證監會

就資本投資者入境計劃與金融中介機構有關的常見問題

問1:

持牌中介人就擔任資本投資者入境計劃 (“該計劃”) 之下的金融中介機構而言是否需要通過額外的審批程序?在資格方面有何要求?

答:

持牌中介人毋須就此申請批准。根據《證券及期貨條例》獲發牌進行第1類 (證券交易)、第4類 (就證券提供意見)及/或第9類 (提供資產管理)受規管活動的所有持牌法團均符合有關的資格。

問2:

若投資者不遵守該計劃的規定,金融中介機構是否要承擔任何責任?

答:

否。若投資者未有遵守該計劃的任何規定,入境事務處處長將直接與有關的投資者交涉。然而,如果金融中介機構未有履行有關客戶協議所訂的責任,便可能會使人質疑其繼續作為持牌人的適當人選資格,而證監會亦可能會對有關的中介人採取紀律處分行動。

問3:

可否在投資者的指定帳戶進行保證金(孖展)交易?

答:

否。投資者在指定帳戶內的所有投資一概不得以孖展形式進行交易。

問4:

若投資者擬將投資額增加至超過650萬港元的最低要求,他應該增加在指定帳戶的投資額還是就此開立另一帳戶?

答:

增加在指定帳戶的投資額並非可取的做法。由於在指定帳戶的650萬港元初步投資額是受到規限的,所以投資者就所增加的投資額而另行開立帳戶,可更靈活地處理本身的投資,例如在提取款項或甚至進行孖展交易方面而言。若他利用同一帳戶進行額外投資,有關的金融中介機構便須向入境事務處呈交另一份聲明,以交代其受有關規定所規限的投資額。

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