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E. 有關靜止帳戶的常見問題

問1 : 相關受規管中介人是否須每月進行審查,以識別靜止帳戶(即有關帳戶自上次交易後24個月不活躍)及更新配對檔案內的狀況,以便提交券商客戶編碼?相關受規管中介人是否需要為這些靜止帳戶編配券商客戶編碼?

答: 配對檔案不包含帳戶的狀態(即活躍/靜止),因此相關受規管中介人在投資者識別碼制度下無須匯報帳戶的狀態。

在實施投資者識別碼制度前,當相關受規管中介人就向聯交所及證監會轉移個人資料一事尋求客戶同意時,以及當相關受規管中介人更新客戶的客戶識別信息時,它應分別聯絡所有自然人相關客戶(就取得同意而言)及所有相關客戶(就更新客戶識別信息而言),不論這些客戶的帳戶狀態是活躍還是靜止。

然而,若靜止客戶在實施投資者識別碼制度前未有提供客戶識別信息或給予同意(視何者適用而定),但擬在其帳戶重新啟動當日(即進行交易當日,T日)進行交易,那麼該名靜止客戶會獲給予若干靈活性。相關受規管中介人可在T日編配券商客戶編碼給靜止客戶,而包含該靜止客戶的更新客戶識別信息的配對檔案可在提交交易指令之前或之後提交至聯交所的數據資料庫,但無論如何須在聯交所訂明及《香港交易所資料文件》所載的T日的截止時間之前提交。有關就靜止客戶提交配對檔案的詳情,請參閱《諮詢總結》第126至130段及《香港交易所資料文件》第8段。
 

最後更新日期: 2021年11月26日

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