证监会就投资者识别制度展开谘询
证监会今天就有关为香港证券市场引入投资者识别制度的建议,展开谘询。
根据建议的投资者识别制度,持牌法团及注册机构必须向数据资料库提交客户的名称及身分证明文件的资料。这将有助证监会识别发出证券交易指令的投资者的身分。
证监会行政总裁欧达礼(Mr Ashley Alder)表示,有效和及时的市场监察,是维护香港证券市场廉洁稳健的关键所在。建议的投资者识别措施将令我们的市场监察更加稳固,并能提高投资者的信心,这对香港作为领先国际金融中心的发展,至关重要。
建议的规定将在交易层面上,适用於在香港联合交易所上市或买卖的证券的自动对盘交易指令,以及须向联交所汇报的非自动对盘证券交易。我们亦建议为联交所上市的普通股及房地产投资信托的场外证券交易,另外引入一个证券交易汇报制度。
证监会欢迎市场参与者及其他相关人士於2021年3月4日或之前,透过证监会网站(www.sfc.hk)或以电邮(HKIDR_OTCR_consultation@sfc.hk)、邮寄或传真(2521 7917)方式提交意见。
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