證監會

有聯繫實體

問1:

根據《證券及期貨條例》第165(3)條,除非獲證監會書面認可,否則中介人的有聯繫實體(屬認可財務機構者除外)除經營收取或持有客戶資產(不論該等資產是否代該中介人收取或持有)的業務外,不得經營任何其他業務。假如有聯繫實體本身也是持牌法團,是否也需要獲證監會的書面認可?

答:

假如有關的持牌法團通知證監會它已成爲另一中介人的有聯繫實體,便不需要根據《證券及期貨條例》第165(3)條另行申請認可。它仍可以其持牌法團的身分進行有關的受規管活動。

問2:

就屬於同一公司集團的實體而言,持牌法團(或註冊機構)可否就相同的資料更改事宜為其本身及為其他屬同一集團的實體作出《證券及期貨(有聯繫實體–通知)規則》所規定的通知?

答:

可以。就屬於同一集團的實體而言,持牌法團(或註冊機構)可以就某項相同的資料更改事宜為其本身及為其他屬同一集團的實體作出《證券及期貨(有聯繫實體–通知)規則》所規定的通知。所作的通知必須清楚說明該通知是代表哪一方作出的,而獲有關的持牌法團(或註冊機構)代為作出通知的實體亦須知悉此事。此外,通知內亦須提供必須的資料。這個原則亦適用於根據《證券及期貨(發牌及註冊)(資料)規則》作出的通知(請參閱第15.4段)。

問3:

如果某持牌法團(或註冊機構)亦屬於有聯繫實體,那麼就《證券及期貨(有聯繫實體–通知)規則》及《證券及期貨(發牌及註冊)(資料)規則》所規定的責任而言,該持牌法團可否就相同的資料更改事宜作出單一通知?

答:

可以。如某持牌法團(或註冊機構)亦屬於有聯繫實體,該持牌法團可就相同的資料更改事宜作出單一具報,但該項具報必須清楚說明是代表哪些身分而作出的。

問4:

如果某持牌法團亦屬於有聯繫實體,該持牌法團可否只呈交一份《證券及期貨條例》第156條所規定的財務報表及核數師報告?

答:

可以。本身為有聯繫實體的持牌法團可以只呈交一份該等文件,但所呈交的文件必須符合《證券及期貨(帳目及審計)規則》就持牌法團所作的規定,並且須說明該法團的身分。

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