。

根據場外證券交易匯報制度,華盛須就有關在聯交所上市的普通股及房地產投資基金的若干活動,向證監會作出匯報。

為使華盛能遵守香港投資者識別碼制度及/或場外證券交易匯報制度,華盛需獲得閣下/貴公司就個人資料使用的同意及/或根據附件2所列的身份證明文件優先次序提供的最新客戶識別信息 (「文件優先次序」) 。

除非另有說明,在本文件附件裏所用的辭匯應和本函定義者一致。

 

1. 個人資料使用的同意 (附件1)  適用於所有個人客戶

如閣下為個人 (或作為受託人的個人),請小心審閱在本文件的附件1 — 個人資料使用同意書,並根據下文指示 登入華盛通APP回覆確認及同意 。

 

2. 更新客戶識別資訊 (附件2)  適用於所有客戶

如閣下/貴公司的客戶識別資信息有變更而並未通知華盛,或並未根據檔優先次序提交客戶識別信息,請簽署本文件的附件2 — 更新客戶識別信息表格及連同相關身份證明文件的副本(如適用),登入華盛通APP“資料上傳”提交 或 交回相關文档。

如閣下/貴公司的客戶識別信息沒有變更,或客戶識別信息有變更但已經通知華盛,且在以上兩種情況均按檔優先次序提供,則無需提交附件2。如華盛沒有在以下所訂的時限內收到閣下/貴公司已簽署及完成的附件2,華盛將假設自閣下/貴公司上次向華盛提供客戶識別信息以來,閣下/貴公司的客戶識別信息沒有變更,且閣下/貴公司已根據文档優先次序提交客戶識別信息,直至收到閣下/貴公司的進一步通知。


注:對於聯名賬戶,每個賬戶持有人均應簽署附件1 - 個人資料使用同意書。
閣下如未能向華盛提供個人資料或上述同意,可能意味著華盛不會或不能夠再 (視情況而定) 執行閣下的交易指示或向閣下提供證券相關服務,惟出售、轉出或提取閣下現有的證券持倉 (如有) 除外。

 

3. 建議於2022年7月31日通過下列方式回覆確認及/或更新識別信息

個人客戶

(1)登入華盛通APP系統(需更新至2.5.0版本並進入交易帳戶頁面)回覆確認同意及/或在“資料上傳”提交更新客戶識別信息

(2)如客戶未能通過華盛通APP系統完成確認同意及/或在“資料上傳”提交更新客戶識別信息,可以聯繫華盛客服熱線:(大陸)4007881390/(香港)+852 25084588

聯名賬戶

(1)郵寄或快遞至:
香港干諾道中168-200號信德中心招商局大廈28樓2808室華盛資本証券有限公司 (營運部收)

(2)或電郵至:cs@valuable.com.hk

 

未能提供個人資料或同意之後果

閣下如未能向華盛提供個人資料或上述同意,可能意味著華盛不會或不能夠再 (視情況而定) 執行閣下的交易指示或向閣下提供證券相關服務,惟出售、轉出或提取閣下現有的證券持倉 (如有) 除外。

如有任何疑問,請聯絡 閣下/貴公司的客戶經理或華盛的客戶服務熱線 (852) 2508 4588。

 

 

The Hong Kong Investor Identification Regime and the Over-the-counter Securities Transactions Reporting Regime – Notification and Consent Request

The Securities and Futures Commission (“SFC”) will implement an investor identification regime at trading level for the securities market in Hong Kong (“HKIDR”), and will introduce an over-the-counter securities transactions reporting regime (“OTCR”) for shares listed on The Stock Exchange of Hong Kong Limited (“SEHK”). Valuable Capital Limited (“VCL”) will be subject to the HKIDR and/or the OTCR upon implementation of the regimes.

Under the HKIDR, VCL would have to ensure that a unique identification code, namely the “Broker-to-Client Assigned Number” (“BCAN”), be assigned to the client who have placed or propose to place (i) an on-exchange order or (ii) a reportable off-exchange order, in securities listed or traded on SEHK’s trading system, and to ensure that up-to-date client identification data (“CID”) has been collected from the client and is submitted along with the client’s BCAN to SEHK.

Under the OTCR, VCL would be required to report to the SFC certain activities relating to ordinary shares and real estate investment trusts listed on SEHK.

In order for VCL to comply with HKIDR, OTCR and/or the FINI requirements, we are writing to obtain your consent to personal data processing and/or to request you to update your CID according to the order of priority on the identity document type set out in Appendix 2 (“Order of Priority”).

Unless otherwise specified, capitalized terms used in the appendices shall have the same meanings as those defined under this letter.

 

1. Consent to Personal Data Processing (Appendix 1) – For All Individual Clients

If you are an individual (including an individual acting as a trustee), please read carefully the Consent Letter for Personal Data Processing set out in Appendix 1 to this document, and  provide “consent” via VBrokers APP system.

 

2. Updates of CID (Appendix 2) – For All Clients

If there has/been change(s) to your CID which you have not yet notified VCL, or if you have not provided your CID according to the Order of Priority, please complete and sign the CID Update Form as set out in Appendix 2 to this document, and return the relevant documents (with the required copy of relevant identification document, if applicable) by provides of CID in “Data upload” of VBrokers APP.

You do not need to submit Appendix 2 if there is no change to your CID or there has/have been change(s) to your CID but have already notified VCL, in both cases where the CID was provided in accordance with the Order of Priority. VCL shall assume that your CID remains unchanged and you have provided your CID according to the Order of Priority since you last updated your CID with VCL if VCL do not receive your completed and signed Appendix 2 in accordance with the timeline below, until your further notice.

 

For joint accounts, each individual account holder is required to sign the Consent to Personal Data Processing (Appendix 1)
Failure to provide VCL with your personal data or consent as described above may mean that VCL will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

 

3. Please provide the “consent” and/or updating CID on or before 31 July 2022 in the following manners:

Individual Clients

(1)Log in to the VBrokers APP (version of 2.5.0)system to provide “consent” and/or provides the CID in “Data upload”

(2)If  failed to complete the confirmation and approval through VBrokers APP system and/or submit the update of customer identification information through "data upload", you can contact the customer service hotline of  VCL :(MAINLAND) 4007881390/(HONG KONG)+852 25084588

 joint accounts

(1)By post or courier delivery to:

Valuable Capital Limited (Attn to: Operation Department)Room 2808, 28/F, China Merchants Tower, Shun Tak Centre, 168-200 Connaught Road Central, Hong Kong;

(2)Or by email to: cs@valuable.com.hk

 

Consequences of Failing to Provide Personal Data or Consent

Failure to provide VCL with your personal data or consent as described above may mean that VCL will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

If you have any enquiries regarding the above, please do not hesitate to contact your designated Account Executive or our Customer Services Hotline at (852) 2508 4588.

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