證監會

成交單據、戶口結單及收據規則

問1:

如中介人向客戶提供有關文件的方式,是讓客戶透過中介人網站取覽有關文件,這種做法是否符合《成交單據規則》第17條的規定?

答:

《成交單據規則》第17條並沒有指明應如何向客戶提供有關文件。隨著資訊科技發展,公眾對電腦的應用日趨普及,證監會目前在政策上的看法是,只要(a)中介人獲客戶明確同意以這種方式獲提供交易文件,以代替其他傳統方法(例如專人交付、郵寄等),及(b)設有營運保障措施,確保給予客戶足夠通知,讓客戶有充分機會取覽交易文件,這種方式是可以接受的,中介人可藉著讓客戶透過中介人網站取覽交易文件來符合《成交單據規則》第17條的規定。

就此,證監會擬備了一份營運措施一覽表,列出本會認為在確保遵從《成交單據規則》的精神方面屬恰當及必需的措施。詳情請參閱證監會於2010年7月28日發出的通函(SFC/IS/013/2010),該通函載於 TC_H590.pdf

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