在香港投資者識別碼制度下取得客戶同意書

Confirmation of obtaining client consent under the Hong Kong Investor Identification Regime (HKIDR)

 

致：一中證券帳戶持有人

 

根據證券及期貨事務監察委員會（「證監會」）2021年9月13日發出的兩份通函（註1及註2）；證監會將在2022年第三至第四季度實施香港投資者識別碼制度（「識別碼制度」）。

為確保識別碼制度能順利推行，一中證券有限公司（「一中證券」）須取得閣下的明示同意，方可使用並轉交閣下的個人資料至香港交易所（「港交所」），以參與識別碼制度，並繼續為客戶買賣股票。如一中證券未能及時取得客戶的明示同意，一中證券將不能為客戶買入任何股票。

 

詳細內容已以電子郵件方式傳送給一中證券帳戶持有人或請參閱同意書文檔。

 

 如有疑問，請聯絡您的經紀或致電客戶服務部，電話+852 3188 2299。

 

備註：

(1)               致中介人的通函：有關實施香港投資者識別碼制度及場外證券交易匯報制度的說明大綱

https://apps.sfc.hk/edistributionWeb/gateway/TC/circular/doc?refNo=21EC37

(2)               致中介人的通函：在香港投資者識別碼制度及場外證券交易匯報制度下取得客戶同意

https://apps.sfc.hk/edistributionWeb/gateway/TC/circular/doc?refNo=21EC35

(3)              同意書文檔：在香港投資者識別碼制度下取得客戶同意書

https://www.oc2299.hk/gallery/%E5%9C%A8%E9%A6%99%E6%B8%AF%E6%8A%95%E8%B3%87%E8%80%85%E8%AD%98%E5%88%A5%E7%A2%BC%E5%88%B6%E5%BA%A6%E4%B8%8B%E5%8F%96%E5%BE%97%E5%AE%A2%E6%88%B6%E5%90%8C%E6%84%8F%E6%9B%B8_I.pdf

 

 

此致

 

一中證券有限公司

 

 

To: Account Holders of One China Securities Limited

 

According to Securities and Futures Commission (“SFC”) ’s circular dated 13th September 2021 (Note 1 and Note 2), SFC plans to implement the Hong Kong Investor Identification Regime (“HKIDR”) by 2022 Q3-Q4.

 For a smooth implementation of HKIDR, it requires One China Securities Limited (“One China Securities”) to obtain express consent from you, so as to use and transfer your personal data to Hong Kong Exchanges and Clearing Limited (“HKEx”); enabling us to continue trading on your behalf upon the implementation of HKIDR. If One China Securities could not obtain express consent from you in a prescribed time, we might not be able to buy any stock for you when HKIDR comes into effect.

 

Details have been emailed to One China Securities account holders, or consult the confirmation documentation.

 

If you have question, please contact your Account Executive or our Customer Service Department at +852 3188 2299.

 

Notes:

(1)   Circular to Intermediaries: Roadmap for Implementing the Hong Kong Investor Identification Regime and the Over-the-counter Securities Transactions Reporting Regime

https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/doc?refNo=21EC37

(2)   Circular to intermediaries: on obtaining client consent under the Hong Kong Investor Identification Regime (HKIDR) and Over-the-counter Securities Transactions Reporting Regime (OTCR)

https://apps.sfc.hk/edistributionWeb/gateway/EN/circular/doc?refNo=21EC35

(3)   Confirmation documentation: Confirmation of obtaining client consent under the Hong Kong Investor Identification Regime

https://www.oc2299.hk/gallery/%E5%9C%A8%E9%A6%99%E6%B8%AF%E6%8A%95%E8%B3%87%E8%80%85%E8%AD%98%E5%88%A5%E7%A2%BC%E5%88%B6%E5%BA%A6%E4%B8%8B%E5%8F%96%E5%BE%97%E5%AE%A2%E6%88%B6%E5%90%8C%E6%84%8F%E6%9B%B8_I.pdf

 

Regards,

 

One China Securities Limited