香港持牌證券公司：GFI (HK) Securities L.L.C.
| 受規管活動 | 生效日期 | 備註 |
|---|---|---|
| 證券交易 Dealing in Securities | Jan 01 1970 | |
| 期貨合約交易 Dealing in Futures Contracts | 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06月14日 | 持牌人在擴展至零售業務之前，必須先得到證監會的批准。 The licensee shall seek the Commissionu0027s prior approval before extending services at retail level. |
| 2020年11月25日 | 就第7類受規管活動而言，持牌人須就在CreditMatch上提供的自動化交易服務：(1) 就在CreditMatch上進行的交易，保存下列的紀錄不少於七年，而該等紀錄應易於取覽，及可即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) CreditMatch用戶的詳情，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CreditMatch用戶登入CreditMatch的詳情，包括有關的原因； (c) 由持牌人日常或個別發給CreditMatch用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）；及 (d) 在CreditMatch上進行交易的每日及每月例行摘要，當中載列： (i) 已執行交易所涉及的產品；及 (ii) 其交易量（以交易宗數表示）及交收總值。 (2) 就在CreditMatch上處理的買賣指示及進行的任何其他行動或活動的下述詳情，保存不少於兩年按時序排列的紀錄，而該等紀錄應易於取覽，及可即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) 任何買賣指示的接收、執行、修改、取消或屆滿（視乎適用者而定）的日期及時間；(b) 主動作出輸入、修改、取消或執行買賣指示的CreditMatch用戶及認可交易員的身分、地址及聯絡資料；(c) 任何買賣指示的詳情及該項買賣指示的任何繼後修改及執行（視乎適用者而定），包括但不限於所涉及的產品、該項買賣指示的產品數量及屬於買方或賣方、該項買賣指示的種類、任何買賣指示編號、時間及價格限制，或由始發該項買賣指示的CreditMatch用戶指定的其他條件；及 (d) 分配及重新分配（視乎適用者而定）某執行指示的詳情。 For Type 7 regulated activity, the licensee shall, in relation to the provision of Automated Trading Services on CreditMatch: (1) Keep, for a period of not less than seven years, the following records in respect of transactions conducted on CreditMatch in such manner as will enable them to be readily accessible and immediately convertible into written form in the Chinese or English language, and provide any such records to the Commission upon request: (a) Details of the users of CreditMatch, including their registered names and addresses, dates of admission and cessation, authorized traders and related details, and client agreements; (b) Details of any restriction, suspension or termination of the access of any user of CreditMatch, including the reasons for this; (c) All notices and other information, whether written or communicated through electronic means, provided by the licensee to the users of CreditMatch, whether individually or generally; and (d) Routine daily and monthly summaries of trading on CreditMatch, including: (i) the products in respect of which transactions have been executed; and (ii) their transaction volume, expressed in numbers of trades and total settlement value. (2) Keep, for a period of not less than two years, time-sequenced records of orders and any other actions or activities conducted on CreditMatch, as particularized below, in such manner as will enable them to be readily accessible and immediately convertible into written form in the Chinese or English language, and provide any such records to the Commission upon request: (a) The date and time that any order was received, executed, modified, cancelled or expired (where applicable); (b) The identity, address and contact details of the user of CreditMatch and authorized trader initiating an entry, modification, cancellation or execution of an order; (c) The particulars of any order and any subsequent modification and execution of the order (where applicable), including but not limited to, the products involved, the size and side (buy or sell) of the order, the order type, and any order designation, time and price limit or other conditions specified by the user of CreditMatch initiating the order; and (d) The particulars of the allocation and re-allocation (where applicable) of an execution. |
| 2020年11月25日 | 就第7類受規管活動而言，持牌人須就在CreditMatch上提供的自動化交易服務，在每個公曆月結束後兩個星期內或應證監會的要求，向證監會提供：(1) 就CreditMatch的十大用戶各自就每項不同類別產品而進行的交易，提供一份記錄有關交易量（以名義價值表示）的報告。(2) 就每項在CreditMatch上買賣的不同類別產品，提供一份記錄有關在CreditMatch上進行的交易總量（以名義價值表示）的報告。(3) CreditMatch用戶的身分及所在地。 For Type 7 regulated activity, the licensee shall, in relation to the provision of Automated Trading Services on CreditMatch, provide the Commission with the following, on a calendar monthly basis, within two weeks after the end of each calendar month, or as otherwise requested by the Commission: (1) A report recording the volume of trades for each of the different types of products, expressed in notional value, conducted by each of the ten largest users of CreditMatch. (2) In relation to each of the different types of products traded on CreditMatch, a report recording the aggregate volume of the trades, expressed in notional value, conducted on CreditMatch. (3) the identity and location of the users of CreditMatch. |
| 2020年11月25日 | 就第7類受規管活動而言，持牌人須就在CreditMatch上提供的自動化交易服務：(1) 制訂及維持：(a) 有助使買賣在CreditMatch上公平及有秩序地進行及確保所有相關法律及監管責任（包括該等與市場失當行為及賣空有關的責任）獲遵從的交易方法；及 (b) 用以監察在CreditMatch上進行的交易的自動化程序（包括有效及適時的監察匯報），以識別實際或可能違反任何有關在CreditMatch上公平及有秩序地進行買賣的規定的情況，或可能構成市場失當行為的違規情況。 (2) 持牌人在知悉任何實際或可能違反本條件第(1)(a)段所指的任何法律或監管責任，或本條件第(1)(b)段所指的任何規定的情況後，須即時通知證監會有關事宜，並應證監會可能合理地向持牌人提出的要求，就有關事宜向證監會提供額外協助。 For Type 7 regulated activity, the licensee shall, in relation to the provision of Automated Trading Services on CreditMatch: (1) Establish and maintain: (a) A trading methodology that facilitates fair and orderly trading on CreditMatch and ensures compliance with all relevant legal and regulatory obligations, including those relating to market misconduct and short selling; and (b) Automated procedures, including effective and timely surveillance reporting, to monitor transactions conducted on CreditMatch for the purpose of identifying breaches, whether actual or potential, of any requirements relating to fair and orderly trading on CreditMatch or which might constitute market misconduct. (2) Forthwith, upon becoming aware of any breach, whether actual or potential, of any legal or regulatory obligation referred to in paragraph (1)(a) of this condition or any requirement referred to in paragraph (1)(b) of this condition, notify the Commission of such matter and provide the Commission with such additional assistance in connection therewith as it might reasonably request from the licensee. |
| 2020年11月25日 | 就第7類受規管活動而言，持牌人須就在CreditMatch上提供的自動化交易服務：(1) 設立安排，以確保其能遵從證券及期貨事務監察委員會（“證監會”）就“客戶身分”（包括CreditMatch用戶的身分、地址及聯絡資料）不時修訂的規定。(2) 確保CreditMatch用戶可獲得關於CreditMatch運作的充分資訊。(3) 設立適當的安排，以確保CreditMatch用戶可獲得有關已完成交易的充分資訊。 For Type 7 regulated activity, the licensee shall, in relation to the provision of Automated Trading Services on CreditMatch: (1) Have arrangements in place to ensure that it will be able to comply with the requirements of the Securities and Futures Commission (“Commission”), as revised from time to time, concerning “client identity” (including the identity, address and contact details of the users of CreditMatch). (2) Ensure that sufficient information concerning the operation of CreditMatch is made available to the users of CreditMatch. (3) Have appropriate arrangements in place that ensure sufficient information about relevant completed transactions is made available to the users of CreditMatch. |
| 2020年11月25日 | 就第7類受規管活動而言，持牌人須就在CreditMatch上提供的自動化交易服務：(1) 就作出任何可能對CreditMatch的運作或CreditMatch用戶造成實質性影響的建議改動通知證監會，以使本會可以在有關建議改動實施前對其進行檢視及提出意見： (a) 公司架構及管治安排；(b) 業務計劃或運作；(c) 交易規則、交易時段及運作時間、系統營運商、硬件、軟件及CreditMatch的其他技術，以及CreditMatch與其他自動化交易服務之間的所有系統界面；(d) 持牌人在合約下對CreditMatch用戶所負有的責任；(e) 接納或不接納成為CreditMatch用戶的準則；及 (f) 為CreditMatch設立的業務延續及災後恢復計劃。(2) 在發生任何違反這些條件的情況時，將有關事件即時通知證監會。 (3) 在CreditMatch的運作出現任何影響CreditMatch用戶的重大服務故障或中斷事件的情況時，將有關事件即時通知證監會。(4) 當有關CreditMatch的任何最新檢討報告備妥後，即時向證監會提供有關報告。(5) 為其本身的運作及CreditMatch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更改通知證監會。 For Type 7 regulated activity, the licensee shall, in relation to the provision of Automated Trading Services on CreditMatch: (1) Notify the Commission of any proposed change to the following which might materially affect the operation of CreditMatch or the users of CreditMatch, in order that the Commission may review and comment on the proposed change prior to its implementation: (a) Corporate structure and governance arrangements; (b) Business plans or operations; (c) The trading rules, trading sessions and operating hours, the system operator, hardware, software, and other technology of CreditMatch, and all system interfaces between CreditMatch and other automated trading services; (d) The licensee’s contractual responsibilities in relation to the users of CreditMatch; (e) Criteria for approval or disapproval of the users of CreditMatch; and (f) The business continuity and disaster recovery plans in relation to CreditMatch. (2) Notify the Commission of any breach of these conditions forthwith upon its occurrence. (3) Notify the Commission of any incident of material service breakdown or disruption to the operations of CreditMatch affecting the users of CreditMatch forthwith upon its occurrence. (4) Provide the Commission with any updated review report concerning CreditMatch forthwith upon it becoming available. (5) Put in place appropriate business continuity plans and disaster recovery programmes for its operations and CreditMatch, 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
AUGIAS Cedric Alain Nicolas Marie | AFS898 | X | X | ||||||||
KHELIFI Amine | AVD507 | X | X | X | |||||||
LEAREY Dominic | BJQ653 | X | |||||||||
| 陸景生 LUK King Sang, Benny | AED814 | X | X | ||||||||
TAYLOR Stuart Andrew | AWX936 | X | X | ||||||||
WALSH Ashley Paul Jeffery James | BDX251 | X | X | X | |||||||
| 周申雄 ZHOU Shenxiong | AYC475 | X |
| 代表名字 | 中央編號 | RA1 | RA2 | RA3 | RA4 | RA5 | RA6 | RA7 | RA8 | RA9 | RA10 |
|---|---|---|---|---|---|---|---|---|---|---|---|
AUGIAS Cedric Alain Nicolas Marie | AFS898 | X | |||||||||
BERKANE LAVAUD Chiraz | AXG036 | X | X | X | |||||||
| 張仲言 CHEUNG Chung Yin | BNZ123 | X | X | X | |||||||
| 張凱竣 CHEUNG Hoi Tsun Kevin | BGI909 | X | X | ||||||||
| 張仁杰 CHEUNG Yan Kit Ken | BKK360 | X | X | ||||||||
| 趙胤熙 CHO Yunhee | BGM624 | X | X | X | |||||||
| 蔡啟民 CHOY Kai Man | BBS817 | X | X | ||||||||
CROOK Mark Jonathon | BFA896 | X | X | ||||||||
HADDAD Eve Alice | BPC749 | X | X | X | |||||||
HEARNE Kevin | BDI769 | X | X | ||||||||
HILL Victoria Margaret Nahathai | AOT983 | X | X | X | |||||||
KHO Garrett Tristan Arnaldo | AZL779 | X | X | ||||||||
| 羅雅盈 LAW Nga Ying | AQC354 | X | X | X | |||||||
LEAREY Dominic | BJQ653 | X | X | ||||||||
| 李澤南 LEE James | BJH960 | X | X | ||||||||
| 李柏燊 LEE Pak San Jonathan | AWI077 | X | X | ||||||||
| 林育玲 LIN Yu Ling | BRP269 | X | X | ||||||||
MASU Megumi | BGQ554 | X | X | X | |||||||
MEENAN Raymond David | AXW269 | X | X | X | |||||||
OKANO Ryuta | AWV082 | X | X | X | |||||||
PADER Stephane Michel Jacob | BNU917 | X | X | X | |||||||
SALONGA Benjamin III Puzon | BGB038 | X | X | ||||||||
SINGH Rohit | AVJ143 | X | X | X | |||||||
SUGARMAN Richard Neil | BKX038 | X | X | ||||||||
TAGAWA Ichiro | AXX263 | X | X | X | |||||||
TAYLOR Stuart Andrew | AWX936 | X | |||||||||
WATTEZ Philippe Marc Alfred | BCV660 | X | X | X | |||||||
| 黃鎮賢 WONG Jamie Jun Yin | BBN706 | X | X | ||||||||
| 黃志輝 WONG Philippe | BKN631 | X | X | X | |||||||
| 胡文音 WOO Ayane | BNR604 | X | X | ||||||||
| 胡美珊 WU Mei Shan | BRP270 | X | X | ||||||||
YABUT Vivian Chan | ASM299 | X | X | ||||||||
| 周申雄 ZHOU Shenxiong | AYC475 | X |
| 電話號碼 | 傳真號碼 | 電郵地址 | 通訊地址 |
|---|---|---|---|
| 34052832 | [email protected] |