證監會

網上平台應提供的最低限度資料及警告聲明

以下列表並非詳盡無遺,旨在舉例說明中介人應以易於理解的方式提供有關複雜產品的最低限度資料。中介人為遵從《網上分銷及投資諮詢平台指引》第6.7段及《證券及期貨事務監察委員會持牌人或註冊人操守準則》第5.5段,應參閱本列表。

  1. 產品的性質,例如可轉換股票、期權、債券、基金、結構性產品;
  2. 複雜產品的主要條款及特點,例如就債券而言:(i) 債券類別;(ii) 信貸資料;(iii) 票息及派息次數;(iv) 到期日;(v) 特點;和就結構性產品而言:(i) 產品類別,例如股票掛鈎投資、股票掛鈎票據、信貸掛鈎票據;(ii) 到期日;(iii) 產品的條款及條件可能作出的任何調整;(iv) 投資者對抵押品的權利(如有);
  3. 複雜產品是否只供專業投資者買賣;
  4. 複雜產品的主要風險,例如是否存在損失大於投資金額的風險;
  5. 結構性產品的最壞情況分析;
  6. 潛在利益是否有上限或限制;
  7. 複雜產品是否保本;
  8. 是否有提早終止的特點;
  9. 提早贖回的任何罰則;及
  10. 該複雜產品是否有第二市場。

以下列表說明中介人應作出的警告聲明類別(如適用)。中介人為遵從《網上分銷及投資諮詢平台指引》第6.8段及《證券及期貨事務監察委員會持牌人或註冊人操守準則》第5.5段,應參閱本列表。

  1. 一份表明該產品是複雜產品及投資者應就該產品審慎行事的警告聲明。
  2. 一份表明投資者或會蒙受大於投資金額的損失的警告聲明(如適用)。
  3. 就發行人提供未經證監會審閱的要約文件或資料的複雜產品而言,應作出警告聲明,表明相關要約文件未經證監會審閱,及投資者應就該要約審慎行事。
  4. 就被形容為已獲證監會認可的複雜產品而言,應作出警告聲明,表明該認可不表示獲得官方推介或證監會認可不等如對該產品作出推介或認許,亦不是對該產品的商業利弊或表現作出保證。
  5. 如提供過往業績資料,應作出警告聲明,表明往績並非預測日後業績表現的指標。
  6. 就只供專業投資者買賣的複雜產品而言,應作出警告聲明,表明該產品只供專業投資者買賣。

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