證監會

客戶證券規則

問1:

根據這條的規定,中介人或有聯繫實體可以將客戶證券或證券抵押品存放於核准保管人。

我怎樣知道哪家公司或海外公司已根據第11條獲得證監會核准?

答:

香港證券結算有限公司(作為中央結算系統的操作者)是目前唯一根據《客戶證券規則》(以及已廢除的《證券條例》第81、81A及121AB條)獲證監會核准的保管人。

我們目前並無計劃核准其他保管人,但如日後我們授予這項核准,我們將會循適當途徑通知市場。

問2:

目前,中央結算系統參與者的客戶往往不會等待系統完成重新登記程序便存入實物股份證書,以立即將其股份出售。

中介人執行有關指示後,便會將股份證書存於香港結算存管處,以便在T+2進行交收。然而,有可能在一至兩個星期後,香港結算會通知有關中介人,指某些股份證書不獲接納進行過戶。這意味著由於另一客戶的股份被用作交收該名存放證書的客戶的出售指示,有關中介人因而在技術上違反了第10(1)條的規定。

答:

根據第10(1)條的規定,中介人或有聯繫實體須採取合理步驟,以確保除非按《客戶證券規則》第2部規定行事,否則不得處理客戶證券及證券抵押品。

我們認為中央結算系統拒絶重新登記股份證書這種可能會不時出現的情況,實際上非中介人所能控制。對於如何確定中介人或有聯繫實體已經採取合理步驟以保護客戶資產,將要視乎有關情況而定。然而,在個別情況下,只要中介人或有聯繫實體未曾獲提醒有可能會發生拒絶登記的情況,則他們將很可能不會被視為未有採取合理步驟。不過,如有任何客戶重複出現被拒絶登記的情況,我們會要求有關的中介人或有聯繫實體採取額外的監控措施,以免事件重演,例如透過要求客戶事先出示原來買入有關股份的證明文件或首先存入有關的實物股份證書。

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