Accredited Investor Status

Based on the information you provided,  you have been assessed by us to be an AI (please see Schedule 1 for more information) and we intend to treat you as an AI (please see Schedule 2 for more information) provided you agree to opt-in to indicate your consent to be treated as an AI.  You will not be treated as an AI, if you choose not to opt-in.

Opting-In

If you would like us to serve you as an AI, you will be required to provide your consent to opt-in by ticking the Opt-In Confirmation box.  Your signature on the account opening documents will constitute your consent to opting in once you ticked this Opt-In Confirmation box.  Your “AI” status will apply to all your accounts with us, including joint accounts (unless any of your joint account holders choose not to opt-in in the case of your joint accounts). For corporate accounts, the corporate representative is responsible for checking the Opt-In Confirmation box if the intention is for the corporate account to be treated as an AI.

Opting-Out

After you have opted-in,  you may at any time notify us that you do not consent to being treated as an AI.  After 14 days of our receipt of your notice, we will discontinue treating you as an AI when you opt-out.

If you would like to opt-out of your “AI” status at the time of account opening, you will then need to tick the accompanying Opt-Out Confirmation box. Your signature on the account opening forms will indicate your consent to op out once you ticked this Opt-Out Confirmation box.  We will notify you once your investor status has been updated in our records.  Until such time, we will continue to treat you as an AI.  When you opt-out, you will be served as a Non-AI which means we will no longer be able to offer you certain products and services that are offered only to AI customers. You will also be required to sign certain risk disclosure statements and/or have product restrictions placed on your trading.  If you wish to subsequently opt-out after account opening, please contact our Customer Service Center.

 

Other Holders Not Opting in (Joint Account(s))

For a joint account to be opened with us with the intention of being served under the AI status, all account holders of the relevant Joint Account are required to provide their opt-in consent.

Should any one of the account holders of a Joint Account with AI status opt out, the Joint Account will be affected and we would no longer be able to offer you certain products and services that are only offered to AI customers via that Joint Account.  We can only continue to provide non-AI services for dealing through that Joint Account.  For the avoidance of doubt, this will not affect the status of accounts other than the relevant Joint Accounts(s). If you wish to subsequently opt-out after the joint account opening, please contact our Customer Service Center.

 

Corporations Not Opting in (Joint Account(s))

Should the Corporate Account not want to be treated as an AI, it can choose to opt out at the time of account opening. The corporate representative is responsible for ticking the Opt-Out Confirmation box if the intention is for the corporate account to be treated as an AI.

Should any one of the AI shareholders of a Corporate Account with AI status opt out, the Corporate Account will be affected and we would no longer be able to offer you certain products and services that are only offered to AI customers via that Corporate  Account.  We can only continue to provide non-AI services for dealing through that Corporate  Account.  For the avoidance of doubt, this will not affect the status of accounts other than the relevant Corporate Accounts(s). If you wish to subsequently opt-out after the corporate account opening, please contact our Customer Service Center.

 

SCHEDULE 1 – ACCREDITED INVESTOR AS DEFINED IN SECTION 4A(1)(a)(i) OF THE SFA

“Accredited investor” means 

An individual

(a)  those net personal assets exceed in value $2 million (or its equivalent in a foreign currency) or such other amount as the Authority may prescribe in place of the first amount;

(b)  whose financial assets (net of any related liabilities) exceed in value $1 million (or its equivalent in a foreign currency) or such other amount as the Authority may prescribe in place of the first amount, where “financial asset” means —

(i)               a deposit as defined in section 4B of the Banking Act;

(ii)             an investment product as defined in section 2(1) of the Financial Advisers Act; or

(iii)            any other asset as may be prescribed by regulations made under section 341of the SFA; or

(c)  whose income in the preceding 12 months is not less than $300,000 (or its equivalent in a foreign currency)

 

In determining the value of an individual’s net personal assets for the purposes of subsection (1)(a)(i)(A), the value of the individual’s primary residence —

 

(a)   is to be calculated by deducting any outstanding amounts in respect of any credit facility that is secured by the residence from the estimated fair market value of the residence; and

(b)   is taken to be the lower of the following:

(i)               the value calculated under paragraph (a);

(ii)             $1 million.

 

A corporation 

(a) its net assets exceed S$10,000,000 (or its equivalent in a foreign currency) as determined by

(i) its most recent audited balance-sheet or

(ii) its balance-sheet certified by the Corporation as giving a true and fair view of its state of affairs as of the date of the balance-sheet (which date is within the twelve (12) months preceding the date of submitting this form); or

(b) its entire share capital is owned by one or more persons, all of whom are accredited investors as defined in section 4A of the SFA.

 

SCHEDULE 2 – EXPLANATION OF EFFECT OF BEING TREATED AS AN ACCREDITED INVESTOR UNDER THE CONSENT PROVISIONS

 

General Warning : Accredited investors are assumed to be better informed, and better able to access resources to protect their own interests.  Because accredited investors are considered to be more financially savvy, it is inferred they therefore require less regulatory protection.  Investors who agree to be treated as accredited investors accordingly forgo the benefit of certain requlatory safeguards.  However, it has been observed that using factors of net worth and/or net income to determine who is an accredited investor, is not necessarily a reflection of how financially savvy an investor can be. Investors should consult a professional adviser is they do not understand any consequence of being treated as an accredited investor. 

The following sets out a summary of the effects under the consent provisions of you being treated by us as an accredited investor.  Where we deal with you as an accredited investor, we would be exempt from complying with requirements under the Securities and Futures Act, Chapter 289 of Singapore (the “SFA”) and certain requlations and notices issued thereunder. 

Please note that the regulatory requirements that we are exempted when dealing with you as an accredited investor are subject to regulatory changes and may be updated from time to time.  Currently, the relevant consent provisions come under the Securities and Futures (Licensing and Conduct of Business) Regulations.

Under the SFA and the regulations and notices issued thereunder:

1.    Compensation from fidelity fund under Section 186(1) the SFA.  Section 186(1) of the SFA provides for a fidelity fund to be held and applied for the purposes of compensating persons who suffer pecuniary loss because of certain defaults.  You would not be entitled to be compensated from the fidelity fund, even if you have suffered pecuniary loss in the manner contemplated under Section 186(1) of the SFA.

 

2.    Prospectus Exemptions under Section 275 and 305 of the SFA.  Sections 275 and 305 of the SFA exempt the offeror from registering a prospectus when the offer of securities and securities-based derivatives contracts, and units of collective investment schemes is made to relevant persons (including accredited investors).  In addition, secondary sales made to institutional investors and relevant persons remain exempt from the prospectus registration requirement provided that certain requirements are met. You can be offered certain products that cannot be offered to retail investors.  The issuer and/or offeror is not subject to the statutory prospectus liability under the SFA.  Subsequent sales of securities, securities-based derivative contracts and collective investment schemes first sold under inter alia Section 275 and 305 can also be made to you, as well as transfers of securities of certain corporations and interests in certain trusts.

3.    Restrictions on Advertisements under Section 251 and 300 of the SFA.  Section 251 and 300 of the SFA prohibit any advertisement or publication referring to an offer or intended offer of securities and securities-based derivatives contracts, and unit of collective investment schemes from being made.

 

4.    Part III of the Securities and Futures (Licensing and Conduct of Business) Regulations (“SFR”). Part III of the SFR stipulates the requirements imposed on us in relation to the treatment of customers’ assets.  We are exempt from treating your as a “retail investor” in relation to certain requirements pertaining to the treatment of a retail customer’s assets, as summarised below.

 

-        Customer Assets (Regulation 26(1)(a))

For retail investors, we deposit customer assets into a custody account maintained in accordance with Regulation 27 of the SFR (requires the custody account to be maintained with certain specified institutions only); or  into an account directed by the retail customer to which the retail customer has legal and beneficial title and maintained with, inter alia , licensed banks, merchant banks or finance companies or banks established and regulated as banks outside Singapore. For an accreditor investor, we deposit customer assets into a custody account maintained in accordance with Regulation 27 of the SFR (requires the custody account to be maintained with certain specified institutions only); or into an account directed by the accredited investor.

 

-        Disclosure requirement (Regulation27A)

For retail customers, we make certain disclosures (such as whether the assets will be commingled with other customers and the risks of commingling, consequences if the institution which maintains the custody account becomes insolvent) in writing prior to depositing assets in custody account. There is no such requirement for accredited investors.

 

-        Mortgage if customer’s assets – the bank may mortgage, charge, pledge or hypothecate customer’s assets for a sum not exceeding the amount owed by the customer to the bank (Regulation 34(2))

Prior to doing so, the bank must inform the retail customer of this right and explain the risks and obtain written consent of the retail customer. There is no equivalent requirement on an accredited investor.

 

-        Prohibition on transferring title of assets received from customer to the bank or any other person (Regulation34A)

The above prohibition applies to retail customers unless the assets are transferred in connection with borrowing or lending of specified products in accordance with Regulation 45 of the SFR.  There is no such requirement for accredited investors.

-        Withdrawals from custody account to transfer the asset to any other person or account in accordance with the written direction of the customer (Regulation 35(2))

For the retail customers, we are not permitted to transfer retail customer’s assets, to meet any of our obligations in relation to any transaction entered into by us  for our benefit. There is no such requirement for accredited investors.

 

5.    Regulation 47BA of the SFR.  Regulation 47BA of the SFR provides that a bank must not deal with a retail customer as an agent when dealing in certain markets products.  We ae not subject to this prohibition if you are an accredited investor and may deal with you as an agent in relation to over-the-counter derivatives contracts and/or spot foreign exchange contracts, for the purposes of leveraged foreign exchange trading.

 

6.    Regulation 47E of the SFR.  We are not under any obligation under Regulation 47E(1) and (2) of the SFR to provide for certain risk disclosure requirements for (a) trading in futures contracts, spot FX contracts for the purposes of leveraged FX trading and FX OTC derivatives (the “Products”), (b) soliciting or entering into fund management agreements to manage Products for you.

 

7.    Section 99H(1)(s) of the SFA read with Regulations 3A(5)(c), (d), (e) and (7) of the SFR. If we appoint a provisional representative or temporary representative in respect of any SFA regulated activity, we would undertake certain responsibilities in relation to the representative’s interactions with any client or member of the public.  We are not under any statutory obligation to restrict the interaction with you that may be undertaken by such representatives.

 

8.    Regulation 33 of the SFR.  We are not under any statutory obligation under Regulation 33(2)(a) of the SFR to explain the risks involved to you prior to us lending or arranging for a custodian to lend your specified products.

 

9.    Regulation 40 of the SFR.  Provided: (a) we have made available to you (on a real-time basis) with your consent monthly and quarterly statements of account containing prescribed particulars electronically or (b) you have requested in writing not to receive the statement of account, we are not under any statutory obligation under Regulation 40(1) of the SRG to furnish a monthly or quarterly statement of account to you.

 

10. Regulation 45 of the SFR.  We are not under any statutory obligation to provide collateral to you under Regulation 45 of the SFR when we borrow specified products from you.  Where we provide assets to you as collateral for the borrowing, unlike for retail investors, the agreement does not have to include the requirement to mark-to-market on every business day the specified products that are borrowed nor the minimum collateral comprising specified products nor procedures for calculating the margins.

 

11. Regulation 47DA of the SFR.  We are not required to provide certain general risk disclosures or disclose to you the capacity in which we act when opening a trading account for entering into transactions of any products that are not future contracts, spot FX contracts and FX OTC derivatives.

 

12. MAS Notice on the Sale of Investment Products [Notice No SFA 04-N12]. This MAS Notice sets out requirements which apply to a licensed person who deals in investment products to its clients. We are statutorily not required to conduct a Customer Knowledge Assessment or Customer Account Review to determine your investment experience and knowledge nor are we required to comply with certain procedures, including furnishing certain risk warnings on overseas-listed investment products.

 

 

ACKNOWLEDGEMENT OF RECEIPT OF THIS NOTIFICATION ON THE OPT-IN/OPT-OUT OPTION FOR ACCREDITED INVESTORS

Your signature on the account opening forms will indicate your acknowledgement that you have read this NOTIFICATION ON THE OPT-IN/OPT-OUT OPTION FOR ACCREDITED INVESTORS and understand its contents.

 

 

A.        资金转账限制 – 俄罗斯卢布（RUB）

B.        持有俄罗斯证券仓位的客户

• 受制裁的俄罗斯证券

• 未受制裁的俄罗斯证券 

C.       俄罗斯美国存托凭证（ADR）/全球存托凭证（GDR）

D.        来自乌克兰某些地区的客户

• 卢甘斯克和顿涅茨克地区

  • 账户限制

• 赫尔松和扎波罗热地区

E.       在受制裁银行持有账户的客户

F.         对俄罗斯或白俄罗斯国民、公民和/或居民造成影响的限制

• 莫斯科证券交易所（MOEX)

• 欧盟证券限制 

 

A. 资金转账限制 – 俄罗斯卢布（RUB）

跟许多金融机构一样，IBKR也在逐步降低对俄罗斯卢布（RUB）的风险敞口。 

 1.      卢布资金转账有哪些限制？

卢布存款
IBKR不再接受卢布存款。 任何卢布存款均会被拒绝。

IBKR会根据您账户所属IBKR实体定期将卢布余额兑换成美元或欧元。 请访问IBKR知识库了解关于货币兑换的详细信息。

 卢布取款
目前，我们接受卢布取款请求。 但是，我们无法保证银行会处理该等请求。

 2.      如果我账户的基础货币就是卢布怎么办？

目前IBKR不允许客户将卢布作为基础货币。 如果您先前以卢布为基础货币，我们已根据您的IBKR实体将其兑换成了美元或欧元。（该等信息可参见IBKR知识库）。

 

B. 持有俄罗斯证券仓位的客户

美国和其它国家政府专门针对某些发行证券的俄罗斯公司实施了制裁，意味着该等证券无法交易或转账。 此外，美国还禁止买入所有俄罗斯公司新发行的和已发行的债务性证券和权益性证券。 因此，俄罗斯证券的交易或被完全限制，或被部分限制。  

1.      哪些俄罗斯证券被限制？

某些受特定制裁的俄罗斯证券已于2022年5月25日被完全限制。 您当前无法就任何受制裁的俄罗斯证券进行交易或转仓。 

 自2022年6月6日起，您无法就未受制裁的俄罗斯证券开立新仓位（多头或空头），但仍可卖出或继续持仓。  

受制裁的俄罗斯证券

1.     如果持有受制裁的俄罗斯证券，我还能访问自己的账户吗？

可以，您可以全权访问您自己的IBKR账户。 但是，您将无法就任何受制裁的俄罗斯证券进行交易或转仓。

2.     我可以把我持有的受制裁俄罗斯证券的仓位转至其它经纪商吗？

不可以。 所有受制裁俄罗斯证券的相关仓位均已被冻结。除非制裁解除或者您从OFAC取得特种许可证，否则您无法就该等证券进行交易或转仓。

3.    受制裁的俄罗斯证券可以获得股息吗？

 不能。托管机构不会向IBKR分配股息，IBKR也不得处理受制裁证券的付息。

4.     受制裁俄罗斯证券的公司行动如何处理？

IBKR不会对受制裁的俄罗斯证券执行处理，包括会改变您仓位价值的公司行动（包括将证券持仓转换成现金，如通过强制要约收购或现金并购或增资扩股）。拆股和其它不会改变您仓位价值的公司行动可能可以处理。

受英国和加拿大制裁的证券：

1.     还有哪些制裁适用于英国和加拿大客户？

英国和 加拿大在美国和欧盟制裁的基础上还针对某些俄罗斯发行人施加了额外制裁。 对于被英国和加拿大制裁的俄罗斯发行人，英国和加拿大人士（包括IB英国和IB加拿大的客户以及英国或加拿大的公民/居民）被完全限制进行任何交易或转仓。 该等证券为当前或曾经在莫斯科证券交易所、维也纳证券交易所、斯图加特证券交易所和纳斯达克证券交易所挂牌的证券。 最新的发行人列表请参见：哪些俄罗斯证券受到了限制？

对于IBUK、英国（包括英国属地）公民以及居住在英国或英国属地内的人士：

未受制裁的俄罗斯证券

1.      未受制裁的俄罗斯证券有什么限制？

美国的制裁禁止美国金融机构支持客户买入任何俄罗斯公司的证券。 这意味着，您无法就俄罗斯证券（包括其衍生品）开立新仓位。 

2.      我必须要把持有的未受制裁俄罗斯证券仓位卖掉吗？

不是。 对于未受制裁的俄罗斯证券，您可以自行决定是继续持仓还是将其卖出。请注意，您能否平仓该等仓位可能会受到交易所或当地规则的限制。例如，俄罗斯中央银行的当前限制就使得IBKR的客户无法在莫斯科证券交易所进行任何交易（开仓或平仓）。

3.      卖出未受制裁俄罗斯证券有截止时间限制吗？

没有，撤出投资没有时间限制。只要证券对应的市场对IBKR开放交易，您随时都可以卖出持有的未受制裁俄罗斯证券。例如，目前IBKR就不能接入莫斯科证券交易所。

4.      我可以继续在二级市场上买入俄罗斯证券或主权债吗？

不可以，禁止适用于任何俄罗斯实体发行的债务性和权益性证券，包括主权债。 您可以卖出或继续持有您的俄罗斯证券或债券持仓，但无法再进行新的买入。 

5.      我可以把我的ADR和GDR转换成未受制裁的俄罗斯证券吗？

IBKR不支持将您的ADR和GDR转换成以您IBKR账户为接收目的地的卢布计价证券。但可以在尽最大努力的基础上帮助实施以非IBKR账户为接收目的地的转换。下面我们将对ADR和GDR进行更详细的讨论。

6.      我可以将我持有的未受制裁俄罗斯证券仓位转仓吗？

可以，您可以将该等持仓转至您在其它经纪商处的账户，只要接收经纪商可以接受。

7.      未受制裁的俄罗斯证券可以获得股息吗？

由于俄罗斯中央银行政策更改，IBKR现无法处理任何俄罗斯证券的股息支付。客户应联系发行人获取股息。

 

8.      未受制裁的俄罗斯证券的公司行动如何处理？

我们注意到，许多未受制裁的俄罗斯证券的公司行动我们的托管银行都未予以处理。 但对于托管银行处理的公司行动，IBKR都会将公司行动转给客户账户。  

 

C. 俄罗斯美国存托凭证（ADR）/全球存托凭证（GDR）

俄罗斯一项新颁布的联邦法律禁止俄罗斯发行人的股票通过ADR或GDR的形式在俄罗斯以外的市场交易。此外，某些俄罗斯ADR/GDR还受到美国制裁。

1.      哪些俄罗斯ADR和GDR受到了制裁？

受制裁的俄罗斯ADR和GDR列表请参见此处。

查看受制裁俄罗斯证券列表时请参考以下限制编码。

• 19999 - IB Global受限
• 10399 - IB-CAN受限
• 10499 - IB-UK受限
• 10599 - IB-UKL受限
• 11299 - UK+个人受限
• 19902 - IB-Global禁止开仓
• 19905 - IB-Global禁止转入转账

 2.      我可以转账我的俄罗斯ADR/GDR吗？

目前，IBKR允许将未受制裁俄罗斯ADR/GDR转至您位于其它金融机构的账户，但不允许转账受制裁的俄罗斯ADR/GDR。 

3. 我可以把我的ADR/GDR转成普通股吗？

如果您满足以下要求，IBKR会在尽最大努力的基础上为符合条件的ADR/GDR处理取消请求。

• 您在俄罗斯银行持有“C”类证券账户可以接受当地市场的普通股。 注意：IBKR无法接收转换后的普通股。
• ADR/GDR或底层公司、受益所有者或接收普通股的机构均未受到制裁。
• 对应的保荐银行账簿接受取消。 请访问保荐银行网站了解账簿的开放/关闭状态，该状态可能会经常变化。
• 您可以证明截至2022年4月27日自己是登记日持有人，并且在转换过程中没有发生所有权变更。  

 4.         如何针对符合条件的ADR/GDR发起转换？ 

请向客服提交咨询单，咨询单必须包含以下内容：

• 附上填写完整（且已签字）的证明和传送表格（如Gazprom）或指令函（如Lukoil）。
• 表格必须包含您用以接收普通股的证券账户号码和接收银行的30位代码。没有这一代码将无法处理转换。
• 转换会涉及以下费用。请在咨询单中同意缴纳该等费用，并确保账户中有足够资金：
  • 每张DR0.05美元（向上取整到最近的整百DR的费用） – 保荐银行取消费用（代收）
  • 17.50美元 – 电汇费用 – 保荐银行收费（代收）
  • 500美元 – IBKR转换费用

 

 D. 来自乌克兰某些地区的客户

卢甘斯克和顿涅茨克地区

2022年2月，由于俄罗斯在乌克兰的军事行动，美国、英国和欧盟对俄罗斯实施了一系列制裁。其中包括对卢甘斯克和顿涅茨克地区的个人和实体实施限制，与2014年的克里米亚制裁类似。

账户限制

1. 为什么我的账户还会被限制？

您的账户有一个位于乌克兰卢甘斯克或顿涅茨克地区的地址。 美国政府集中针对乌克兰的这两个地区实施制裁。 该等制裁有一个短暂的缓冲期，于2022年3月23日结束。作为一家美国金融机构，须对上述两个地区之客户的交易进行限制。

2. 我现在不生活在卢甘斯克人民共和国或顿涅茨克人民共和国。 我居住在其它地区。为什么我的账户还会被限制？

IBKR系根据账户记录和手头掌握的信息实施限制。 如您目前居住在卢甘斯克人民共和国和顿涅茨克人民共和国以外的地区，请更新您登记的地址并提交相关文件证明您的地址（如水电账单）。 我们会审核您提供的信息，再考虑是否移除限制。

3. 有哪些限制？

针对个人/联名账户客户

自2022年3月23日起，除非美国制裁取消或获得美国海外资产控制办公室（OFAC）的授权，否则来自卢甘斯克人民共和国和顿涅茨克人民共和国的客户无法进行任何交易或头寸转账。您无法存款，但可以出于个人（而非商业）目的从自己账户取款。取款前，我们会需要您对此进行确认。

针对机构客户

现在由于缓冲期已结束，机构和信托账户不得再进行交易、转账或取款。  

4. 我需要做什么才能移除限制？

如果您已经搬离卢甘斯克人民共和国或顿涅茨克人民共和国，但尚未对账户信息进行相应的更新，请更新登记的地址并提供相关地址证明文件以证明您已经不在卢甘斯克人民共和国或顿涅茨克人民共和国居住。 我们会对信息进行审核并告知您是否可以移除限制。

或者，您也可以联系美国财政部海外资产控制办公室（OFAC），在其网站上申请特种许可证。 （OFAC许可证申请页面）

赫尔松和扎波罗热地区

针对IBIE和IBCE：

2022年10月，由于俄罗斯在乌克兰的持续军事行动，欧盟宣布对俄罗斯进行进一步制裁。 其中包括对乌克兰赫尔松和扎波罗热地区的个人和实体实施限制，与2014年的克里米亚制裁和2022年2月对卢甘斯克和顿涅茨克地区的制裁类似。由于新的欧盟制裁，盈透证券爱尔兰（“IBIE”）和盈透证券中欧（“IBCE”）不能再与赫尔松和扎波罗热地区的任何个人或实体保持业务往来。 

 

 E. 在受制裁银行持有账户的客户

  美国、英国和欧盟对数家俄罗斯银行实施了制裁，对涉及该等银行的交易予以了禁止。

1.      有哪些制裁？

根据制裁，客户不得从受制裁的银行发起存款，也不得取款到受制裁的银行。 该等制裁有一定缓冲期，现已结束。

2.      哪些银行受到了该等制裁的影响？

以下俄罗斯银行及其分支机构或受到美国、英国和/或欧盟的制裁，或脱离SWIFT体系，或两者兼有。 因此，IBKR无法支持涉及该等银行的存款或取款。

• Sberbank（脱离SWIFT体系）
• Alfa Bank
• VTB（脱离SWIFT体系）
• Bank Rossiya（脱离SWIFT体系）
• Otkritie（脱离SWIFT体系）
• Novikombank（脱离SWIFT体系）
• Promsvyazbank（脱离SWIFT体系）
• Sovcombank（脱离SWIFT体系）
• VEB（脱离SWIFT体系）
• Transkapitalbank
• Investtradebank
• Rosselkhozbank（脱离SWIFT体系）
• Moscow Credit Bank（脱离SWIFT体系）

以下银行还受到英国制裁，适用于所有盈透证券（英国）有限公司（IBUK）的客户：

• GazPromBank
• SMP Bank
• Ural Bank for Reconstruction and Development.

IBUK的客户目前不得从该等受制裁的银行发起存款，也不得取款到该等受制裁的银行。

3.      如果我通过其中一家受制裁的银行转账资金，我是否需要关闭我的IBKR账户？

上述针对银行的制裁并没有要求您关闭您的IBKR账户。 IBKR只是无法处理涉及受制裁银行的存款或取款。

4.      可以添加新的银行指令吗？

可以，您可随时添加新的银行指令（在未受制裁之银行开立的账户）。请注意，IBKR一直对某些特定模式的存取款活动设有限制，该等限制仍然有效。 有关该等限制的更多信息，请点击此处。

 

F. 对俄罗斯或白俄罗斯国民、公民和/或居民造成影响的限制

某些制裁只对俄罗斯或白俄罗斯国民、公民和/或居民造成影响。 

莫斯科证券交易所（MOEX)

1.      我是俄罗斯公民。我还可以在莫斯科证券交易所交易我持有的未受制裁俄罗斯股票吗？

IBKR是一家外国经纪商，已被俄罗斯政府禁止在莫斯科证券交易所交易。 因此，您将无法通过您的IBKR账户在莫斯科证券交易所交易。

 欧盟证券限制

1.      我是俄罗斯（或白俄罗斯）国民或居民。为什么我不能在欧盟的交易所交易？

欧盟实施了制裁，禁止2022年4月12日之后发行的欧元计价证券（包括公司行动所得）卖出或转账给俄罗斯或白俄罗斯国民（这两个国家所有没有居住在欧盟的公民）或位于俄罗斯或白俄罗斯的人士或实体。 

根据该等制裁，IBKR已对俄罗斯和白俄罗斯国民和居民，以及位于俄罗斯或白俄罗斯境内或由俄罗斯或白俄罗斯国民或居民所拥有的实体实施了限制， 禁止其就欧盟证券开立新仓位（多头或空头）。 

市场数据限制

1.      我是俄罗斯居民。为什么我看不到NYSE和Nasdaq的市场数据？

由于俄罗斯对乌克兰的持续军事行动，NYSE和Nasdaq已暂停向位于俄罗斯的个人和实体提供市场数据服务。IBKR不知道NYSE和Nasdaq何时会恢复该等服务。  

 

I. Which clients are classified as Mainland investors?

  (a) Individuals that possess Mainland ID documents; or
  (b) Holders of a joint account if one of the holders is considered as Mainland investor under (a); or
  (c) Corporate or unincorporated entities which are registered in the Mainland.

II. Which circumstances are exempt from the classification?

The following investors will NOT be considered as “Mainland Investors” and may continue to buy and sell China Connect Securities with Interactive Brokers.

  (a) Individual client who holds:

       i. A Hong Kong or Macao permanent ID; or
      ii. An One-way Permit for Proceeding to Hong Kong and Macao; or
     iii. An identity document as proof of permanent residence in a country or region outside Mainland China.

  (b) A branch or subsidiary which is lawfully registered in Hong Kong or overseas.

III. How are Existing Accounts with BCANs Handled?

Effective Date	Notice
From 25 July 2022 to 23 July 2023	Existing accounts who are Mainland investors with registered BCANs can still buy and sell China Connect Securities.
From 24 July 2023	Existing accounts who are Mainland investors can only sell any China Connect Securities.

IV. Reference

The above information is provided for convenience.  For more detailed information, please refer to HKEX’s circular on the banning of Mainland investors from Northbound trading:  https://www.hkex.com.hk/-/media/HKEX-Market/Services/Circulars-and-Notices/Participant-and-Members-Circulars/SEHK/2022/CT08822E.pdf

 

背景：

为加强对市场的监察、维护市场诚信，香港证券及期货事务监察委员会（简称“香港证监会“）引入了香港投资者识别码制度（“HKIDR”）。

该制度实施后，所有在香港联合交易所有限公司（简称“联交所”）进行的证券交易以及按规定须向联交所汇报的场外交易均必须附加上一个客户识别编码并向联交所提交对应识别信息。

更多信息，请参考香港证监会 网站。

合规要求：

在香港投资者识别码制度下，所有相关持牌法团和注册机构均须为其每名能交易联交所证券的客户编配一个券商客户编码（“BCAN”）。

自2023年3月20日起，注册机构就须向联交所提交客户识别信息（“CID”）和对应券商客户编码。所有联交所证券委托单均须附加上券商客户编码，以便联交所和香港证监会确定最终受益人。

哪些客户识别信息会提交给联交所？

在香港投资者识别码制度下，对于任何有联交所交易许可的客户，都必须向联交所提供以下识别信息。

个人客户及受托人	公司客户及受托人
证件上显示的全名	证件上显示的全名
证件的签发国家或地区	证件的签发国家或地区
证件类型（按优先级排列）： 1-      香港身份证（香港居民须提供） 2-      国民身份证明文件（包含客户的中/英文姓名） 3-      护照	证件类型（按优先级排列）： 1-      法律实体识别编码 2-      公司注册/成立证明
证件号码	证件号码

 

客户如何选择不将自己的客户识别信息提交给联交所？

在香港投资者识别码制度下，客户可以通过申请移除相关交易许可选择不要共享其客户识别信息。交易许可移除后，现有仓位可以继续持有或平仓，平仓时委托单无需附加上客户的券商客户编码，也无需向交易所提交客户识别信息。

但是，在交易许可移除前，客户必须先平仓所有空头仓位和会产生空头仓位的股票期权，因为该等仓位的补进平仓会需要提交券商客户编码和客户识别信息。

哪些交易许可会受到影响？

新制度涉及所有在联交所上市和买卖的证券，以下交易许可会受到影响：

• 香港股票
• 香港股票卖空
• 香港股票期权
• 香港债券
• 香港认股权证

有关措施会对现有盈透证券客户造成什么影响？

• 为对香港投资者识别码制度进行准备，所有在盈透证券香港有限公司持有账户并开通了上方任一交易许可的个人，如果想在新规定下继续保留其交易许可，则将需要在客户端中进行确认。
• 未能在2023年3月9日前完成确认的客户，其受影响的交易许可将被移除，以免其身份信息在违背其意愿的情况下被共享。如交易许可被移除，客户可随时在客户端中通过设置 > 账户设置 > 交易许可菜单选项申请重新添加许可。
• 申请移除交易许可的客户如还持有未平仓的空头股票仓位，或会产生空头股票仓位的股票期权，将需要在通知的截止时间前平仓，以避免该等仓位被按现行市价代其平仓。多头仓位可继续持有或平仓，平仓时无需向联交所提交客户识别信息。
• 香港客户协议与披露均已更新，纳入了香港投资者识别码制度的相关要求：
  • 香港客户协议
  • 香港风险披露
  • 香港客户确认书

免责声明：

以上信息仅为方便使用之目的提供。IBKR不对信息的准确性或完整性进行任何保证。香港投资者识别码制度可能还会有后续调整，客户应直接访问香港证监会网站了解更多信息：https://www.sfc.hk/TC/Rules-and-standards/Investor-Identification-and-OTC-Securities-Transactions-Reporting