如何配置客戶服務消息傳遞和通知方式

要配置您的消息中心偏好設置:

1. 登錄客戶端

2. 點擊使用者菜單(右上角的頭像圖標),然後點擊安全消息中心。

3. 點擊“撰寫”按鈕旁的偏好(齒輪)圖標。

4. 將出現消息偏好設置窗口。

5. 使用下拉框為消息選擇主要次要偏好語言。

6. 在安全消息傳遞部分選擇您想要的傳遞選項。

7. 點擊保存保存更改。

請注意,出於安全考慮,無法通過電子郵件或短信方式接收完整的消息。通過電子郵件或短信只能收到通知的概述,

更多信息請參見客戶端用戶指南的消息中心偏好設置

Changes to the Interactive Brokers Canada Inc. Client Agreement

Overview:

To address changes in our business, technology, services, markets, and other factors, Interactive Brokers Canada Inc. has revised the terms of our standard client agreement (Form 3206) ("Amended IB CAN Client Agreement").

For IB CAN accounts opened prior to June 9, 2021, the Amended IB CAN Agreement will be effective as of June 25, 2021. Continuing to maintain an IBKR account after June 25, 2021 shall constitute acceptance of the Amended IB CAN Client Agreement.*

The full text of the Amended IB CAN Client Agreement can be reviewed here:

https://gdcdyn.interactivebrokers.com/Universal/servlet/Registration_v2....

Sections or subsections (indicated in parentheses) of the Amended IB CAN Client Agreement that are new include, but are not limited to:

• Notice Requirements and Amendment of Terms (3)
• Special Risks of Algorithmic Orders (5 B)
• Payment for Orders and Rebates (6)
• Order Execution (8 C on pre-trade filters)
• Designation of Trusted Contact Person (12)
• U.S. Residents (14)
• Margin (15 B iii, iv and v)
• Closing Rights Positions Prior to Expiration (17)
• Mutual Funds (18)
• Worthless and Non-Transferable Securities (19)
• Position Limits (20)
• Unclaimed Property (29)
• Commissions and Fees, Interest Charges, Funds (33 C, D and E)
• Exposure Fees (34 B)
• Risks Regarding Political and Governmental Actions (36)
• Fractional shares (37 B)
• Indemnification (41)
• Fast and Volatile Markets (43)
• Physically Deliverable Futures (Schedule A / referenced in 32) *

Sections or subsections of the Amended Client Agreement that are not entirely new but have been substantively amended include, but are not limited to:

• Client Agreement (1)
• No Advice Regarding Investment, Tax, Trading or Account Type (2)
• Responsibility for Client Orders/Trades (4)
• Order Routing (5 A)
• Order Execution (8 A and B)
• Confirmations and Reporting Errors (9)
• Proprietary Trading – Display of Customer Orders (10)
• Client Qualification (11)
• Margin (15 B i and ii)
• Liquidation of Positions and Offsetting Transactions (16 all subsections)
• Universal Accounts (22)
• Short Sales (23)
• IBKR's Right to Loan/Pledge Assets (24)
• Security Interest (25)
• Event of Default (27)
• Suspicious Activity (28)
• Multi-Currency Function in IBKR Accounts (30 all subsections)
• Commodity Options and Futures Not Settled in Cash (32 all subsections)
• Commissions and Fees, Interest Charges, Funds (33 A and B)
• Account Deficits (34 A)
• Limitation of Liability (40 A)
• Client Must Maintain Alternative Trading Arrangements (42)
• Equity Options (57)
• Futures and Futures Options (58)

*Client's indication of an intent to make or take delivery on any Covered Contract as defined in Schedule A of the Amended Client Agreement shall constitute acceptance of the Amended Client Agreement as of the date of Client's indication of such intent, even if prior to June 25, 2021.

盈透證券有限公司客戶協議(表格3203)修訂

Overview: 

為應對業務、技術、服務、市場和其它方面的變化調整,盈透證券有限公司(Interactive Brokers LLC)對標準客戶協議(表格3203)的條款進行了全面修訂(“修訂版客戶協議”)。

對於2021年4月16日之前開立的盈透證券有限公司賬戶,修訂版客戶協議將于2021年6月11日正式生效。2021年6月11日後繼續持有IBKR賬戶即代表客戶接受此修訂版客戶協議。*

點擊以下鏈接查看完整的修訂版客戶協議: https://gdcdyn.interactivebrokers.com/Universal/servlet/Registration_v2....

修訂版客戶協議新增加的章節或子章節(在括號中注明)包括但不限於:

  • 通知要求和條款修訂(3)
  • 算法定單的特殊風險(5 B)
  • 定單報酬和返點(6)
  • 定單執行(8 C:交易前篩選)
  • 執行受信任連絡人(12)
  • 保管賬戶(14)
  • 保證金(15 B iii、iv和v)
  • 到期前平倉權利頭寸(17)
  • 共同基金(18)
  • 無價值和不可轉讓證券(19)
  • 頭寸限制(20)
  • 無人認領財產(29)
  • 傭金與費用、利息、資金(33 C、D和E)
  • 風險費用(34 B)
  • 政治與政府行動相關風險(36)
  • 小數股(37 B)
  • 賠償(41)
  • 快速多變的市場(43)
  • 實物交割期貨(安排A / 32)*

修訂版客戶協議中不是新增但有重大修改的章節或子章節包括但不限於:

  • 客戶協議(1)
  • 不提供投資、稅務、交易和賬戶類型建議(2)
  • 客戶定單/交易的責任(4)
  • 定單傳遞(5 A)
  • 定單執行(8 A和B)
  • 確認和報告錯誤(9)
  • 自營交易——客戶定單顯示(10)
  • 客戶資質(11)
  • 保證金(15 B i和ii)
  • 頭寸平倉清算和抵消交易(16所有子章節)
  • 全能賬戶(22)
  • 賣空(23)
  • IBKR借出/抵押資產的權利(24)
  • 擔保權益(25)
  • 違約事項(27)
  • 可疑活動(28)
  • IBKR賬戶的多幣種功能(30所有子章節)
  • 不以現金結算的商品期權和期貨(32所有子章節)
  • 傭金與費用、利息、資金(33 A和B)
  • 賬戶資金不足(34 A)
  • 責任限度(40 A)
  • 客戶必須有備用交易安排(42)

*客戶表明要就修訂版客戶協議安排A中所定義的持保合約發起或接受交割即代表客戶自表明該等意圖之日起接受此修訂版客戶協議,即使該日期在2021年6月11日之前。
 

Changes to the Interactive Brokers LLC Client Agreement (Form 3203)

Overview: 

To address changes in our business, technology, services, markets, and other factors, Interactive Brokers LLC has revised the terms of our standard client agreement (Form 3203) ("Amended IB LLC Client Agreement").

For IB LLC accounts opened prior to April 16, 2021, the Amended IB LLC Agreement will be effective as of June 11, 2021.  Continuing to maintain an IBKR account after June 11, 2021 shall constitute acceptance of the Amended IB LLC Client Agreement.*

The full text of the Amended IB LLC Client Agreement can be reviewed here: https://gdcdyn.interactivebrokers.com/Universal/servlet/Registration_v2....

Sections or subsections (indicated in parentheses) of the Amended IB LLC Client Agreement that are new include, but are not limited to:

  • Notice Requirements and Amendment of Terms (3)
  • Special Risks of Algorithmic Orders (5 B)
  • Payment for Orders and Rebates (6)
  • Order Execution (8 C on pre-trade filters)
  • Designation of Trusted Contact Person (12)
  • Custodial Accounts (14)
  • Margin (15 B iii, iv and v)
  • Closing Rights Positions Prior to Expiration (17)
  • Mutual Funds (18)
  • Worthless and Non-Transferable Securities (19)
  • Position Limits (20)
  • Unclaimed Property (29)
  • Commissions and Fees, Interest Charges, Funds (33 C, D and E)
  • Exposure Fees (34 B)
  • Risks Regarding Political and Governmental Actions (36)
  • Fractional shares (37 B)
  • Indemnification (41)
  • Fast and Volatile Markets (43)
  • Physically Deliverable Futures (Schedule A / referenced in 32)*

Sections or subsections of the Amended Client Agreement that are not entirely new but have been substantively amended include, but are not limited to:

  • Client Agreement (1)
  • No Advice Regarding Investment, Tax, Trading or Account Type (2)
  • Responsibility for Client Orders/Trades (4)
  • Order Routing (5 A)
  • Order Execution (8 A and B)
  • Confirmations and Reporting Errors (9)
  • Proprietary Trading – Display of Customer Orders (10)
  • Client Qualification (11)
  • Margin (15 B i and ii)
  • Liquidation of Positions and Offsetting Transactions (16 all subsections)
  • Universal Accounts (22)
  • Short Sales (23)
  • IBKR’s Right to Loan/Pledge Assets (24)
  • Security Interest (25)
  • Event of Default (27)
  • Suspicious Activity (28)
  • Multi-Currency Function in IBKR Accounts (30 all subsections)
  • Commodity Options and Futures Not Settled in Cash (32 all subsections)
  • Commissions and Fees, Interest Charges, Funds (33 A and B)
  • Account Deficits (34 A)
  • Limitation of Liability (40 A)
  •  Client Must Maintain Alternative Trading Arrangements (42)

*Client’s indication of an intent to make or take delivery on any Covered Contract as defined in Schedule A of the Amended Client Agreement shall constitute acceptance of the Amended Client Agreement as of the date of Client's indication of such intent, even if prior to June 11, 2021.
 

IBKR Notes FAQs

What are IBKR Notes?

IBKR notes are short term debt securities issued periodically by IBG LLC. Interactive Brokers LLC (IB), a broker-dealer affiliate of IBG LLC is the sole placement agent for the Notes. The U.S. dollar denominated Notes are issued at face value in $1,000 increments and the minimum subscription is $10,000. The Notes mature no later than the 30th day following issuance but may be redeemed sooner. The Notes pay a fixed rate of interest, which is set by adding a spread to the effective Federal Funds rate as reported by the New York Federal Reserve Bank on the morning of the date the Notes are sold to the purchaser. The minimum Rate is 0.50% per annum, and all interest is due and payable upon the earlier of the date of redemption or maturity of the Notes.

 

Who is eligible to invest in IBKR Notes?

Clients who are Accredited Investors are eligible to subscribe to IBKR Notes. If you are interested in further information about this private placement, you may confirm your Accredited Investor status and access the restricted IBKR Notes Program section of the Client Portal, which contains the confidential Offering Memorandum, Subscription Agreement and other information about the IBKR Notes Program.

Only US persons will be able to participate at this time.

Additional Information

 

Where can I sign up for IBKR Notes?

SIGN UP FOR IBKR NOTES

Qualified clients can use the button above or follow the below procedure to request to participate in the IBKR Notes program:

  1. Log in to Client Portal
  2. Select Settings followed by Account Settings
  3. In the Configuration section, next to Invest in IBKR Notes, you can see your account’s enrollment status in the program.
  4. If you are not enrolled, you can sign up by clicking the Configure (gear) icon next to Invest in IBKR Notes.
  5. You must read the agreement, sign your name, and click Submit to enroll.

 

How are the rates determined for IBKR Notes?

The issuer sets the interest rate for each Notes issuance at its discretion. The minimum interest rate for a Notes issuance is 0.50%. When there is a new Notes issuance, IBG LLC announces a Spread rate at least two days in advance. The Interest Rate on the Note is the Spread Rate plus the Benchmark Rate, which is the Federal Funds Rate on the morning of the new issuance.

 

Can I choose which IBKR Notes to invest in?

Yes. So long as you are enrolled in the IBKR Notes Program and have indicated via the Client Portal your intention to participate in future Notes Program issuances, you have a standing order to automatically purchase Notes from the Issuer, if and when offered by the Issuer, with free credit balances in your IBKR account (the “Free Cash Balance” is generally defined as cash in your IBKR account in excess of margin requirements and short stock value). IBKR provides controls to allow you to place parameters on your standing order, including, a maximum amount of Notes to purchase (in dollars) and a minimum Free Cash Balance to leave in your account after purchasing the Notes.

 

What are the minimum and maximum investment sizes for IBKR Notes?

Investors must purchase a minimum of $10,000 in aggregate principal amount of Notes and may not purchase more than $25,000,000 in aggregate principal amount. Notes are issued only in book-entry form, in denominations of $1,000 and integral multiples of $1,000.

 

Can IBKR Notes be redeemed early?

The Notes are redeemable prior to maturity only at the option of the Issuer. If the Issuer redeems the Notes prior to maturity, you will receive a notice of redemption. The principal and accrued and unpaid interest to and excluding the date of redemption will be credited to your IBKR account. Notes holders do not have the option to redeem their Notes holdings early.

 

Can I change my investment preferences in IBKR Notes?

Yes, you may change your Maximum Investment Amount and Minimum Uninvested Cash amount at any time by notifying us through Client Portal. You may also temporarily or permanently suspend your participation by setting the “Invest in All Upcoming Notes” preference to Off.

If you suspend your participation in the Notes Program, IBKR will not sell you Notes during any future issuances, but you will continue to hold existing Notes in your account until the earlier of their maturity or redemption. You may re-activate your participation in the Notes Program though the Client Portal at any time by setting the “Invest in All Upcoming Notes” preference to On.

 

Can I terminate my participation in the IBKR Notes program?

You may terminate your participation in the IBKR Notes Program at any time by notifying us through the Client Portal. IBKR may also terminate your participation in the Notes Program at any time and for any reason, including if you no longer meet the eligibility requirements or if you do not reaffirm that you meet such requirements upon our request. If your participation in the program is terminated, IBKR will not sell you Notes in any future issuance, but you will continue to hold existing Notes in your account until the earlier of their maturity or redemption. In addition, you will not be permitted to re-activate your participation in the Notes program without re-enrollment.

 

How are IBKR Notes reported on my Activity Statement?

IBKR Notes will be reported like a Bond on your Activity Statement. You will see Bond activity in various sections of your statement including the Performance Summary, Open Positions, Trades, and Financial Instrument Information sections. During the holding period, accrued interest is not reflected on the statement. Interest payments will be reflected upon redemption or maturity.

 

What happens if an IBKR Notes offering is oversubscribed?

In the event that an IBKR Notes offering is oversubscribed, IBKR will allocate notes to potential investors at its sole discretion. There is no guarantee that any potential investor, including you, will be allocated Notes.

 

Will the returns for IBKR Notes be included in Portfolio Analyst?

Yes, returns for IBKR Notes will be included in your Portfolio Analyst reports.

 

Are Notes Transferable?

No. Notes cannot be transferred between accounts at IBKR or to an external account. Notes must remain in the account they were initially allocated to until they mature (unless redeemed early by IBKR).

 

What happens if I close my account before my IBKR Note matures?

Clients must hold the Notes until they mature (unless redeemed early by IBKR). If you would like to close your account while you hold Notes, you may submit a close account request and request a transfer of your assets. However, Notes are non-transferrable, and the account will remain open until the Notes have matured and all assets have been transferred out of your account. During this period, account fees and charges may continue to apply. Please contact Customer Service should your account closure request be pending due to an existing Notes position before processing.

 

Can an advisor invest in IBKR Notes on behalf of their clients?

Yes. Advisors with trading discretion over their client accounts can invest in IBKR Notes on behalf of eligible clients through the IBKR CRM.

 

Are IBKR Notes included in the Net Liquidation Value calculation for fee-based advisor clients?

Yes. The value of the IBKR Notes in an IBKR account will be included in the calculation of Net Liquidation Value (NLV) fees. Interest will also be included in the calculation.

 

If I place a trade that uses the minimum required spare cash to invest in IBKR Notes, will my notes be liquidated?

The minimum spare cash requirement to invest in IBKR Notes is checked only when placing the initial Notes investment. It is not required to be maintained while the Note is outstanding.

 

Are IBKR Notes included in my Equity with Loan Value?

Yes, IBKR Notes are included in calculating your Equity with Loan Value.

 

If my account is in a margin deficit, will IBKR liquidate IBKR Notes?

If your account is in a margin deficit, IBKR will not liquidate your investment in IBKR Notes.

Additional Information

 

Where can I find the IBKR Notes Offering Memorandum?

The IBKR Notes Offering Memorandum is available at the time of enrollment as well as within the IBKR Notes page in the Client Portal. You may access this page by selecting Settings followed by Account Settings and Invest in IBKR Notes within the configuration section, and clicking the download Offering Memorandum link.

 

Are IBKR Notes marginable?

No. IBKR Notes are non-marginable and are ineligible for use as margin collateral. Additionally, the Initial Purchase will be capped to the USD cash balance in an account. An investment in IBKR Notes is not allowed if the purchase causes a USD debit balance.

 

Does the interest rate on an IBKR Note vary by amount invested?

No. All holders of a specific Note receive the same interest rate regardless of their individual investment amount.

 

How liquid are IBKR Notes?

The Notes are illiquid. No public market exists for the Notes. They are non-transferable and cannot be traded.

 

Are IBKR Notes “cash equivalents”?

No. IBKR Notes are illiquid short term debt investments. Cash equivalents generally are highly liquid instruments which are readily convertible into known amounts of cash.

 

How often are IBKR Notes issued?

Notes are issued at the discretion of the issuer.

 

What is the notice period for new IBKR Notes issuances?

There is a two-day notice period prior to newly issued Notes being allocated to your account. For example, if a new issuance notification is sent on Monday, the Note will post to your account on Wednesday evening. Interest begins accruing on settlement date (T+1), which would be Thursday.

 

How is interest calculated for IBKR Notes?

IBKR conforms to international standards for day-counting when calculating the interest paid on IBKR Notes.

IBKR utilizes the 30/360-day count convention, which means that interest income is determined based on a 360-day year. The actual number of calendar days each Note will be outstanding for is 30. But the number of days which accrue interest may be greater or lesser than 30 based on the specific time period Notes are issued, redeemed or mature.

 

Are Notes insured by SIPC, FDIC or any other entity?

No, the Notes are not insured by SIPC, FDIC or any other entity.

 

Any information provided about the IBKR Notes Program by Interactive Brokers LLC should not be construed as a solicitation or recommendation of any investment product. Each investor should review and determine independently whether or not IBKR Notes is suitable for them to invest in. In addition, all investors interested in IBKR Notes should review the details and associated risks found within the offering memorandum, accessible through the Client Portal.

中國證券相關交易禁令

Overview: 

美國宣佈自2021年2月1日、3月9日和3月15日起分批對更多中國證券實施交易禁令。本輪交易禁令是對2021年1月11日實施的交易禁令的擴展。此外,美國近期宣佈延遲實施針對某些中國證券的交易禁令,生效時間從2021年1月28日推遲至2021年5月27日。

Background: 

該等交易禁令禁止“美國人士”購買具有中國軍方背景的公開交易證券(“CCMC證券”),包括期權和其它衍生品。由於您至少持有一種被美國政府列為制裁對象的證券(自2021年3月9日生效),特此向您發送本通知。

禁令涉及哪些人?

目前,禁令只針對“美國人士”。美國人士包括“任意美國公民、永久居留的外國人、根據美國法律或美國境內任意司法轄域的法律設立的實體(包括外國分支機搆),或任意在美人士。”對IBKR客戶而言,美國人士的定義包括美國居民、美國公民、在美國成立或由美國人擁有的實體。

屬於“美國人士”的IBKR客戶會面臨哪些限制?

自禁令生效日——2月1日、3月9日或3月15日起美國人士不得購買任意被制裁的證券,除非該等購買是為了平倉已有的空頭頭寸。在掛牌交易所開放交易且清算所提供交易清算的前提下,客戶可在禁令生效後10個月內(即截至12月1日、1月9日或1月15日)平倉此類證券的頭寸。但自禁令生效起將不再接受任何受制裁證券開倉定單和頭寸轉入。

該禁令覆蓋哪些證券類型?

該禁令覆蓋所有證券類型,包括股票、債券、權證、期權及ADR等其它類型的衍生品。它也包括包含CCMC證券的ETF、指數基金或共同基金。

該禁令具體涉及哪些證券?

如上方提到的,第一批CCMC證券禁令已於2021年1月11日實施生效。以下是我們列出的CCMC證券清單以及各證券將被限制交易的日期。

CCMC證券

公司名稱
生效日期
Advanced Micro-Fabrication Equipment Inc. (AMEC)
3/15/2021
Aero Engine Corporation of China
1/11/2021
AECC Aviation Power
5/27/2021
Aviation Industry Corporation of China (AVIC)
1/11/2021
Beijing Zhongguancun Development Investment Center
3/15/2021
China Academy of Launch Vehicle Technology (CALT)
1/11/2021
China Aerospace Science and Industry Corporation (CASIC)
1/11/2021
China Aerospace Science and Technology Corporation (CASC)
1/11/2021
China Communications Construction Company (CCCC)
1/11/2021
China Construction Technology Co. Ltd. (CCTC)
2/1/2021
China Electronics Corporation (CEC)
1/11/2021
China Electronics Technology Group Corporation (CETC)
1/11/2021
China General Nuclear Power Corp.
1/11/2021
CGN Power Co. Ltd.
5/27/2021
China International Engineering Consulting Corp. (CIECC)
2/1/2021
China Mobile Communications Group
1/11/2021
China Mobile LTD.
3/9/2021
China National Aviation holding Co. Ltd. (CNAH)
3/15/2021
China National Chemical Corporation (ChemChina)
1/11/2021
China National Chemical Engineering Co. Ltd.
5/27/2021
China National Chemical Engineering Group Co., Ltd. (CNCEC)
1/11/2021
China National Nuclear Corp.
1/11/2021
China National Nuclear Power Co. Ltd.
5/27/2021
China National Offshore Oil Corp. (CNOOC)
2/1/2021
CNOOC Limited
3/9/2021
China North Industries Group Corporation (Norinco Group)
1/11/2021
China North Industries Corp.
5/27/2021
Norinco International Corporation Ltd.
5/27/2021
China Nuclear Engineering & Construction Corporation (CNECC)
1/11/2021
China Railway Construction Corporation (CRCC)
1/11/2021
China Shipbuilding Industry Corporation (CSIC)
1/11/2021
China Shipbuilding Industry Group Power Co. Ltd.
5/27/2021
China South Industries Group Corporation (CSGC)
1/11/2021
China Spacesat
1/11/2021
China State Construction Group Co., Ltd.
1/11/2021
China State Construction Engineering Corp. Ltd.
5/27/2021
China State Shipbuilding Corporation (CSSC)
1/11/2021
China Telecommunications Corp.
1/11/2021
China Telecom Corp. Ltd.
3/9/2021
China Three Gorges Corporation Limited
1/11/2021
China United Network Communications Group Co. Ltd.
1/11/2021
China United Network Communications Corp. Ltd.
5/27/2021
China UNICOM Hong Kong Ltd.
3/9/2021
Commercial Aircraft Corporation of China, Ltd. (COMAC)
3/15/2021
CRRC Corp.
1/11/2021
Dawning Information Industry Co (Sugon)
1/11/2021
Global Tone Communication Technology Co. Ltd. (GTCOM)
3/15/2021
GOWIN Semiconductor Corp.
3/15/2021
Grand China Air Co. Ltd. (GCAC)
3/15/2021
Hangzhou Hikvision Digital Technology Co., Ltd. (Hikvision)
1/11/2021
Huawei
1/11/2021
Inspur Group
1/11/2021
Inspur International Ltd.
5/27/2021
Luokong Technology Corporation (LKCO)
3/15/2021
Offshore Oil Engineering Co. Ltd
5/27/2021
Panda Electronics Group
1/11/2021
Semiconductor Manufacturing International Corp. (SMIC)
2/1/2021
Sinochem Corp.
5/27/2021
Sinochem Group Co. Ltd.
1/11/2021
Sinochem International Corp.
5/27/2021
Xiaomi Corporation
3/15/2021

如果美國政府發佈新的指引,我們會向您提供最新的消息。點此可查看與本次制裁相關的美國行政令。目前可獲得的指引請見此處。 

 

 

Sanctions Related to Certain Chinese Securities

Overview: 

The U.S. announced additional sanctions related to certain Chinese securities scheduled to go into effect on February 1, March 9, and March 15, 2021. These are an extension of the sanctions regarding other Chinese companies that went into effect on January 11. The U.S. has also recently announced that the application of sanctions against certain Chinese securities will be delayed from January 28 to May 27, 2021.

Background: 

These sanctions prohibit U.S. persons from purchasing publicly traded securities, including options and other derivatives, of certain companies affiliated with the military of the People's Republic of China. We sent you this notice because you hold a position in at least one of the securities the U.S. has stated will be subject to the sanctions effective March 9, 2021.

Who will the sanctions apply to?

Currently, the sanctions only apply to "U.S. persons." A U.S. person includes, "any United States citizen, permanent resident alien, entity organized under the laws of the United States or any jurisdiction within the United States (including foreign branches), or any person in the United States." The definition of U.S. Persons includes IBKR clients who are resident in, citizens of or incorporated in the U.S, or owned by U.S. persons.

What restrictions will the sanctions place on IBKR Customers who are U.S. Persons?

U.S. Persons may not buy any of the sanctioned securities after the effective date of the sanctions-February 1, March 9, or March 15 as listed below-unless the purchase is to close an existing short position. They may close existing positions in these securities for 10 months after the date the sanction became effective-i.e., December 1, January 9, or January 15-assuming the listing exchanges offer trading and the clearinghouse will settle the trades. In recognition of these actions, opening orders and inbound transfers of sanctioned securities will not be accepted, effective immediately.

What types of securities do the sanctions cover?

The sanctions cover all securities, including stocks, bonds, warrants, options and other derivatives such as ADRs. The sanctions also cover ETFs, index funds and mutual funds that include the CCMC securities.

What individual securities are subject to the sanctions?

As we noted above, sanctions on the first wave of CCMC securities went into effect on January 11, 2021. We have listed below all of the CCMC issuers whose securities are subject to sanctions and the effective date of those sanctions.

CCMC Securities

Name of Company
Effective Date
Advanced Micro-Fabrication Equipment Inc. (AMEC)
3/15/2021
Aero Engine Corporation of China
1/11/2021
AECC Aviation Power
5/27/2021
Aviation Industry Corporation of China (AVIC)
1/11/2021
Beijing Zhongguancun Development Investment Center
3/15/2021
China Academy of Launch Vehicle Technology (CALT)
1/11/2021
China Aerospace Science and Industry Corporation (CASIC)
1/11/2021
China Aerospace Science and Technology Corporation (CASC)
1/11/2021
China Communications Construction Company (CCCC)
1/11/2021
China Construction Technology Co. Ltd. (CCTC)
2/1/2021
China Electronics Corporation (CEC)
1/11/2021
China Electronics Technology Group Corporation (CETC)
1/11/2021
China General Nuclear Power Corp.
1/11/2021
CGN Power Co. Ltd.
5/27/2021
China International Engineering Consulting Corp. (CIECC)
2/1/2021
China Mobile Communications Group
1/11/2021
China Mobile LTD.
3/9/2021
China National Aviation holding Co. Ltd. (CNAH)
3/15/2021
China National Chemical Corporation (ChemChina)
1/11/2021
China National Chemical Engineering Co. Ltd.
5/27/2021
China National Chemical Engineering Group Co., Ltd. (CNCEC)
1/11/2021
China National Nuclear Corp.
1/11/2021
China National Nuclear Power Co. Ltd.
5/27/2021
China National Offshore Oil Corp. (CNOOC)
2/1/2021
CNOOC Limited
3/9/2021
China North Industries Group Corporation (Norinco Group)
1/11/2021
China North Industries Corp.
5/27/2021
Norinco International Corporation Ltd.
5/27/2021
China Nuclear Engineering & Construction Corporation (CNECC)
1/11/2021
China Railway Construction Corporation (CRCC)
1/11/2021
China Shipbuilding Industry Corporation (CSIC)
1/11/2021
China Shipbuilding Industry Group Power Co. Ltd.
5/27/2021
China South Industries Group Corporation (CSGC)
1/11/2021
China Spacesat
1/11/2021
China State Construction Group Co., Ltd.
1/11/2021
China State Construction Engineering Corp. Ltd.
5/27/2021
China State Shipbuilding Corporation (CSSC)
1/11/2021
China Telecommunications Corp.
1/11/2021
China Telecom Corp. Ltd.
3/9/2021
China Three Gorges Corporation Limited
1/11/2021
China United Network Communications Group Co. Ltd.
1/11/2021
China United Network Communications Corp. Ltd.
5/27/2021
China UNICOM Hong Kong Ltd.
3/9/2021
Commercial Aircraft Corporation of China, Ltd. (COMAC)
3/15/2021
CRRC Corp.
1/11/2021
Dawning Information Industry Co (Sugon)
1/11/2021
Global Tone Communication Technology Co. Ltd. (GTCOM)
3/15/2021
GOWIN Semiconductor Corp.
3/15/2021
Grand China Air Co. Ltd. (GCAC)
3/15/2021
Hangzhou Hikvision Digital Technology Co., Ltd. (Hikvision)
1/11/2021
Huawei
1/11/2021
Inspur Group
1/11/2021
Inspur International Ltd.
5/27/2021
Luokong Technology Corporation (LKCO)
3/15/2021
Offshore Oil Engineering Co. Ltd
5/27/2021
Panda Electronics Group
1/11/2021
Semiconductor Manufacturing International Corp. (SMIC)
2/1/2021
Sinochem Corp.
5/27/2021
Sinochem Group Co. Ltd.
1/11/2021
Sinochem International Corp.
5/27/2021
Xiaomi Corporation
3/15/2021

We will provide you with an update if the U.S. government issues additional guidance.  For reference, the U.S. Executive Order announcing the sanctions is available here and guidance provided to date is available here

 

 

客戶端登錄失敗故障排除

點擊以下最能描述您遇到的問題的鏈接:

  1. 收到“無效的用戶名密碼組合”信息
  2. 輸入安全設備值時收到“登錄失敗”信息
  3. 我忘記了用戶名及/或密碼
  4. 安全設備暫時不在我身邊
  5. 我的安全設備遺失或損壞了
  6. 我獲得的臨時密碼已過期
  7. 我獲得的在綫安全卡已過期
  8. 我還在等待實體安全設備配送,但現在無法登錄賬戶
  9. 我可以使用臨時密碼登錄客戶端,但無法登錄交易平臺
  10. 我已拿到了安全設備,想要激活
  11. 輸入我的用戶名後收到了“壞字符”信息

重要提示:如您無法通過以上信息解决賬戶登錄的問題,請聯繫您當地的客戶服務中心。需注意的是,出于安全考慮,所有協助登錄的請求必須通過電話發起,因爲協助登錄賬戶要求事先驗證賬戶持有人的身份。您可通過以下鏈接瞭解客服中心列表、電話號碼及服務時間:ibkr.com/support

 

 

1. 收到“無效的用戶名密碼組合”信息。

請確保未使用“大寫鎖定”鍵,因爲用戶名需區分大小寫且須以小寫格式輸入。

重要安全提示:如果賬戶在24小時內連續10次登錄客戶端失敗,賬戶將被鎖定,不論之後是否使用了正確的用戶名和密碼組合嘗試登錄。鎖定賬戶是爲了防止黑客隨機嘗試以猜測密碼的一種安全措施,在最後一次嘗試登錄失敗後的24小時賬戶都將處于鎖定狀態。

如果您覺得您的賬戶由于連續登錄失敗已被鎖定或即將被鎖定,則您需通過電話聯繫您所在區域的客服中心獲取幫助。請注意,有關賬戶登錄方面的問題必須通過電話聯繫客服,待賬戶持有人的身份驗證通過後方能向您提供協助。

...回到頂部

 

 

2. 輸入安全設備值時收到“登錄失敗”信息

a. 如您使用的是臨時密碼,請注意字母區分大小寫且必須以大寫格式輸入

b. 如您使用的是安全卡或電子密碼設備,請注意字符之間無空格

...回到頂部

 

 

3. 我忘記了用戶名及/或密碼

出于安全考慮,所有與用戶名及/或密碼相關的請求必須通過電話發起,且須事先驗證賬戶持有人的身份。應向所在區域的客服中心發起請求。 

...回到頂部

 

 

4. 安全設備暫時不在我身邊

如您的安全設備暫時不在身邊,您可通過電話聯繫您所在地區的客服中心,在驗證您的身份後,我們會向您提供一個臨時密碼,供您臨時訪問賬戶。

臨時密碼是一個靜態的包含字母與數字的代碼,能代替通過您的安全設備隨機生成的代碼,可供您在2天內完整登錄客戶端或交易平臺。如您需更長時間的臨時訪問權限,以及提高賬戶的安全保障,我們建議您使用臨時密碼登錄客戶端,然後將在綫安全卡打印出來——在綫安全卡最長可在3周內代替您的安全設備。  

如果臨時密碼或在綫安全卡過期了,或您重新拿到了您的安全設備,那麽您需要登錄客戶端幷選擇菜單選項來重新激活您的安全設備。

...回到頂部

 

 

5. 我的安全設備遺失或損壞了

如果您的安全設備遺失或損壞了,您將需要聯繫我們的客服中心請求更換安全設備或申請臨時訪問權限。視您居住的國家/地區不同,運輸替換設備需要3-14天,因此我們會通過在綫安全卡向您提供臨時訪問權限。拿到臨時密碼訪問客戶端後,您可將在綫安全卡打印出來或作爲圖片保存至您的電腦桌面上。

...回到頂部

 

 

6. 我獲得的臨時密碼已過期

臨時密碼可供客戶在2天時間內完整登錄客戶端或交易平臺。2天后,您將無法使用臨時密碼登錄交易平臺,但仍可在10天內使用該密碼登錄客戶端。然而,登錄客戶端後只能打印或保存在綫安全卡而無法進行其它操作。

如您仍可使用臨時密碼登錄客戶端,您可打印或保存在綫安全卡,然後在之後的21天內通過該卡完整登錄客戶端或交易平臺。如您無法登錄客戶端,請聯繫您所在地區的客服中心尋求幫助。

...回到頂部

 

 

7. 我獲得的在綫安全卡已過期

使用在綫安全卡完整登錄客戶端及交易平臺的有效期爲21天。儘管時間有限,但這段時間應足够賬戶持有人重新拿到之前不在身邊的安全設備或申請拿到替換設備。

如您無法使用在綫安全卡登錄,請聯繫您所在地區的客服中心尋求幫助或了解您永久安全設備的狀態信息。

...回到頂部

 

 

8. 我還在等待實體安全設備配送,但現在無法登錄賬戶

對于美國居民,實體安全設備會在2天內寄送至您賬戶登記的地址,其它地區的賬戶則需要2周。請注意,如賬戶持有人未手動激活永久設備,則設備在一定的時間後將自動激活。如果是這種情况且您在登錄賬戶時遇到了困難,請致電1-877-442-2757聯繫我們的技術協助部門。

...回到頂部

 

 

9. 我可以使用臨時密碼登錄客戶端,但無法登錄交易平臺

如果您仍可使用臨時密碼登錄客戶端,則您可打印或保存在綫安全卡幷通過該卡在21天內完整登錄客戶端及交易平臺。

如您無法登錄客戶端,請聯繫您所在地區的客服中心尋求幫助。

...回到頂部

 


10. 我已拿到了安全設備,想要激活

要激活替換設備或激活暫時不在身邊而需申請臨時密碼的設備,您需要登錄客戶端幷選擇重新激活安全設備菜單選項。重新激活後,臨時密碼及在綫安全卡都將失效。

...回到頂部

 

 

11. 輸入我的用戶名後收到了“壞字符”信息

重新輸入您的用戶名幷確保您未輸入空格或字母和數字以外的字符(如!@#$%^&*(.,”:...等)。

...回到頂部

退出安全登錄系統後的安全考慮

Overview: 

選擇退出IBKR安全登錄系統(SLS),賬戶持有人即是放棄了雙因素驗證所提供的安全保障。我們強烈建議其採用其它安全保護措施,如IP限制。在客戶端中選擇這一設置即代表您在告訴盈透證券您只想從特定IP地址訪問交易平臺。此外,如果某一賬戶您有多個被授權交易者,可以由主賬戶使用者單獨為每個交易者設置此類限制。 

 

準備清單:

開始設置IP限制前,您需要:

  • 知道自己的WAN IP地址。這是您暴露在外部網絡(因特網)的IP地址,不是本地IP地址(也叫LAN IP地址)。如果是使用公司網絡交易,您可向IT或網絡部門詢問電腦的WAN IP地址。如果是通過私人寬帶/電纜/衛星連接因特網,則您可從網絡服務供應商處獲取此信息。
  • 確保您的IP地址為靜態IP地址。這意味著您的IP地址始終保持不變,路由器/貓重啟後也不會改變。為您提供WAN IP地址信息的部門/ 人士可以告訴您IP地址是靜態還是動態。
  • 注意,IP限制不是立即生效的。我們的系統會在每日夜間重啟時應用此類條件設置。該等限制最長需要24小時才會生效,具體取決於您提交IP限制請求的時間。修改和移除現有IP限制也是一樣。計劃設置此類限制時請務必考慮這一時間因素。
  • IP限制將應用到IBKR提供的所有交易平臺。但不會影響客戶端訪問,客戶端仍支持從任何IP地址訪問。

注意:

請注意,技術上可以對IP地址進行篡改,因此,只有SLS雙因素驗證(ibkr.com/sls)能夠為賬戶提供全方位保護。

如果對此有任何疑問,請聯繫IBKR的技術支持中心。

如何設置IP限制

  1. 登錄客戶端,點擊左上角的菜單圖標。
  2. 從左側菜單欄點擊設置>使用者設置。然後點擊IP限制旁邊的齒輪(配置)圖標。
  3. 您將會看到IP限制的簡要介紹。要設置新的IP限制,點擊添加IP限制
  4. 從下拉列表選擇交易者,然後輸入您想為其開放的IP地址(格式:xxx.xxx.xxx.xxx)。然後點擊繼續
  5. 如果登錄客戶端時沒有使用雙因素驗證,這時您會收到一封包含確認碼的郵件1。將其輸入到確認碼框內。完成後,點擊繼續提交請求。如果登錄客戶端時使用了安全設備,請直接進入第6條。
  6. 如果成功完成操作,您會看到一個確認頁面。點擊確定
  7. 系統會列出已啟用的IP地址限制。如果想增加新的限制,請再次點擊添加IP限制 ,否則可離開此頁面

 

仙股交易者IP限制:

選擇退出SLS、只對客戶端使用雙因素驗證的客戶必須啟用IP限制才能激活仙股交易許可。


保護您電腦和網絡的其它最佳做法: 

  • 登錄TWS時,在登錄界面勾選“使用SSL”。SSL(安全套接字層)可確保您電腦和我們的服務器之間交換的所有信息均採用128位加密予以保護。
  • 使用防火牆防止未經授權訪問。在防火牆設置過程中,確保對KB2816桌面版TWS部分列出的主機/端口進行授權。
  • 使用防病毒軟件找出並清除可能會影響您電腦的病毒。由於不斷有新的病毒產生,您需要定期對防病毒軟件的威脅數據庫進行更新。
  • 使用防惡意軟件找出並移除間諜程序/惡意程序,這類程序可收集您的個人信息、監控您的瀏覽活動、干擾您的使用。現在許多防病毒軟件均有內置的防惡意軟件保護功能。
  • 避免使用不安全的公共無線網絡(Wi-fi)。如果必須使用不安全的網絡(如公共Wi-Fi熱點),請勿登錄任何金融機構賬戶,包括您的IBKR賬戶。

 

注意:
1. 如果沒有收到電子郵件,請檢查郵箱的垃圾郵件文件夾,並將donotreply@interactivebrokers.comhelp@interactivebrokers.com添加到受信任的發件人列表。之後,您便可點擊重新發送確認碼請求為您重新發送郵件。

 

如何使用語音回呼接收登錄驗證代碼

Background: 

如果啟用了短信驗證作為雙因素驗證方式,您可使用語音回呼來接收登錄驗證代碼。本文詳述了登錄平臺時使用語音回呼的具體步驟。

 

如何使用語音回呼
 
如果沒收到登錄驗證代碼,您可選擇語音。選擇後您便會通過自動回呼接收登錄驗證代碼。請根據您嘗試登錄的平臺按以下說明操作。
 

 

客戶端

1. 點擊“沒收到安全代碼?”

2. 從兩個選項中選擇"語音"然後等待回呼。

3. 選擇語音後,您會在一分鐘內接到回呼。請等待回呼,準備好記下回呼將提供給您的代碼。

 

TWS

1. 點擊"請求新的安全代碼"

2. 從兩個選項中選擇"語音"然後點擊確定,等待回呼。

 3. 選擇語音後,您會在一分鐘內接到回呼。請等待回呼,準備好記下回呼將提供給您的代碼。

注:TWS的語音回呼功能只適用於最新版和BETA版。

 

移動IBKR - iOS版

1. 點擊"請求新的代碼"

2. 從兩個選項中選擇"語音"然後等待回呼。

 3. 選擇語音後,您會在一分鐘內接到回呼。請等待回呼,準備好記下回呼將提供給您的代碼。

 

移動IBKR - 安卓版

1. 點擊"請求新的安全代碼"

2. 從兩個選項中選擇"語音"然後等待回呼。

 3. 選擇語音後,您會在一分鐘內接到回呼。請等待回呼,準備好記下回呼將提供給您的代碼。

 

參考:

 

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