證監會

客戶款項規則

問1:

若由於經紀的錯失、付款銀行在匯款時出錯或其他在持牌法團控制範圍以外的未能預見的情況下,以致結算款項的轉付受到阻延,有關持牌法團可否將本身的資金存入指定信託帳戶或客戶帳戶以緩解有關情況所帶來的影響?

答:

維持獨立信託帳戶的目的,是在持牌法團一旦無償債能力時利便客戶識別本身在帳戶內的款項。因此,若允許持牌法團將一筆緩衝款項(屬該持牌法團本身的資金)存入指定信託帳戶並與客戶款項匯集起來,便會有違以上目的。根據該規則第10條的規定,持牌法團如察覺它在獨立帳戶內持有並非客戶款項的款額,便須在1個營業日內從該帳戶發放該款額。

無論如何,若持牌法團希望按時完成其代客戶進行的交易的結算程序,但客戶帳戶因其他交易出現交收錯誤以致缺乏充足的現款,則有關持牌法團可考慮從其公司帳戶中提取款項(或允許他人從中提取款項),以作為後備措施,只要適用於有關中介人的其他法例、規例或合約義務並不禁止該安排。

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