香港投資者識別碼制度實施通知

2022 年 06 月 21 日

香港投資者識別碼制度實施通知

 

尊敬的客戶：

 

 

證券及期貨事務監察委員會（「證監會」）已公佈，投資者識別碼制度暫定於2022年下半年起實施。在投資者識別碼制度下，恒大證券（香港）有限公司（「我們」）須確保唯一的識別碼 (「券商客戶編碼」) 已編配給已經或擬就在香港聯合交易所 (「聯交所」) 的交易系統上市或買賣的證券發出(i)自動對盤交易指令或(ii)鬚根據聯交所規則向聯交所匯報的非自動對盤交易的相關客戶，並確保已向每名客戶取得最新的客戶識別信息 (「客戶識別信息」) ，連同客戶的券商客戶編碼一併提交予聯交所。

 

在投資者識別碼制度生效後，我們需將上述券商客戶編碼及其所載的客戶識別信息（包括身份證明文件上的客戶全稱、簽發國家或司法管轄區、類別及身份證明文件號碼）發送至聯交所的保密資料庫，客戶才能正常地進行香港市場證券交易。 

 

 

客戶個人資料使用同意書的遞交方法

 

為了遵守《個人資料(私隱)條例》，我們必須先取得客戶的同意，才可把客戶的資料轉交予聯交所的保密資料庫及/或證監會。客戶須在2022年7月10日前透過以下一種方式向我們遞交同意書：

 

A. 電子簽署H5鏈接提交

• 在恆證通APP首頁找到並點擊《香港投資者識別碼制度實施通知》，點擊此鏈接:  https://hkidr.iqdii.com/UI/evg/index.html連接到電子簽署界面
• 輸入證券賬戶號碼、手機號碼及驗證碼進行身份信息驗證，
• 系統會發出一個驗證碼到您的登記手機號碼，輸入該驗證碼
• 閱讀《客戶個人資料使用同意書》後點選“確認及同意”並提交；或

 

B. 電子郵件回复

• 點擊此鏈接或在我們的官方網站 – 幫助中心 – 常用表格 找到並仔細閱讀《客戶個人資料使用同意書》後下載、打印、簽署並掃描同意書後發送電子郵件至我們的客戶服務中心：cs@gisf.hk ；或

 

C. 線下提交

• 下載並打印《客戶個人資料使用同意書》
• 閱讀及簽署同意書
• 郵寄正本至以下地址：
• 恒大證劵(香港)有限公司-客戶服務中心
• 香港灣仔告士打道38號中國恆大中心20層2004-2006室；或

 

D. 傳真

• 仔細閱讀並簽署《客戶個人資料使用同意書》
• 傳真至 +852 3550 6999（中國香港）；或

 

E．電話回复

• 下載並閱讀《客戶個人資料使用同意書》
• 在上述指定日期前致電我們的客戶服務中心：+852 3550 6888（中國香港） 或 +86 400 120 3830 (中國內地)
• 告知我們的客戶服務中心同事您對於《客戶個人資料使用同意書》的明示同意。我們會對電話內容進行錄音，以符合證監會的相關要求

 

如屬聯名帳戶，則聯名帳戶內所有持有人必須提供同意。

 

未提交客戶個人資料使用同意書的影響

 

如我們沒有收到您的客戶個人資料使用同意書，可能意味著我們於投資者識別碼製度正式實施後不會或不能夠再（視情況而定）執行您的交易指示或只能向您提供有限度的證券相關服務，例如我們只能就您現時持有的香港上市證券執行賣出指令或交易（而非買入指令或交易），或只應從您的賬戶轉出股份及提取實體股票證書，而不應將股份轉入或將實體股票證書存入您的賬戶。

如閣下已操作完成，可忽略此通知。如有任何查詢，歡迎致電客戶服務部：    +852 3550 6888（中國香港）或 +86 400 120 3830 (中國內地)。

 

恒大證劵(香港)有限公司  謹啟

 

 

 

Dear valued clients,

 

The Securities and Futures Commission (“SFC”) will implement an investor identification regime at trading level for the securities market in Hong Kong (“HKIDR”). Evergrande Securities (Hong Kong) Limited (“We”) will be subject to the HKIDR upon implementation of the regimes. Under the HKIDR, we would have to ensure that a unique identification code, namely the “Broker-to-Client Assigned Number” (“BCAN”), be assigned to the client who have placed or propose to place (i) an on-exchange order or (ii) a reportable off-exchange order, in securities listed or traded on the Stock Exchange of Hong Kong (“SEHK”)’s trading system, and to ensure that up-to-date client identification data (“CID”) has been collected from the client and is submitted along with the client’s BCAN to SEHK.

 

Upon the implementation of HKIDR, each BCAN should be mapped to the client identification data (CID) of that particular client which includes the client’s name, identity document (ID) issuing country or jurisdiction, ID type and ID number. We are required to submit the BCAN-CID mappings of all of our clients in one file (BCAN-CID Mapping File) to SEHK.

 

Return of the Consent Letter for Personal Data Processing

We are expected to comply with the Personal Data (Privacy) Ordinance and other applicable privacy laws and any requirements imposed by the SFC, including obtaining the written or other express consent from our clients for the transfer of their personal data to SEHK and the SFC under the HKIDR in a form and manner that is in compliance with the requirements of the SFC. You should send us your Consent Letter by 10 July 2022 in the following ways:

A. By the H5 link

  ·  Sign in Hengzhengtong APP and find “Circular of implementing HKIDR” on the main page and click on this link: https://hkidr.iqdii.com/UI/evg/index.html

  ·  Sign in with your securities account number, registered phone number and the verification code

  ·  The system will send you the verification code to your registered phone number

  ·  Read the Consent Letter and click “Confirm and Agree (确认及同意)” to sign the Consent Letter; or

B. By email

  ·  Download the Consent Letter from this link or find it on our official website (Help Center“帮助中心”- Download Forms “表格下载”- Frequently Used Forms “常用表格”).

  ·  Read the Consent Letter carefully and print it.

  ·  Sign and scan the Consent Letter and sent it to the email address of our Customer Service Center: cs@gisf.hk; or

 

C. By post or delivery

  ·  Sign the Consent Letter and send the original one to our Customer Service Center by post or delivery.

    Address: Evergrande Securities (Hong Kong) Limited

Rooms 2004-2006, 20/F, China Evergrande Center, 38 Gloucester Road, Wan Chai, Hong Kong

(Attn to: Customer Services Center); or

D. By fax

  ·  Read the Consent Letter carefully and sign it.

  ·  Fax it to our Customer Service Center: +852 3550 6999 (Hong Kong SAR, China); or

E. By phone

  ·  Read the Consent Letter carefully

  ·  Call our Customer Service Center at +852 3550 6888 (Hong Kong SAR, China) or +86 400 120 3830 (Mainland China) and inform us your express consent for the content in the Consent Letter. We may record the conversation in compliance with the requirements of SFC

All customers in a joint account will have to provide their consent.

Consequences of failure to provide consent

If the necessary consent cannot be obtained from a client by us, it may mean that we will not, or will no longer be able to, as the case may be, carry out your trading instructions or provide you with securities related services (other than to sell, transfer out or withdraw your existing holdings of securities, if any).

If you have provided your consent to us, please ignore this announcement.

If you have any enquiries regarding the above, please do not hesitate to contact your designated Account Executive or our Customer Services Hotline at +852 3550 6888 (Hong Kong SAR, China) or +86 400 120 3830 (Mainland China) .

 

Regards,

Evergrande Securities (Hong Kong) Limited