證監會

總論

問1:

很多經紀行在星期六都是不辦公的,但在《證券及期貨條例》裏,“營業日”的定義明確地包括星期六。由於很多規則都規定必須在1個營業日內遵從,否則即屬犯罪,及會被判處巨額罰款及監禁,因而為這些商號帶來嚴重的合規問題。

答:

我們接受很多經紀行在星期六都是不辦公的,而我們亦不打算要求它們改變這種做法。

另一方面,我們不想將星期六從“營業日”的定義中刪去,因為有部分規則同時適用於註冊機構及就其他受規管活動類別而獲發牌的法團,而這些機構及法團在星期六是辦公的。

因此,我們在考慮某商號有否遵從有關規則時,會顧及到其是否在星期六辦公。

問2:

很多規則都規定客戶必須以書面方式給予指令或作出授權。就這方面而言,以圖文傳真方式作出的指示會否被接納?

答:

會。只要以圖文傳真方式作出的指示載有客戶的書面簽署,便會獲得接納。

儘管如此,我們仍要求商號設立監控措施,以減輕可能因為以書面原文以外的途徑而進行的通訊方式所產生的任何風險,例如核實客戶的簽署,及使用專供交收職員使用的傳真機。如果商號獲悉情況有異,應該索取書面原文以供紀錄。

問3:

很多規則都規定客戶必須以書面方式給予指令或作出授權。假如網上收到的客戶指示已配備常見的密碼及私人密碼的組合,以確保保安不會出現問題,證監會會否接受此種指示?

答:

由於這種做法已在市場上廣泛應用,只要不會因不同的溝通方式而影響到指示的真確性,我們會將透過密碼及私人密碼而得到核證的指示等同為書面指示。

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