證監會就投資者識別制度展開諮詢
證監會今天就有關為香港證券市場引入投資者識別制度的建議,展開諮詢。
根據建議的投資者識別制度,持牌法團及註冊機構必須向數據資料庫提交客戶的名稱及身分證明文件的資料。這將有助證監會識別發出證券交易指令的投資者的身分。
證監會行政總裁歐達禮(Mr Ashley Alder)表示,有效和及時的市場監察,是維護香港證券市場廉潔穩健的關鍵所在。建議的投資者識別措施將令我們的市場監察更加穩固,並能提高投資者的信心,這對香港作為領先國際金融中心的發展,至關重要。
建議的規定將在交易層面上,適用於在香港聯合交易所上市或買賣的證券的自動對盤交易指令,以及須向聯交所匯報的非自動對盤證券交易。我們亦建議為聯交所上市的普通股及房地產投資信託的場外證券交易,另外引入一個證券交易匯報制度。
證監會歡迎市場參與者及其他相關人士於2021年3月4日或之前,透過證監會網站(www.sfc.hk)或以電郵(HKIDR_OTCR_consultation@sfc.hk)、郵寄或傳真(2521 7917)方式提交意見。
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