Ref: SFC Q&A
CODE OF CONDUCT
近日多了客戶查詢, 要向客戶確認同意參與"高風險"衍生產品, 確認後才可以買賣有關產品.
但是甚麼才列入"高風險"呢 ? 一般是指期指及期權, 但窩輪又是否高風險呢? 目前沒有明確文件指示.
由客戶回應知道, 由用戶自行決定是最靈活的處理方法, 以下是 19/8/2011 更新之內容, 系統修改亦以此為準則
POP可以利用 以前管理"GEM" 股票的方法, 將 [G]改為[H], 代表HIGH RISK. 憑CONTRACT DATE 是否逾期作判斷.
POP會利用管理"GEM" 股票的方法, 在系統加入[H] 指標, 代表HIGH RISK. 憑CONTRACT DATE 是否逾期作判斷.
在STOCK MASTER有關股票加入[H]標記後, 資料匯入CAMS時, 前台就可以加以利用, 如客戶未有確認 (i.e. CONTRACT DATE : 27/09/10 ) 過期, 如果有 H 指標的股票
就可以拒絕進行買賣. 除非客戶經過審核, 才可以買賣較高風險的"引伸"產品
系統要修改的地方如下:-
19/05/2011 ---------------(231) STOCK MASTER ENTRY-----------------------------
STOCK NO :[0001 ] STOCK CODE :[CHEUNG KONG ]
ISIN CODE :[ ] GROUP :[ ]
MARKET CODE :[ ] CURRENCY :[ ]
MARKET FEE CODE :[ ]
STOCK NAME :[CHEUNG KONG (HOLDINGS) LIMITED ]
TRADE SUSPENDED (Y/N) :[ ] SUSPENDED ON :[ / / ]
CONTRACT STAMP (Y/N) :[Y] START LISTING ON :[01/11/1972]
TYPE :[ ] (G=GEM, B=BONDS, R=RIGHTS, L=LOAN STOCKS) HIGH RISK [H] 'H' for high risk, blank for normal
CCASS STOCK (y/N) :[Y] START CCASS TRADE ON :[ / / ](d/m/y)
LOT SIZE :[ 1,000] U. PRICE :[ 103.1000]
MARGIN RATIO :[ 0.600] (Negative means NO MARGIN)
ASSET GRADE (ABCDEFS) :[A] 0.85 Special Asset Ratio :[0.0000]
WARRANT/RIGHTS EXPIRY DATE :[ / / ] CDF : 1.0000 ELAR : 0.8500
-------------------------------------------------------------------------------
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Query
將 GEM 改為 H (i.e. High Risk), [ ] 內容許 G-type, 但系統不作檢測, 因為舊客的系統內仍有大量標記 G 的股票.
針對 HIGH RISK 股票, 可以用 [H] 標記, 目前是針對 WARRANT,衍生產品
為了方便用戶將所有WARRANT都標為 [H], 可以加入小工具, 由用戶自行輸入股票編號範圍, 並將HIGH RISK 標記為 [H].
然後在(A) CLIENT CONTROL , 將有關"GEM" 字樣, 改為 "HIGH RISK",
在系統內部, 原本檢視 [G] 的, 改為檢視 [H], 但要忽視 [G], (因為舊 DATA 仍有標記[G]的股票.
(A) CLIENT CONTROL
---------------------------------------------------
0. EXIT to MAIN MENU
1. TOPMOST BALANCE CLIENT LIST
2. "GEM" & MARGIN CONTRACT DATE SETUP
3. "GEM" & MARGIN CLIENT CONTRACT RENEWAL LIST
4. UPDATE NEW PIN FROM EXTERNAL SYSTEM
將 "GEM" 改為 "HIGH RISK STOCK"
| (Windows ▓╙⌐·┼Θ) (A2) "GEM" & MARGIN CONTRACT DATE SETUP Share |
+------------------------------------------------------------------------------+
CLIENT A/C NO : A1 STATUS : A ACTIVE
CLIENT NAME : NAME OF A1
RUNNER : C01
A/C OPEN DATE : 27/09/10 (dd/mm/yy)
CONTRACT RENEW DATE : (dd/mm/yy)
"GEM" CONTRACT DATE : 27/09/10
--------------------------------------------------------------------------------
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Query
將 "GEM" 改為 "HIGH RISK STOCK"
-------- (A3) "GEM" & MARGIN CLIENT CONTRACT RENEWAL LIST ----
0. EXIT
1. "GEM" CONTRACT REPORT
2. MARGIN CONTRACT RENEWAL LIST
1. REPORT in CLIENT A/C NO Sequence
2. REPORT in CLIENT NAME Sequence
3. REPORT in RUNNER & CLIENT NAME Sequence
4. REPORT in RUNNER & CLIENT A/C NO Sequence
在 CLIENT MASTER 加入 ALLOW HIGH RISK [N] default [N], 及空白 代表不可以買賣已標記為HIGH RISK之產品, 祇有 [Y],才可以買賣HIGH RISK=[Y] 的產品.
19/05/2011 -------------- (211) CLIENT MASTER ENTRY ---------------------------
這段可以取消
CLIENT A/C NO : A1 ALLOW HIGH RISK [N] (MARGIN = Mxxxx, INTERNAL = Ixxxx)
LOCATION (12) : VERIFIED ON [dd/mm/yyyy] (ACCOUNT = Axxxx, RUNNER = Cxxxx)
CHARGE CCASS FEE (N=No) : CBBC (Y/N) : N INDIVIDUAL
CL NAME : NAME OF A1
CHQ NAME :
ADDR 1 : ADD1 OF A1 ID / BR NO :
2 : ADD2 OF A1 TEL NO (Home) :
3 : (Office) :
BANK : COMM RATE: 0.2500
A/C NO : MIN COMM: 100.00
COMM CODE : 01 REBATE RATE: 0.1500
RUNNER CODE : C01 MIN REBATE: 50.00
SEND CONFIRMATION (Y=Yes) : NET COMM: 50.00
INTEREST CODE : DB INT RATE:
MARGIN RATIO : CR INT RATE:
TRADING / LOAN LIMIT : OVRSEA: FAX NO:
RINT DIVIDEND CHEQUE (Y/N) : ATTN :
-------------------------------------------------------------------------------
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Query Replicate Output *GEM* (has footnote)
如何使用有關設定
1. 在CAMS, 檢查STOCK MASTER,
如果 HIGH RISK=[Y], 檢查客 ALLOW HIGH RISK [ ]
如果 [Y], 可以進行交易
如果是 [N], 檢查條件
A. REJECT
B. PASS TO OBTAIN APPROVAL
在修改CAMS之同時, 在CAMS CLIENT畫面加入 TSF 選擇, Click 一下, 就可以將 TSF 字樣加入"Broker Comment" 一欄,
當然, 對於未成交之指示, 可以更改, 或者取消
2. 在 SB/GSB 印出 ALLOW HIGH RISK 客戶名單
A. All client with [Y]
B. Print list by A/E
目的是未有 cams 的用戶, 可以憑報表知道有關客戶, 是否獲批准買賣 HIGH RISK 產品
3. 在 M-7-5-4 加入標示, 用戶也可以看到有關客戶可否進行 HIGH RISK 產品
ALLOW HIGH RISK <---- 有權買賣HIGH RISK 產品
CLIENT : A1 RUNNER: C01 BRANCH: *GEM*
NAME : NAME OF A1 NAME: NAME OF C01
TELEPHONE : STATUS : A ACTIVE
TRADING LIMIT : 0.00
OUTSTANDING BALANCE : 297,425.60
AVAILABLE BALANCE : 297,425.60 UNSETTLED BALANCE : 0.00
PAST DUE OVER 4 DAYS: 98,712.80
CCY Outstanding Principal T+1 T+2 Interest
HKD -297,425.60 -297,425.60 0.00 0.00 0.00
NO.OF CLOSING MARKET # BOARD
STOCK SHARES PRICE VALUE LOTS
--------------------------------------------------------------------------------
#0005 HSBC HOLDINGS 4,800 139.30 668,640.00 12
#0133 CHINA MERCHAN 10,000 21.40 214,000.00 5
--------------
TOTAL: 882,640.00
Unrealized
Stock No & Code Trade Qty Cost Market Value Profit/Loss
#0005 HSBC HOLDINGS 4,800 397,425.60 668,640.00 271,214.40