若客戶識別信息並非與個人客戶(即自然人)有關,則根據《操守準則》第5.6A(p)段所規定,相關受規管中介人無須就在香港衍生工具市場投資者識別碼制度下向期交所或聯交所(視何者適用而定)及證監會轉交客戶識別信息一事,取得客戶同意。
若某個期貨/期權交易帳戶由兩名或以上的人士持有(例如聯名帳戶),則相關受規管中介人須向該等人士各自取得《操守準則》第5.6A(p)段所要求的客戶同意。
若客戶識別信息並非與個人客戶(即自然人)有關,則根據《操守準則》第5.6A(p)段所規定,相關受規管中介人無須就在香港衍生工具市場投資者識別碼制度下向期交所或聯交所(視何者適用而定)及證監會轉交客戶識別信息一事,取得客戶同意。
若某個期貨/期權交易帳戶由兩名或以上的人士持有(例如聯名帳戶),則相關受規管中介人須向該等人士各自取得《操守準則》第5.6A(p)段所要求的客戶同意。
在撤回同意之前發出及/或執行的交易指令不會受到該項撤回所影響。當客戶其後撤回同意後,相關受規管中介人不應向期交所或聯交所(視何者適用而定)提交該客戶的任何券商客戶編碼或客戶識別信息,以及只應就該客戶的現有未平倉合約輸入平倉指令(即該客戶可發出賣出指令以將其好倉平倉,或發出買入指令以將其淡倉平倉)。
儘管客戶其後就向期交所或聯交所(視何者適用而定)及證監會轉移其個人資料一事撤回同意,但已披露的券商客戶編碼及客戶識別信息在撤回同意後,仍將繼續會為所通知的目的而被儲存、處理、使用、披露或轉移。若證監會注意到某些客戶經常給予和撤回同意,證監會可能會向相關受規管中介人進行查詢,以了解有關行動的原因及情況。
有關範本的英文和中文版本,請分別參閱《同意通函》的附件(英文版)及《同意通函》的附件(中文版)。
不可以。如《同意通函》所載,客戶同意應以明示方式取得。
最後更新日期: 2026年9月30日
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