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E. 有關靜止帳戶的常见问题

問1 : 相关受规管中介人是否须每月进行审查,以识别静止帐户(即有关帐户自上次交易后24个月不活跃)及更新配对档案内的状况,以便提交券商客户编码?相关受规管中介人是否需要為这些静止帐户编配券商客户编码?

答: 配对档案不包含帐户的状态(即活跃/静止),因此相关受规管中介人在投资者识别码制度下无须匯报帐户的状态。

在实施投资者识别码制度前,当相关受规管中介人就向联交所及证监会转移个人资料一事寻求客户同意时,以及当相关受规管中介人更新客户的客户识别信息时,它应分别联络所有自然人相关客户(就取得同意而言)及所有相关客户(就更新客户识别信息而言),不论这些客户的帐户状态是活跃还是静止。

然而,若靜止客戶在實施投資者識別碼制度前未有提供客戶識別信息或給予同意(視何者適用而定),但擬在其帳戶重新啟動當日(即進行交易當日,T日)進行交易,那麼該名靜止客戶會獲給予若干靈活性。相關受規管中介人可在T日編配券商客戶編碼給靜止客戶,而包含該靜止客戶的更新客戶識別信息的配對檔案可在提交交易指令之前或之後提交至聯交所的數據资料库,但無論如何須在聯交所訂明及《香港交易所資料文件》所載的T日的截止時間之前提交。有關就靜止客戶提交配對檔案的詳情,請參閱《諮詢總結》第126至130段及《香港交易所資料文件》第8段。
 

最後更新日期: 2021年11月26日

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