證監會

經修訂的操守準則

問1:

為遵守《操守準則》附表5第5(b)段,持牌法團應如何計算銀行信貸融通的信貸總額度?

答:

《操守準則》附表5第5(b)段所指的銀行信貸融通的信貸總額度為以下數額的總和:

  • 所有無抵押的銀行信貸融通的信貸額度;及
  • 以下兩個數額中的較低者
    1. 所有有抵押的銀行信貸融通的信貸額度;及
    2.  該等銀行按照已抵押予該等銀行的保證而願意借出的總額。

持牌法團亦可把以下數額列作為銀行信貸融通的信貸總額度的一部分:

  • 該等銀行願意以屬於該持牌法團而尚未被抵押予該等銀行的上巿證券作為抵押品而借出的數額;
  • 該等銀行願意以該持牌法團根據《證券及期貨(客戶證券)規則》的再質押上限而獲容許可以再質押但並未如此再質押的客戶的證券抵押品而借出的數額。
問2:

假如一家持牌法團有再質押證券抵押品的做法,但在某一特定日子卻沒有再質押證券抵押品,則該持牌法團在當日為新保證金客戶開立帳戶時是否須通知該客戶其有再質押的做法?

答:

是,不論有再質押做法的持牌法團是否有在該特定日子再質押證券抵押品,其為新保證金客戶開立帳戶時都應通知該客戶有該做法。

問3:

假如一家持牌法團有再質押證券抵押品的做法,但在某一(些)特定日子卻沒有再質押證券抵押品,則該持牌法團是否須就其再質押狀況的短期改變而通知其客戶?

答:

該持牌法團無須通知客戶其由有再質押的狀況轉為沒有再質押的狀況的短期改變。然而,假如該持牌法團過去曾(直接或間接)通知客戶,表示其並無再質押或已不再再質押客戶的證券抵押品,便須在其開始再質押或恢復再質押時,在切實可行的範圍內盡快通知其所有客戶。

問4:

持牌法團應以何種方式通知客戶其有再質押的做法?

答:

《操守準則》並無訂明向客戶傳達該資料的特定方式,但持牌法團應備存有關傳達該資料的充分審計線索(例如在開戶表格內註明已傳達該資料的文件紀錄)。

問5:

假如持牌法團不再再質押客戶的證券抵押品,是否須通知保證金客戶?

答:

不。《操守準則》並無此項規定。

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