香港持牌證券公司:致富證券有限公司
受規管活動 | 生效日期 | 備註 |
---|---|---|
證券交易 Dealing in Securities | Jan 01 1970 | |
就證券提供意見 Advising on Securities | Jan 01 1970 | |
提供自動化交易服務 Providing Automated Trading Services | Jan 01 1970 | |
提供資產管理 Asset Management | Jan 01 1970 |
生效日期 | 牌照條件 |
---|---|
2021年11月10日 | 就第7類受規管活動而言,持牌人須: (1) 在該平台的運作出現任何影響其客戶的重大服務故障或中斷事件的情況下,在一個營業日內將有關事件通知證監會。 (2) 當有關該平台的任何最新獨立檢討報告擬備妥當後,向證監會提供有關報告。 (3) 在每月結束後兩個星期內或應證監會的要求,向證監會提供以下報告: (a) 根據首次公開招股獲分配及已就其執行交易的股份的統計摘要; (b) 交易量(以交易宗數表示);買賣股份數目;及上述(a)所匯報的每名發行人的股份的交收總值的統計摘要; (c) 交易量(以十大最活躍客戶各自就上述(a)所匯報的每名發行人的股份的交收總值顯示)的統計摘要; (d) 就上述(a)所匯報的每名發行人的股份的交易活動所產生的(i)應向十大最活躍客戶各自收取的款項;及(ii)應向十大最活躍客戶各自支付的款項的分析,包括每個客戶的名稱及帳戶種類(現金或保證金帳戶)及該交易日結束時應向每個客戶收取或支付的相關款項; (e) 參與首次公開招股前交易的客戶總數的統計摘要,以及上述(a)所匯報的每名發行人的股份的不同種類客戶的分類明細;及 (f) 首次公開招股前交易所錄得的交易總值的統計摘要,以及就上述(a)所匯報的每名發行人的股份為不同種類客戶執行的交易的分類明細。 (4) 為免生疑問,設立安排以確保持牌人及其客戶均能遵從證監會發出的《客戶身分規則的政策》。 (5) 應證監會的要求向其提供: (a) 有權登入該平台的所有客戶名單;及 (b) 曾於任何特定交易日發出買賣指示或於該平台進行交易的所有客戶名單。 For Type 7 regulated activity, the licensee shall: n(1) notify the Commission of any incident of material service breakdown or disruption of the operations of the Platform affecting its clients within one business day.n(2) provide the Commission with any updated independent review report of the Platform when available. n(3) provide the Commission with the following reports within two weeks after the end of each month or upon request: n(a) a statistical summary of shares allotted pursuant to an initial public offering for which transactions have been executed; n(b) a statistical summary of transaction volume, expressed in number of trades; number of shares traded; and total settlement value in respect of each issueru0027s shares reported in (a) above; n(c) a statistical summary of transaction volume expressed in total settlement value by each of the top ten clients in respect of each issueru0027s shares reported in (a) above; n(d) an analysis of (i) amount receivable from each of the top ten clients; and (ii) amount payable to each of the top ten clients arising from dealing in each issuer’s shares reported in (a) above, including, the name of each client and type of client account (i.e. cash or margin account) and relevant amount receivable or payable to each client at the end of the trading day; n(e) a statistical summary of total number of clients participated in the pre-initial public offering trading with breakdown into different client types in each issuer’s shares reported in (a) above; and n(f) a statistical summary of total value of trades recorded in the pre-initial public offering trading with breakdown into trades executed for different client types in each issuer’s shares reported in (a) above.n(4) for the avoidance of doubt, have arrangements in place to ensure that it and its clients will be able to comply with the Client Identity Rule Policy issued by the Commission. n(5) upon request, provide the Commission with: (a) a list of all clients who have access to the Platform; and (b) a list of all clients who have placed orders or traded on the Platform in respect of any particular trading day. |
2021年11月10日 | 就第7類受規管活動而言,持牌人或與持牌人屬同一公司集團的公司不得參與任何在該平台的自營買賣活動。 For Type 7 regulated activity, the licensee or any company within the same group of companies as the licensee shall not engage in any principal trading activities in the Platform. |
2021年11月10日 | 就第7類受規管活動而言,持牌人須: (1) 以買賣根據首次公開招股獲分配的股份為目的,僅在緊接該等股份於香港聯合交易所有限公司(“聯交所”)正式上市前的一天,透過一個電子交易平台(“該平台”)提供自動化交易服務。 (2) 設立監控措施: (a) 藉此確保其交易方法的完整性;及 (b) 使交易得以在該平台上公平及有秩序地進行。 (3) 向客戶提供充足的交易前買賣指示的資料及交易後的交易資料。 (4) 設立適當的安排,確保就根據首次公開招股獲分配的股份的已執行交易而須提供的資訊,按照聯交所的規則在訂明時限內以訂明的方式向聯交所提交報告。 (5) 設立適當的安排,以便盡量減低未能就已執行交易進行交收的情況。 (6) 制訂適當的書面政策和程序,以便在緊急情況下處理未完成的買賣指示及已執行的交易,包括但不限於, (a) 押後、取消首次公開招股或更改首次公開招股的條款及細則; (b) 該平台暫停運作、發生故障或遭受干擾;及 (c) 惡劣天氣如颱風或黑色暴雨。 這些政策和程序應該在客戶使用該平台前提供予客戶。 (7) 就該平台上進行的活動,保存下列紀錄至少七年,而該等紀錄應易於取覽,及可隨時轉換成中文或英文的書面形式,並須應證監會的要求提供任何該等紀錄: (a) 客戶資料,包括其登記名稱及地址、准入及終止准入日期、認可交易員及有關詳情,以及客戶協議; (b) 限制、暫停或終止任何客戶登入的詳情,包括有關原因; (c) 日常發給客戶的所有通知及其他資料(不論為書面形式或透過電子形式傳達); (d) 在該平台上進行交易的每日及每月例行摘要,當中載列: (i) 客戶根據首次公開招股獲分配股份的詳情;及 (ii) 交易量(以交易宗數表示);買賣股份數目;及交收總值。 (8) 就該平台上處理的買賣指示及任何其他行動或活動的下述詳情,保存至少兩年按時序排列的紀錄,而該等紀錄應易於取覽,及可隨時轉換成中文或英文的書面形式,並須應證監會的要求提供任何該等紀錄: (a) 買賣指示的接收、執行、修改、取消及屆滿(視乎適用者而定)日期及時間; (b) 輸入、修改、取消及執行買賣指示的客戶及認可交易員的身分; (c) 買賣指示及買賣指示的任何繼後修改及執行的詳情(視乎適用者而定),包括但不限於所涉及的股份、買賣指示的股份數量及屬於買方或賣方、買賣指示的種類、任何買賣指示編號、時間及價格限制,以及發出買賣指示的客戶指定的任何其他條件;及 (d) 分配及重新分配(視乎適用者而定)指示執行的詳情。 For Type 7 regulated activity, the licensee shall: n(1) only provide Automated Trading Services via an electronic trading platform (“Platform”), for the purpose of trading shares allotted pursuant to an initial public offering only on the day immediately before their official listing on The Stock Exchange of Hong Kong Limited (“SEHK”). n(2) have controls that: n(a) are designed to ensure the integrity of its trading methodology; and n(b) enable fair and orderly trading on the Platform. n(3) provide sufficient pre-trade order information and post-trade transaction information to its clients. n(4) have appropriate arrangements in place that ensure the required information about executed transactions of shares allotted pursuant to an initial public offering is reported to SEHK in the prescribed manner and within the prescribed time limit in accordance with the rules of SEHK. n(5) have appropriate arrangements in place to minimise the settlement failure of executed transactions. n(6) have appropriate written policies and procedures to handle outstanding orders and executed transactions under contingency situations including, but not limited to, n(a) postponement, cancellation or alternation to the terms and conditions of an initial public offering; n(b) suspension, breakdown, or disruption of the Platform; and n(c) adverse weather like typhoon or black rainstorm. These policies and procedures should be provided to its clients prior to their using of the Platform. n(7) keep for a period of not less than seven years the following records in respect of the activities on the Platform in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: n(a) client details, including their registered names and addresses, dates of admission and cessation, authorised traders and related details, and client agreements; (b) details of restricting, suspending, or terminating any clientu0027s access, including related reasons; n(c) all notices and other information, whether written or communicated through electronic means, provided to clients generally; n(d) routine daily and monthly summary of trading on the Platform including: (i) shares allotment details of clients pursuant to an initial public offering; and (ii) transaction volume, expressed in number of trades; number of shares traded; and total settlement value. n(8) keep for a period of not less than two years time-sequenced records of orders and any other actions or activities on the Platform as particularised below in such a manner as to enable them to be readily accessible and readily convertible into written form in the Chinese or English language; and provide any of those records to the Commission upon request: n(a) date and time that the order was received, executed, modified, cancelled and expired (where applicable); n(b) identity of the client and authorised trader initiating the entry, modification, cancellation and execution of the order; n(c) particulars of the order and any subsequent modification and execution of the order (where applicable), including but not limited to, the shares involved, the size and side (buy or sell) of the order, the order type, and any order designation, time and price limit and other conditions specified by the client initiating the order; and n(d) particulars of the allocation and re-allocation (where applicable) of an execution. |
2021年11月10日 | 就第7類受規管活動而言,持牌人須: (1) 設立適當的安排,以確保持牌人得以: (a) 監察在該平台上發出的買賣指示和進行的交易,以識別涉嫌違反任何有關在該平台上公平及有秩序地進行買賣的規則的情況,以及可能構成市場舞弊的行為; (b) 在切實可行的情況下,盡快向證監會報告任何涉嫌違反持牌人有關在該平台上公平及有秩序地進行買賣的規則的情況,或涉嫌市場舞弊行為;及 (c) 在切實可行的情況下,盡快應證監會的要求向證監會提供有關任何涉嫌違規或涉嫌市場舞弊的相關資料,並就證監會對涉嫌違規或涉嫌市場舞弊進行的查訊或調查向證監會提供全力協助。 (2) 如對下列指明事宜有任何重大更改,須於更改生效前通知證監會: (a) 公司架構及管治安排; (b) 業務計劃或運作; (c) 該平台(包括交易規則、運作時間、系統營運商、硬件、軟件及其他技術的更改);及 (d) 持牌人在合約下對該平台客戶所負有的責任。 (3) 在該平台出現影響客戶的重大運作延誤或故障的情況時,將有關事件的原因或可能原因在切實可行的情況下盡快通知證監會。 (4) 在切實可行的情況下,盡快任何涉嫌違反其有關在該平台上公平及有秩序地進行買賣的規則的情況或涉嫌市場舞弊行為通知證監會。 (5) 為持牌人本身的運作及該平台設立適當的業務延續計劃及災後恢復程序,並將該等計劃或程序的任何重大改變通知證監會。 For Type 7 regulated activity, the licensee shall: n(1) have appropriate arrangements in place that enable it to: n(a) monitor orders placed into and transactions undertaken on the Platform to identify suspected breaches of any rules relating to fair and orderly trading on the Platform and conduct that may constitute market abuse; n(b) report to the Commission as soon as practicable any suspected breaches of its rules relating to fair and orderly trading on the Platform or suspected market abuse; and n(c) upon request from the Commission, supply relevant information to the Commission as soon as practicable regarding any suspected breaches or suspected market abuse and provide full assistance to the Commission in inquiring into or investigating the suspected breaches or suspected market abuse. n(2) notify the Commission of any material changes to the matters specified below, prior to the changes taking effect: n(a) corporate structure and governance arrangements; n(b) business plans or operations; n(c) the Platform (including changes in trading rules, operating hours, operator of the system, hardware, software, and other technology); and n(d) its contractual responsibilities for clients of the Platform. n(3) notify the Commission as soon as practicable of the causes, or possible causes, of and the remedial actions for material delay or failure to the operation of the Platform effecting the clients upon its occurrence. n(4) notify the Commission as soon as practicable of any suspected breaches of its rules relating to fair and orderly trading on the Platform or suspected market abuse. n(5) put in place appropriate business continuity plans and disaster recovery programmes for its operations and the Platform and notify the Commission of any material changes to the plans or programmes. |
負責人員名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
---|---|---|---|---|---|---|---|---|---|---|---|
陳嘉華 CHAN Ka Wa | AOX337 | X | |||||||||
陳贊宇 CHAN Tsan Yu | AHR015 | X | |||||||||
周松堦 CHAU Chung Kai, Peter | AAC736 | X | |||||||||
張德明 CHEUNG Tak Ming | BGD988 | X | X | ||||||||
趙德鴻 CHIU Tak Hung | ABM017 | X | |||||||||
郭家安 KWOK Ka On | AGB477 | X | X | ||||||||
郭鍏傑 KWOK Wai Kit | AOB670 | X | X | ||||||||
李兆豐 LEE Siu Fung | AWW160 | X | X | ||||||||
李波 LI Bo | AMN738 | X | |||||||||
吳少梅 NG Siu Mui | ACR889 | X | X | X | |||||||
蘇家傑 SO Ka Kit | AMM080 | X | |||||||||
鄧澤堂 TANG Chat Tong | AMG896 | X | X | ||||||||
葉海亞 YE Haiya | AJL618 | X | X | X | X | ||||||
楊澤南 YEUNG Chak Nam | AUC990 | X |
代表名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
---|---|---|---|---|---|---|---|---|---|---|---|
區嘉竣 AU Ka Chun | BNO609 | X | |||||||||
區君模 AU Kwun Mo | AMV052 | X | X | ||||||||
歐陽耀榮 AU-YEUNG Yiu Wing | BRE503 | X | X | ||||||||
陳澤其 CHAN Chak Ki | BKA656 | X | X | ||||||||
陳賜超 CHAN Chi Chiu | BBK150 | X | X | ||||||||
陳可兒 CHAN Ho Yee | BRW765 | X | |||||||||
陳嘉汶 CHAN Ka Man | BBW601 | X | X | ||||||||
陳嘉華 CHAN Ka Wa | AOX337 | X | |||||||||
陳萬松 CHAN Man Chung | ANH834 | X | |||||||||
陳毅嘉 CHAN Ngai Ka | AOY222 | X | X | ||||||||
陳毅耘 CHAN Ngai Wan | AAC737 | X | |||||||||
陳念恩 CHAN Nim Yan Calvin | BFE612 | X | |||||||||
陳尚輝 CHAN Sheung Fai | BRO043 | X | |||||||||
陳少碧 CHAN Siu Bik | BJT682 | X | X | ||||||||
陳贊宇 CHAN Tsan Yu | AHR015 | X | |||||||||
陳芷珊 CHAN Tsz Shan | BRQ117 | X | |||||||||
陳永泰 CHAN Wing Tai, Jack | AHN562 | X | X | ||||||||
陳婉貞 CHAN Yuen Ching | AOX338 | X | |||||||||
陳珮珊 CHEN Pui Shan | BRE504 | X | |||||||||
鄭寶雲 CHENG Bo Wan | AGB501 | X | |||||||||
鄭文敏 CHENG Man Man | BJM105 | X | |||||||||
鄭宇擎 CHENG Yu King, Alvin | APQ273 | X | X | ||||||||
鄭月英 CHENG Yuet Ying | BOS252 | X | |||||||||
張志堅 CHEUNG Chi Kin | AFF123 | X | |||||||||
張家強 CHEUNG Ka Keung | AHN826 | X | X | ||||||||
張偉業 CHEUNG Wai Yip | BQO612 | X | |||||||||
張雲添 CHEUNG Wan Tim | BMY682 | X | X | ||||||||
張人傑 CHEUNG Yan Kit | BPT168 | X | |||||||||
張日陞 CHEUNG Yat Sing | BHU979 | X | X | ||||||||
趙錦鴻 CHIU Kam Hung | ANA185 | X | |||||||||
趙德鴻 CHIU Tak Hung | ABM017 | X | |||||||||
蔡世懷 CHOI Sai Wai | ACK251 | X | X | ||||||||
蔡瑞文 CHOI Shui Man | APD246 | X | X | ||||||||
莊志豪 CHONG Chi Ho | ANM084 | X | X | ||||||||
鄒昕言 CHOW Sum Yin | BHR368 | X | X | ||||||||
朱銘燊 CHU Ming Sun | APR825 | X | |||||||||
朱永年 CHU Weng Nin | AEV958 | X | |||||||||
鍾曉林 CHUNG Hiu Lam | BRG412 | X | |||||||||
鍾汶希 CHUNG Man Hei | BPE850 | X | |||||||||
幸志平 HANG Chi Ping | BJV884 | X | X | ||||||||
幸志瑩 HANG Chi Ying Toby | BKA661 | X | |||||||||
何秋燕 HO Chau Yin | BEX111 | X | |||||||||
何智仁 HO Chi Yan | APB565 | X | |||||||||
何佩橋 HO Pui Kiu | ABZ494 | X | |||||||||
何珮文 HO Pui Man | BGZ456 | X | X | ||||||||
何慧琴 HO Wai Kam | BQQ765 | X | |||||||||
何銳謙 HO Yui Him | BGB436 | X | X | ||||||||
洪璽楠 HONG Xinan | BOK055 | X | |||||||||
許燦熙 HUI Chan Hei | AHX338 | X | |||||||||
許立偉 HUI Lap Wai | ACC510 | X | |||||||||
孔繁德 HUNG Fan Tak | BRG409 | X | |||||||||
葉宇軒 IP Yu Hin | BEJ754 | X | |||||||||
高啟申 KO Kai San | AIT944 | X | X | ||||||||
高得強 KO Tak Keung | ABY462 | X | |||||||||
江榮厚 KONG Wing Hau | ABO900 | X | |||||||||
葛展昀 KOT Chin Wan | BOJ686 | X | |||||||||
關凱威 KWAN Hoi Wai | ATV559 | X | X | ||||||||
郭行健 KWOK Hang Kin | BNN101 | X | |||||||||
郭家安 KWOK Ka On | AGB477 | X | |||||||||
郭勁之 KWOK Keng Chee | ATL725 | X | X | ||||||||
郭寶珊 KWOK Po Shan Christine | BOQ100 | X | X | ||||||||
林健邦 LAM Kin Pong | BMT614 | X | X | ||||||||
林思勁 LAM Sze King, Jonathan | BAX918 | X | X | ||||||||
林煜華 LAM Yuk Wah | APL828 | X | |||||||||
劉志斌 LAU Chi Pun | AWK994 | X | |||||||||
劉展華 LAU Chin Wah Teresa | BSH120 | X | |||||||||
劉美梅 LAU Mei Mui | AAB153 | X | |||||||||
劉達燊 LAU Tat San | BPK639 | X | X | ||||||||
劉慧心 LAU Wai Sum | AHU045 | X | |||||||||
劉永棠 LAU Wing Tong | AKV006 | X | X | ||||||||
羅樂德 LAW Lok Tak | BKG275 | X | |||||||||
羅梓銘 LAW Tsz Ming | BMI035 | X | X | ||||||||
李振輝 LEE Chun Fai | BCF870 | X | X | ||||||||
李乙銘 LEE Yuet Ming | APZ372 | X | X | ||||||||
梁志恒 LEUNG Chi Hang | BMX521 | X | |||||||||
梁彩燕 LEUNG Choi In | BDQ181 | X | |||||||||
梁健基 LEUNG Kin Kei | AXL876 | X | X | ||||||||
梁雪玲 LEUNG Suet Ling | ABW662 | X | |||||||||
梁帥聰 LEUNG Sui Chung | ASX746 | X | X | ||||||||
梁以德 LEUNG Yee Tak | AVY560 | X | |||||||||
李波 LI Bo | AMN738 | X | |||||||||
李志東 LI Chi Tung | BRM259 | X | |||||||||
李樹樟 LI Su Cheong | BRV465 | X | |||||||||
李德康 LI Tak Hong | AOB022 | X | X | ||||||||
李偉釗 LI Wai Chiu | BFK690 | X | |||||||||
廖湛賢 LIU Cham Yin | BEF801 | X | X | ||||||||
盧苡汶 LO I Man | BBK664 | X | X | ||||||||
盧洛森 LO Lok Sum | BOH647 | X | X | ||||||||
雷偉超 LUI Wai Chiu | AIH680 | X | |||||||||
陸嘉駿 LUK Ka Chun | AXO221 | X | |||||||||
羅明 LUO Ming | AQI799 | X | |||||||||
羅麗芬 Law Lai Fun | ATE979 | X | |||||||||
麥達卓 MAK Tat Cheuk | AAC740 | X | |||||||||
莫家賢 MOK Ka Yin | BRS719 | X | |||||||||
莫惠芬 MOK Wai Fan | AVE576 | X | X | X | |||||||
莫偉鴻 MOK Wai Hung | AGW412 | X | |||||||||
莫易東 MOK Yik Tung | BCD050 | X | |||||||||
吳鴻良 NG Hung Leung | BJH317 | X | X | ||||||||
吳國權 NG Kwok Kuen | ABM053 | X | |||||||||
吳茂江 NG Maukong | BGY984 | X | |||||||||
吳慧萍 NG Wai Ping | AWC089 | X | |||||||||
魏葳霖 NGAI Wai Lam | BIH476 | X | |||||||||
柯宇揚 OR Yu Yeung | BLI759 | X | |||||||||
蕭敬行 SIU King Hang | AGR732 | X | X | ||||||||
蕭德威 SIU Tak Wai | BMW297 | X | |||||||||
蘇家傑 SO Ka Kit | AMM080 | X | X | ||||||||
譚思衡 TAM Sze Hang | BRO687 | X | |||||||||
鄧澤堂 TANG Chat Tong | AMG896 | X | |||||||||
鄧銘聰 TANG Ming Chung | BRT648 | X | |||||||||
曾駿銘 TSANG Chun Ming | BGX428 | X | |||||||||
曾俊升 TSANG Chun Sing | BRR768 | X | |||||||||
謝家祥 TSE Ka Cheung | BMR368 | X | X | X | |||||||
童南安 TUNG Nam On | AYX174 | X | |||||||||
尹國柱 WAN Kwok Chu | BLE912 | X | X | ||||||||
魏美蓉 WEY Meirong | ATC520 | X | |||||||||
黃仲國 WONG Chung Kwok Raymond | BOK188 | X | X | ||||||||
汪禧文 WONG Hee Man | AAC743 | X | |||||||||
黃家熙 WONG Ka Hei | BRX219 | X | |||||||||
黃美嬌 WONG Mei Kiu, Kitty | ADX899 | X | |||||||||
王承坤 WONG Shing Kwan | BFO971 | X | X | ||||||||
黃霆鋒 WONG Ting Fung | BOU171 | X | X | ||||||||
黃奕凱 WONG Yee Kae | ATV562 | X | |||||||||
黃玉萍 WONG Yuk Ping, Alice | ANQ026 | X | X | ||||||||
胡顯昌 WU Hin Cheong | ANY311 | X | X | ||||||||
甄家樂 YAN Ka Lok | ARK078 | X | X | ||||||||
楊靖 YANG Jing | AXL919 | X | X | ||||||||
姚玲玲 YAO Lingling | AUB188 | X | |||||||||
尤庭鋒 YAU Ting Fung | AEE376 | X | |||||||||
楊澤南 YEUNG Chak Nam | AUC990 | X | X | ||||||||
楊國基 YEUNG Kwok Kei | BBB086 | X | X | ||||||||
楊達浩 YEUNG Tat Ho | AXZ759 | X | X | ||||||||
葉子聰 YIP Tsz Chung | BSA365 | X | |||||||||
余耀權 YU Yiu Kuen Stephen | BOW457 | X | X | ||||||||
袁治樑 YUEN Chi Leung | ARE580 | X | |||||||||
袁少中 YUEN Siu Chung | ALB988 | X | |||||||||
張玉儿 ZHANG Yuer | BIE512 | X | X | ||||||||
趙劍 ZHAO Jian | ASK086 | X | |||||||||
肇越 ZHAO Yue | BFK717 | X | X | X |
電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
---|---|---|---|
25009217 | 34203892 | [email protected] |