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認可對手方規則

問1 : 在《證券及期貨條例》生效之後,目前獲證監會指定為認可對手方的人士會否繼續保留認可對手方的資格?

答:

不會。目前的身分將會隨著《證券及期貨條例》的實施而自動失效。機構假如能符合《證券及期貨條例》或該規則內所載或指明的任何準則,便會自動符合資格成為認可對手方。

問2 : 認可對手方是否包括符合作為認可對手方的銀行的分行?

答:

是,只要該銀行是在指明的司法管轄區內註冊成立,以及受到指明的銀行監管機構監管,其任何分行都會自動符合資格成為認可對手方。

問3 : 機構如何根據該規則第3(e)條獲指明為認可對手方?

答:

該機構可以根據該規則第3(e)條向證監會申請指明為認可對手方。請注意,如要作出有關指明,便需修改附屬法例,及經過立法會不反對或不提出修訂即屬通過的議決程序。因此,申請人應為指明程序預留一些時間。

最後更新日期: 2003年3月17日

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