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香港计划明年实施股票投资实名制
Hong Kong aims to implement investor ID requirement next year

来源:FT中文网    2017-10-07 19:00



        Hong Kong regulators are looking to implement an identification programme for all investors in the city looking to buy shares traded on the mainland, according to a legislator representing the city’s financial sector.        一名代表香港金融业的香港立法会议员表示,香港监管机构计划对打算买入在中国内地交易的股票的所有香港投资者实施实名登记制。
        The plans would bring Hong Kong, a semi-autonomous Chinese territory, into line with requirements on the mainland, where investors must register with their real name and identification card, to make traders accountable in the event of market manipulation.        该计划将使半自治的香港与内地的制度要求保持一致。中国内地投资者必须以身份证进行实名登记,目的是在出现市场操纵行为时便于追责。
        The plans target trading through the Connect programme, by which Hong Kong investors can buy shares on the mainland, and vice versa. The Hong Kong-Shanghai Stock Connect was launched in late 2014 and the companion Shenzhen Connect arrived December 2016.        该计划针对的是内地和香港股市互通互联项目下的交易。通过这些项目,香港投资者可以购买内地股票,反之亦然。沪港通是在2014年末推出的,而深港通在2016年12月推出。
        Both the Hong Kong and mainland stock markets have been affected by concerns about poor corporate governance and market manipulation. Regulators in Hong Kong have stepped up their enforcement, targeting volatile trading driven by mainland inflows and often resulting in investigations into mainland groups.        对糟糕的公司治理和市场操纵行为的担忧同时影响着香港和中国内地股市。香港监管机构针对内地资金流入带来的股市波动加强了执法,这往往会导致针对内地公司的调查。
        Christopher Cheung, a stockbroker and member of Hong Kong’s Legislative Council who represents the financial services industry, said that the Securities and Futures Commission, the city’s regulator, was likely to release information in the next couple of months and could implement the rules early next year.        香港立法会议员张华峰表示,香港证监会有可能在今后两个月放出消息,并可能在明年初实施这些规则。张华峰也是一名证券经纪商,在立法会中代表香港金融服务业。
        “It takes time to improve the clearing and settlement system, the brokerages will need to install new software, and they will need to sign new contracts with their customers to make sure that they are aware of the new information collection,” he said.        张华峰说:“改进清算和结算系统需要时间,经纪商需要安装新的软件,还需要与客户签订新合同,以确保客户了解新的信息收集制度。”
        He added that some investors might have privacy concerns with their information being shared, but that the mainland would likely require Hong Kong to implement the system as part of its plans to integrate the markets.        他补充道,一些投资者可能会对他们的信息被分享存在一些隐私方面的担心,但内地可能会要求香港实施这种制度,作为其整合市场计划的一部分。
        In June, the Hong Kong and Chinese governments signed an agreement to “promote and protect” cross-border investments, granting investors in both jurisdictions freer access to each other’s markets.        今年6月,香港政府和中央政府签署了促进和保护两地投资的协议,为内地和香港投资者放宽了两地市场的准入。
        The SFC and Hong Kong Exchanges and Clearing, which operates the Hong Kong stock exchange, declined to comment.        香港证监会和经营港交所的香港交易及结算所有限公司(Hong Kong Exchanges and Clearing)拒绝置评。
        A spokesman for HKEX told Caixin, a Chinese financial magazine, in August that it was “actively discussing” real-name registration and that if it was implemented it would “only apply to investors under the Stock Connect programme”.        今年8月,港交所的一名发言人告诉中国金融杂志《财新》,港交所正“积极商讨”实名制,一旦实施,实名制将“只适用于香港与内地股市互联互通项目下的投资者”。
        One senior banker in Hong Kong said that the rules could trigger a slowdown in the trading of “certain names” but he did not expect much impact on overall trading levels.        一名资深香港银行家表示,新规可能引发“某些股票”的交易放缓,但他并不认为整体的交易水平会受到很大影响。
        “People have gotten comfortable with more transparency and more disclosure,” he said, adding that buoyant Hong Kong markets have been driven by a new southbound pool of money that is “entirely legitimate”.        他说,“人们已经适应了更高的透明度和更多的信息披露,”他补充说,新的南下资金池驱动了香港市场的繁荣,这些资金是“完全合法的”。
                
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