爲個人賬戶添加(非雇員)使用者

Overview: 

個人賬戶持有人可以爲其IBKR賬戶添加多個使用者。賬戶持有人會想要在自己名下添加第二使用者以便能同時打開兩個TWS會話(一個是普通訪問,一個是通過API連接)。根據有限委托授權協議,賬戶持有人最多可向5名(非雇員)個人(如家庭成員)提供訪問權限。每名個人都可以訪問第二使用者。

每種情况下,第二使用者都會有唯一的用戶名,登錄客戶端和交易平臺時需要用到。下方爲添加(非雇員)個人使用者的步驟說明(爲個人賬戶持有人添加第二使用者的步驟說明,請參見KB1004)。

Background: 

添加非雇員使用者步驟如下: 

  1. 登錄客戶端。
  2. 點擊使用者菜單(右上角的小人圖標),然後點擊管理賬戶
  3. 使用者和訪問權限面板將顯示在配置數據欄右側,列出您賬戶已經添加好的所有使用者。
  4. 點擊配置(齒輪)圖標打開使用者和訪問權限界面。
  5. 此處有兩個面板:使用者面板顯示的是您賬戶已添加的個人,以及其與主要賬戶持有人的關係;使用者角色面板顯示的是您已創建的所有使用者角色。
  6. 使用右側的圖標添加、編輯或删除使用者。
  7. 添加使用者和分配訪問權限分幾個界面進行。完成一個界面後,點擊繼續以進入下一個界面。如果想對上一個界面進行調整,點擊返回
    1. 在第一個界面,輸入使用者相關的信息,包括用戶名、密碼、姓名、與主要賬戶持有人的關係以及電郵地址。
    2. 在下一個界面,選擇使用者角色(如有已保存的角色)。使用者角色會自動將先前配置好的一系列訪問權限應用到新的使用者身上。如果是這樣,您可以跳過剩下的界面,直接進入檢查確認界面。
    3. 後面的每個界面都會讓您授予新使用者訪問某組特定功能的權利。在每個界面點擊對應框授予使用者訪問相應功能的權利。
  8. 最後一個界面可供您檢查新使用者的所有相關信息,包括訪問權限。新使用者分配的權限將是已勾選狀態,顯示爲綠色;而沒有分配到的權限將是被劃掉狀態。如果沒有問題,點擊繼續。如還需要更改,點擊返回
  9. 如果沒有參與安全登錄系統使用雙因素驗證,您將收到一封包含確認碼的電子郵件。輸入通過電郵發送給您的確認碼,然後點擊繼續。如果沒有收到確認碼,點擊請求確認碼以讓系統重新向您的郵箱發送確認碼。
  10. 點擊確定保存新的使用者,該使用者將顯示在使用者和訪問權限面板。

 

重要注意事項:

1. 根據市場數據供應商要求,市場數據服務是特定于使用者的,因此所有訂閱的用戶名均會被收取市場數據訂閱費用。

2. 賬戶持有人可以在使用者和訪問權限下點擊用戶名旁邊的删除鏈接删除使用者。

爲個人賬戶持有人添加第二使用者

Overview: 
個人賬戶持有人可以爲其IBKR賬戶添加多個使用者。賬戶持有人會想要在自己名下添加第二使用者以便能同時打開兩個TWS會話(一個是普通訪問,一個是通過API連接)。根據有限委托授權協議,賬戶持有人最多可向5名(非雇員)個人(如家庭成員)提供訪問權限。每名個人都可以訪問第二使用者。賬戶的第二使用者不能有資金權限,但其它委托授權使用者如有賬戶持有人授權則可以有資金權限。
 
每種情况下,第二使用者都會有唯一的用戶名,登錄客戶端和交易平臺時需要用到。下方爲現有賬戶持有人添加第二使用者的步驟說明(添加非雇員使用者的步驟說明請參見KB1001)。
 
Background: 

添加第二使用者步驟如下: 

  1. 登錄客戶端。
  2. 點擊使用者菜單(右上角的小人圖標),然後點擊管理賬戶
  3. 使用者和訪問權限面板將顯示在配置數據欄右側,列出您賬戶已經添加好的所有使用者。
  4. 點擊配置(齒輪)圖標打開使用者和訪問權限界面。
  5. 點擊使用者旁的添加“+”圖標。然後您將看到添加使用者頁面,您需要在該頁面設置新的用戶名及其對應密碼。 
  6. 因爲您創建此使用者是作爲第二用戶名,因此在是否爲第二使用者處選擇是。
  7. 點擊繼續按鈕。
  8. 檢查詳細信息,然後點擊繼續按鈕。
  9. 如果沒有參與安全登錄系統使用雙因素驗證,您將收到一封包含確認碼的電子郵件。輸入通過電郵發送給您的確認碼,然後點擊繼續。如果沒有收到確認碼,點擊請求確認碼以讓系統重新向您的郵箱發送確認碼。
  10. 點擊確定保存新的使用者,主要賬戶持有人現在就可以用其作爲第二用戶名了。

 

重要注意事項:

1. 根據市場數據供應商要求,市場數據服務是特定于使用者的,因此所有訂閱的用戶名均會被收取市場數據訂閱費用。

2. 賬戶持有人可以在使用者和訪問權限下點擊使用者旁邊的删除鏈接删除第二使用者賬戶。

 

如何用手機向IBKR發送文件

Overview: 

即使您一時無法掃描文件,盈透證券也支持您給我們發送文件副本。您可以用手機將所需文件拍下來。

下方介紹了在不同手機操作系統下如何拍照幷將照片通過電子郵件發送給盈透證券的詳細步驟:

如果您已經知道如何拍照幷通過電子郵件發送圖片,請點擊此處——電子郵件應該發送到哪裏以及郵件主題應該寫什麽

 

iOS
1. 從手機屏幕的底部向上滑,然後點擊相機圖標。

如果沒找到相機圖標,您可以從iPhone主屏幕點擊相機應用程序圖標。

通常情况下打開的應該是後置攝像頭。如果打開的是前置攝像頭,請點擊攝像頭切換按鈕。


2. 將手機移到文件上方,鏡頭對準需要的位置或頁面。

 

3. 確保光綫均勻、充足,避免因爲拿手機的姿勢在文件上投下任何陰影。手機拿穩,防止抖動。點擊拍照按鈕拍照。

 

4. 點擊左下角的縮略圖查看您剛剛拍的照片。


5.  確保照片清晰,文件字迹清楚。您可以用兩個手指在圖片上劃開來放大圖片查看細節。

如果圖片質量或亮度不好,請重複上述步驟重新拍照。


6. 點擊屏幕左下角的分享圖標。



7. 點擊電子郵件圖標。

注意:要發送電子郵件,您的手機必須有相應配置。如果不知道如何配置,請聯繫您的電子郵件供應商。

 

8. 請參見此處瞭解如何填寫電子郵件收件人(To:)和主題(Subject:)。填寫完畢後,點擊右上方的向上箭頭發送郵件。

 


安卓
1. 打開應用程序列表,啓動相機應用程序。或者直接從手機主屏幕啓動相機。取决于您的手機型號、製造商或設置,相機應用程序的叫法可能有所不同。

通常情况下打開的應該是後置攝像頭。如果打開的是前置攝像頭,請點擊攝像頭切換按鈕。

 

2. 將手機移到文件上方,鏡頭對準需要的位置或頁面。

 

3. 確保光綫均勻、充足,避免因爲拿手機的姿勢在文件上投下任何陰影。手機拿穩,防止抖動。點擊拍照按鈕拍照。


4.  確保照片清晰,文件字迹清楚。您可以用兩個手指在圖片上劃開來放大圖片查看細節。

如果圖片質量或亮度不好,請重複上述步驟重新拍照。


5. 點擊屏幕右下角的空白圈圈圖標。   

 

6. 點擊屏幕左下角的分享圖標。


7. 在顯示的分享菜單中點擊手機上安裝好的電子郵件客戶端的圖標。下圖顯示的是Gmail,但手機設置不同,電子郵件程序也會不同。

注意:要發送電子郵件,您的手機必須有相應配置。如果不知道如何配置,請聯繫您的電子郵件供應商。

8. 請參見此處瞭解如何填寫電子郵件收件人(To:)和主題(Subject:)。填寫完畢後,點擊右上方的飛機圖標發送郵件。

 


電子郵件應該發送到哪裏以及郵件主題應該寫什麽
應按照以下說明發送郵件:
1. 在收件人(To:)字段,輸入:

  •   newaccounts@interactivebrokers.com(如果您是非歐洲國家居民)
  •   newaccounts.uk@interactivebrokers.co.uk(如果您是歐洲國家居民)

2. 主題(Subject:)字段必須注明所有以下信息:

  •     您的賬戶號碼(通常格式爲Uxxxxxxx,其中x是數字)您的用戶名
  •     發送文件的目的。請采用以下慣例:
    • 居住地證明請寫PoRes
    • 身份證明請寫PID

 

手機收不到IBKR的短信(SMS)

Background: 

在客戶端中驗證了手機號之後,您應該馬上就能收到IBKR向您手機發送的短信(SMS)。本文闡述了在無法收到短信的情況下您可以採取的解決方法。

1. 激活移動IBKR驗證(IB Key)作為雙因素驗證設備

為免受無線/手機運營商相關問題影響、穩定接收所有IBKR消息,我們建議您在手機上激活移動IBKR驗證(IB Key)。

我們的手機驗證以移動IBKR程序自帶的IB Key作為雙因素安全設備,因此在登錄IBKR賬戶時無需通過SMS獲取驗證碼。 

移動IBKR程序目前支持在Android和iOS手機上使用。下方為安裝、激活和操作說明:

Android: KB2277
iOS: KB2278

 

2. 重啟手機:

關機然後再重新開機。通常這樣就能收到短信。 

請注意,某些情況下,如漫遊出運營商服務的範圍時(在國外),您可能無法收到所有消息。

 

3. 使用語音回呼

如果重啟手機後還是沒能收到登錄驗證碼,請可以選擇“語音”。然後您會接到自動的語音回呼,告知您登錄驗證碼。有關如何使用語音回呼的詳細說明,請參見IBKB 3396

 

4. 檢查看是否您的手機運營商阻斷了來自IBKR的SMS

某些手機運營商誤將IBKR的短信識別為垃圾短信或不良內容,會自動對其進行阻斷。您可以聯繫相應地區的相應部門檢查您的手機號碼是否有短信過濾:

美國:

印度:

中國:

  • 直接致電運營商詢問其是否在阻斷IBKR的消息

 

參考文章:

 

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。 

 

 

Syndicate content