香港持牌證券公司：iMarkets Limited
| 受規管活動 | 生效日期 | 備註 |
|---|---|---|
| 證券交易 Dealing in Securities | Jan 01 1970 | |
| 提供自動化交易服務 Providing Automated Trading Services | Jan 01 1970 |
| 生效日期 | 牌照條件 |
|---|---|
| 2005年07月28日 | 持牌人只可就根據下文條件2從事的活動而附帶提供非網上證券相關服務，包括：(a)提供投資意見；及(b)經紀服務及因本條件及下文條件2而附帶的其他證券相關服務。 The licensee shall only provide off-line securities related services incidental to the activities carried out by the licensee under condition 2 below, including: (a) provision of investment advice; and (b) broking services and other securities related services incidental to this condition and 2 below. |
| 2005年07月28日 | (a)持牌人應備存以下紀錄：n(i)按類別(如產品供應商及市場推廣商)劃分的參與者詳情，包括准入條件下的機構類別、註冊名稱∕地址、准入∕終止日期、獲授權人士及相關資料；以及參與協議； n(ii)按產品類別劃分的所有報價、要求、對盤報價、接納及交易的審計線索，包括時間戳記及相關參與者的名稱； n(iii)向參與者最初提供的對沖服務的詳情； n(iv)限制、暫停或終止任何參與者使用有關設施的詳情，包括相關原因；及 n(v)系統活動的定期每日及月結報告。nn(b)持牌人應保留上文(a)項所述的紀錄不少於6年。nn(c)持牌人應向證監會提供季度報告，報告內容包括： n(i)參與者名單； n(ii)該季度內a(v)項下的月結報告； n(iii)該季度內a(iv)項下的任何紀錄；及 n(iv)系統運作、設計或文件備存方面的任何重大變動的詳情，包括新產品種類及服務。nn(d)持牌人須： n(i)持續監控系統活動及維持公平及有秩序的運作；及 n(ii)監控及執行其准入條件。 (a) the licensee shall keep the following records-n(i) Participant details by category (e.g. Product Providers and Marketers), including category of institution under Admission Criteria, registered name/address, dates of admission/cessation, Authorised Persons and related details; and Participation Agreements; (ii) audit trail for all quotes, requests, matching quotes, acceptances and transactions by product, including time stamp and relevant Participants; (iii) details of initial Hedging Services provided to Participants; (iv) details of restricting, suspending, or terminating any Participant’s access, including related reasons; and (v) routine daily and month end reports of system activity.nn(b) the licensee shall retain the records as referred in (a) above for a period of not less than 6 years.nn(c) the licensee shall provide a quarterly report to the Commission comprising: (i) Participant list; (ii) month end internal reports for the quarter under a(v); (iii) any records for the quarter under a(iv); and (iv) details of any material changes in system operation, design, or documentation, including new product types and services.nn(d) the licensee shall: - (i) monitor continuously system activity and to maintain fair and orderly operations; and (ii) monitor and enforce its Admission Criteria. |
| 2005年07月28日 | 持牌人只可就(a)傳達對證券交易及進行證券交易活動的興趣；及(b)代表專業投資者進行相關證券的對沖活動的目的，為專業投資者提供電子交易即時傳訊及交易執行平台的設施。 該等設施包括登載、查詢及商議價格、內容及交收條款，以及執行交易。 就本條件而言，專業投資者指《證券及期貨事務監察委員會持牌人或註冊人操守準則》所指明的投資者。 The licensee shall only provide an electronic trade messaging and transaction execution platform facilities for professional investors for the purpose of (a) communicating an interest in securities trading and carrying out securities trading activities; and (b) conducting hedging activities in relevant securities for and on behalf of professional investors. Facilities include posting, enquiry, and negotiation in respect of prices, content and settlement terms and trade execution.Professional investors for the purpose of this condition refers to those investors stipulated in the Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission. |
| 負責人員名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 劉俊瑜 LAU Chun Yu | AYJ055 | X | X | ||||||||
| 李光宏 LEE Kwong Wang | APJ676 | X | X |
| 電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
|---|---|---|---|
| 21222422 | 35203038 | [email protected] |