内地投资者参与沪深股通交易的规则修订

2022 年 07 月 26 日

尊敬的客户：

有关: 内地投资者参与沪深股通交易的规则修订

感谢 阁下一直以来对恒大证券(香港)有限公司的信赖与支持！

• 自生效日起(2022年7月25日)内地投资者不能开通中华通北向交易功能;
• 自生效日起将设置一年过渡期 (2022年7月25日至2023年7月23日)。在过渡期内，已开通中华通北向交易功能的内地投资者可继续买卖中华通证券；
• 过渡期结束后(2023年7月24日起):
 i. 内地投资者不得通过沪深股通主动买入中华通证券(包括参与配股)，但因公司行为(如分配股票股利)等被动取得中华通证券的情形除外；及
 ii. 内地投资者持有的中华通证券可通过附加联交所规定的指定预设值继续卖出。

内地投资者包括: (a)持有中国内地身份证明文件的个人，(b)联名帐户持有人(如联名帐户持有人中有任何一方属(a)条规定的内地投资者)，及(c)中国内地注册的法人及非法人组织。

下述投资者不被视为内地投资者，并仍可继续通过沪深股通买卖中华通证券：
• 持有前往港澳通行证（俗称单程证）或取得境外永久居留身份证明文件的个人
• 内地注册法人和非法人组织在香港或海外设立的分支机构或子公司

详情请浏览香港交易所通告。

如阁下的帐户信息(如身份信息、联络方式、 税务地区等资料)有任何更新, 应尽快通知本公司以协助更新有关信息以确保阁下于本公司的帐户信息准确。

如对上述事宜有任何查询，欢迎随时致电客户服务部：+86 400 120 3830 (中国内地) 或+852 3550 6888 (中国香港) 与客户服务主任或与 阁下之客户经理联络。

恒大证券(香港)有限公司 谨启
2022年7月26日

 

26 July 2022

Dear Valued Customer,

Subject: Amendment of rules in relation to restricting Mainland investors from Northbound Trading under Stock Connect

Thank you for your continuing support to Evergrande Securities (Hong Kong) Limited.

The China Securities Regulatory Commission (CSRC), Shanghai Stock Exchange (SSE) and Stock Exchange (SZSE) have announced their rule amendments in relation to restricting Mainland investors from Northbound Trading under Stock Connect with effect from 25 July 2022 (the Effective Date).

• From the Effective Date (25 July 2022), Mainland investors will not be able to activate the Stock Connect Northbound Trading function.
• There will be a 1-year transitional period (from 25 July 2022 to 23 July 2023) from the Effective Date, during which Mainland investors with registered Stock Connect Trading function could still buy and sell China Connect Securities through Northbound Trading under Stock Connect.
• After the transitional period (from 24 July 2023):
 i. Mainland investors shall not proactively buy any China Connect Securities through Northbound Trading under Stock Connect (including subscription for right issues (配股)), but excluding obtaining China Connect Securities passively as a result of corporate actions (such as distribution of stock dividends), and
 ii. Existing China Connect Securities held by Mainland investors could be sold by tagging the reserved value prescribed by the Exchange

Mainland investors include: (a) individuals that possess Mainland ID documents; (b) holders of a joint account if one of the holders is considered as Mainland investor under (a); and (c) corporate or unincorporated entities which are registered in the Mainland.

The following investors will not be considered as “Mainland investors” and may continue to buy and sell China Connect Securities through Northbound Trading under Stock Connect:
• Any individual who holds a Permit for Proceeding to Hong Kong and Macao, i.e. One-way Permit (前往港澳通行证, i.e. 单程证) or who has obtained an identity document as proof of permanent residence in a country or region outside Mainland China
• Any branch or subsidiary of a corporate or unincorporated entity registered in Mainland China which branch or subsidiary is lawfully registered in Hong Kong or overseas.

For details, please visit the HKEx Circular.

To ensure your account information is accurate and up-to-date, if your account information which you previously provided to us has changed (e.g. identity information, contact details and tax jurisdiction etc.), please notify us as soon as possible for information update.

If you have any questions, please do not hesitate to contact your account executive or customer service hotline at +852 3550 6888 (Hong Kong SAR, China) or +86 400 120 3830 (Mainland China).

For and on behalf of
Evergrande Securities (Hong Kong) Limited