Our Ref: 2711
Subject: SFO SEMINAR
1. Modification on TRUST A/C calculation on SB-1
在POP系統內,將生效日期,由3天不動資金,改為T+2生效, 用戶使用POP系統之TRUST A/C REPORT,
方法同以前一樣, 每天將報表之TRUST A/C BALANCE與銀行比較, 大於銀行數就要從CURRENT A/C,
撥款至TRUST A/C, 令數字與報表相同即可. 相反, 可以從TRUST A/C 撥回至CURRENT A/C.
Special Case:- Dr Cr Due Bal
T+0 day sold a stock 50,000
T+1 day buy a stock 40,000
T+2 day sold trade due 50,000 Cr
T+3 day bought trade due 10,000 Cr
Question 1.1.:- On T+2 day,
should SB indicate to transfer 50,000 to trust or to transfer 10,000 to trust a/c ?
答案: 是$10,000 (這方式已經在28/2/2003 SFC MEETING中澄清)
2. Add report on SB-1 to provide information for preparing FORM VI of FRR
to cater ROLLING BALANCE TYPE CASH CLIENT
這是個新的報表(REPORT "AL"), 原理同MARGIN CLIENT 的TOP 20
問題是: 甚麼人是ROLLING BALANCE TYPE CASH A/C ?
原則上, POP系統的'A','C' 是一條條TRADE 交收, 不是ROLLING BALANCE.
'P' 改為CUSTODIAN TYPE時, 即是 ROLLING BALANCE.
印"AL" 報表時, 請篩除"M,A,C", 此報表將會祇計算'P'客.
注意: 貴公司可以將全部CASH 客戶設定為ROLLING BALANCE TYPE, 則請篩除"M" 即可.
在證監的角度, ROLLING BALANCE A/C 是已經簽了授權, 不能交收時, 貴公司可以主動沽貨,
減少損失. 簽署授權, 是否已經包含在客戶合約內, 如果沒有, 貴公司要另外加此條款, 由客人
確認. 貴公司應該與專業人士了解合約上之字眼.
3. Modify SB-1 for CDF not to read related data (in associate with Upgrade Utilities)
這是POP系統內部操作,用戶不用花時間研究
Please note following changes of FRR effective from 1 April 2003:-
- HSI Constituent Stocks & HSI Large Cap Stocks -- 15% discount
- HS Mid Cap Stocks -- 20% discount
- ELI, discount same as underlying stock
- no related stock
- Hair cut of Bonds will depend on credit grade and aging years.
4. Allow user to input asset ratio of Bonds products. (depending on Credit grade & Aging)
雖然買賣債券的情況,目前尚不頻繁,但新例處理BONDS,要依信貸評級,及尚餘年期來作扣減,所
以POP系統為債券類產品,加入了特別類別.
證監已明言"不會"提供比率數字,貴公司要自行在填寫FRR,印出報表前輸入適當數字.
以下修改, 尚在進行中:-
5. Modify Contract Note (以上各系統) to add CLIENT TYPE (MARGIN / CASH), MARKET, ISSUE DATE.
6. Modify (以上各系統) Daily Combine Statement as above.
以上 1-4 項為系統內部之修改, 有保養合約之用戶, POP會免費修改,UPGRADE後即可使用.
第 5 - 6 項,因為人人不同, 而且各公司有自已的格式要求, POP不會未經同意而更改.
如貴公司同意, 請安排樣本, 標明要修改之內容位置, 請於 15/3/2003前交POP安排,
以確保在1/4/2003 前準備妥. 之後再要求修改, 可能不能準時交付了.
費用::- (** 租用POP系統之用戶, 同樣有效 **)
1. Bought/Sold Note (one price for two) HK$1,000
2. Pre-printed Daily combine statement HK$1,000
------------------------------ ORDER FORM ------------------------------------
Co Name : __________________________________________________________ Broker No: _________
Contact : __________________________________ Tel: __________________ FAX: _______________
Email : __________________________________________________
We would like to order the following work to make them comply with the new SFO which
will be effective from April 1,2003. (Please tick and have sample ready)
BOUGHT/SOLD NOTE DAILY COMBINE STATEMENT
SB-1 HK STOCK SYSTEM), ______ ______
SB-16 OVERSEA SYSTEM), ______ ______
SB-17 MARGIN OVERSEA, ______ ______
OB-1 EQUITY OPTION, ______ ______
Total : (A) (B)
(** APPLICABLE TO RENTAL PLAN USER **) The cost is ((A) + (B)) x $1000
We have prepare a _____________ Bank Cheque # _______________ with amount HK$ __________
for collection, and also we have one set of sample form for design reference. Please
arrange delivery before March 31,2003.
e.g. If you have BOUGHT NOTE, SOLD NOTE, AND MONTHLY STATEMENT for SB-1 modified.
The total cost will be HK$ 2,000 ( A =1, B = 1, )
If you also have Foreign Stock (SB-16), A=2, B=2, and the total will be HK$4,000.
Rate of tariff:-
1. Bought/Sold Note (one price for two) HK$1,000
2. Pre-printed Daily combine statement HK$1,000
Others (其它修改):-
7. Add remark to indicate a trade was initiated by the intermediate.
modify "(314) Trade Compression" to cater for "Initiated by the intermediate"
case.
In Daily/Combined/Monthly Statement, the trades initiated by the intermediary
will be indicated with a leading symbol in trade document no.
User may input any one of following symbol in transaction entry: !@#%&*
Any non blank characters other than these symbol will be converted to '*'.
凡是中介人引發之交易, 都要在有關交易加上符號. 目前我們採用了!@#%&* 作為可用之符號,
讓用戶在輸入交易時作標記. 印出結單時,或在買賣單上,依所輸入之符號印出.
不同符號,一概稱為"Initiated by the intermediate" 即"公司引發"交交易.
貴公司可以用不同符號分別代表: 斬倉,補購,...等, 符號的意義, 由貴公司自訂, 請決定後
劃一採用,不要改變,避免令SFC不滿.
8. For import trading text file from external system, the layout of text file will change.
如貴公司有將交易輸入POP系統, 輸入之檔案格式,會修改,配合上述 7 項之要求.
請與POP聯繫,索取最新格式.
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