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.        資金轉帳限制 – 俄羅斯盧布（RUB）

B.        持有俄羅斯證券倉位的客戶

• 受制裁的俄羅斯證券

• 未受制裁的俄羅斯證券 

C.       俄羅斯美國存托憑證（ADR）/全球存托憑證（GDR）

D.        來自烏克蘭某些地區的客戶

• 盧甘斯克和頓涅茨克地區

  • 賬戶限制

• 赫爾松和扎波羅熱地區

E.       在受制裁銀行持有賬戶的客戶

F.         對俄羅斯或白俄羅斯國民、公民和/或居民造成影響的限制

• 莫斯科證券交易所（MOEX)

• 歐盟證券限制 

 

A. 資金轉帳限制 – 俄羅斯盧布（RUB）

跟許多金融機構一樣，IBKR也在逐步降低對俄羅斯盧布（RUB）的風險敞口。 

 1.      盧布資金轉帳有哪些限制？

盧布存款
IBKR不再接受盧布存款。 任何盧布存款均會被拒絕。

IBKR會根據您賬戶所屬IBKR實體定期將盧布餘額兌換成美元或歐元。 請訪問IBKR知識庫瞭解關于貨幣兌換的詳細信息。

 盧布取款
目前，我們接受盧布取款請求。 但是，我們無法保證銀行會處理該等請求。

 2.      如果我賬戶的基礎貨幣就是盧布怎麽辦？

目前IBKR不允許客戶將盧布作爲基礎貨幣。 如果您先前以盧布爲基礎貨幣，我們已根據您的IBKR實體將其兌換成了美元或歐元。（該等信息可參見IBKR知識庫）。

 

B. 持有俄羅斯證券倉位的客戶

美國和其它國家政府專門針對某些發行證券的俄羅斯公司實施了制裁，意味著該等證券無法交易或轉帳。 此外，美國還禁止買入所有俄羅斯公司新發行的和已發行的債務性證券和權益性證券。 因此，俄羅斯證券的交易或被完全限制，或被部分限制。  

1.      哪些俄羅斯證券被限制？

某些受特定制裁的俄羅斯證券已于2022年5月25日被完全限制。 您當前無法就任何受制裁的俄羅斯證券進行交易或轉倉。 

 自2022年6月6日起，您無法就未受制裁的俄羅斯證券開立新倉位（多頭或空頭），但仍可賣出或繼續持倉。  

受制裁的俄羅斯證券

1.     如果持有受制裁的俄羅斯證券，我還能訪問自己的賬戶嗎？

可以，您可以全權訪問您自己的IBKR賬戶。 但是，您將無法就任何受制裁的俄羅斯證券進行交易或轉倉。

2.     我可以把我持有的受制裁俄羅斯證券的倉位轉至其它經紀商嗎？

不可以。 所有受制裁俄羅斯證券的相關倉位均已被凍結。除非制裁解除或者您從OFAC取得特種許可證，否則您無法就該等證券進行交易或轉倉。

3.    受制裁的俄羅斯證券可以獲得股息嗎？

 不能。托管機構不會向IBKR分配股息，IBKR也不得處理受制裁證券的付息。

4.     受制裁俄羅斯證券的公司行動如何處理？

IBKR不會對受制裁的俄羅斯證券執行處理，包括會改變您倉位價值的公司行動（包括將證券持倉轉換成現金，如通過强制要約收購或現金幷購或增資擴股）。拆股和其它不會改變您倉位價值的公司行動可能可以處理。

受英國和加拿大制裁的證券：

1.     還有哪些制裁適用于英國和加拿大客戶？

英國和 加拿大在美國和歐盟制裁的基礎上還針對某些俄羅斯發行人施加了額外制裁。 對于被英國和加拿大制裁的俄羅斯發行人，英國和加拿大人士（包括IB英國和IB加拿大的客戶以及英國或加拿大的公民/居民）被完全限制進行任何交易或轉倉。 該等證券爲當前或曾經在莫斯科證券交易所、維也納證券交易所、斯圖加特證券交易所和納斯達克證券交易所挂牌的證券。 最新的發行人列表請參見：哪些俄羅斯證券受到了限制？

對于IBUK、英國（包括英國屬地）公民以及居住在英國或英國屬地內的人士：

未受制裁的俄羅斯證券

1.      未受制裁的俄羅斯證券有什麽限制？

美國的制裁禁止美國金融機構支持客戶買入任何俄羅斯公司的證券。 這意味著，您無法就俄羅斯證券（包括其衍生品）開立新倉位。 

2.      我必須要把持有的未受制裁俄羅斯證券倉位賣掉嗎？

不是。 對于未受制裁的俄羅斯證券，您可以自行决定是繼續持倉還是將其賣出。請注意，您能否平倉該等倉位可能會受到交易所或當地規則的限制。例如，俄羅斯中央銀行的當前限制就使得IBKR的客戶無法在莫斯科證券交易所進行任何交易（開倉或平倉）。

3.      賣出未受制裁俄羅斯證券有截止時間限制嗎？

沒有，撤出投資沒有時間限制。只要證券對應的市場對IBKR開放交易，您隨時都可以賣出持有的未受制裁俄羅斯證券。例如，目前IBKR就不能接入莫斯科證券交易所。

4.      我可以繼續在二級市場上買入俄羅斯證券或主權債嗎？

不可以，禁止適用于任何俄羅斯實體發行的債務性和權益性證券，包括主權債。 您可以賣出或繼續持有您的俄羅斯證券或債券持倉，但無法再進行新的買入。 

5.      我可以把我的ADR和GDR轉換成未受制裁的俄羅斯證券嗎？

IBKR不支持將您的ADR和GDR轉換成以您IBKR賬戶爲接收目的地的盧布計價證券。但可以在盡最大努力的基礎上幫助實施以非IBKR賬戶爲接收目的地的轉換。下面我們將對ADR和GDR進行更詳細的討論。

6.      我可以將我持有的未受制裁俄羅斯證券倉位轉倉嗎？

可以，您可以將該等持倉轉至您在其它經紀商處的賬戶，只要接收經紀商可以接受。

7.      未受制裁的俄羅斯證券可以獲得股息嗎？

由于俄羅斯中央銀行政策更改，IBKR現無法處理任何俄羅斯證券的股息支付。客戶應聯繫發行人獲取股息。

 

8.      未受制裁的俄羅斯證券的公司行動如何處理？

我們注意到，許多未受制裁的俄羅斯證券的公司行動我們的托管銀行都未予以處理。 但對于托管銀行處理的公司行動，IBKR都會將公司行動轉給客戶賬戶。  

 

C. 俄羅斯美國存托憑證（ADR）/全球存托憑證（GDR）

俄羅斯一項新頒布的聯邦法律禁止俄羅斯發行人的股票通過ADR或GDR的形式在俄羅斯以外的市場交易。此外，某些俄羅斯ADR/GDR還受到美國制裁。

1.      哪些俄羅斯ADR和GDR受到了制裁？

受制裁的俄羅斯ADR和GDR列表請參見此處。

查看受制裁俄羅斯證券列表時請參考以下限制編碼。

• 19999 - IB Global受限
• 10399 - IB-CAN受限
• 10499 - IB-UK受限
• 10599 - IB-UKL受限
• 11299 - UK+個人受限
• 19902 - IB-Global禁止開倉
• 19905 - IB-Global禁止轉入轉帳

 2.      我可以轉帳我的俄羅斯ADR/GDR嗎？

目前，IBKR允許將未受制裁俄羅斯ADR/GDR轉至您位于其它金融機構的賬戶，但不允許轉帳受制裁的俄羅斯ADR/GDR。 

3. 我可以把我的ADR/GDR轉成普通股嗎？

如果您滿足以下要求，IBKR會在盡最大努力的基礎上爲符合條件的ADR/GDR處理取消請求。

• 您在俄羅斯銀行持有“C”類證券賬戶可以接受當地市場的普通股。 注意：IBKR無法接收轉換後的普通股。
• ADR/GDR或底層公司、受益所有者或接收普通股的機構均未受到制裁。
• 對應的保薦銀行帳簿接受取消。 請訪問保薦銀行網站瞭解帳簿的開放/關閉狀態，該狀態可能會經常變化。
• 您可以證明截至2022年4月27日自己是登記日持有人，幷且在轉換過程中沒有發生所有權變更。  

 4.         如何針對符合條件的ADR/GDR發起轉換？ 

請向客服提交諮詢單，諮詢單必須包含以下內容：

• 附上填寫完整（且已簽字）的證明和傳送表格（如Gazprom）或指令函（如Lukoil）。
• 表格必須包含您用以接收普通股的證券賬戶號碼和接收銀行的30位代碼。沒有這一代碼將無法處理轉換。
• 轉換會涉及以下費用。請在諮詢單中同意繳納該等費用，幷確保賬戶中有足够資金：
  • 每張DR0.05美元（向上取整到最近的整百DR的費用） – 保薦銀行取消費用（代收）
  • 17.50美元 – 電匯費用 – 保薦銀行收費（代收）
  • 500美元 – IBKR轉換費用

 

 D. 來自烏克蘭某些地區的客戶

盧甘斯克和頓涅茨克地區

2022年2月，由于俄羅斯在烏克蘭的軍事行動，美國、英國和歐盟對俄羅斯實施了一系列制裁。其中包括對盧甘斯克和頓涅茨克地區的個人和實體實施限制，與2014年的克裏米亞制裁類似。

賬戶限制

1. 爲什麽我的賬戶還會被限制？

您的賬戶有一個位于烏克蘭盧甘斯克或頓涅茨克地區的地址。 美國政府集中針對烏克蘭的這兩個地區實施制裁。 該等制裁有一個短暫的緩衝期，于2022年3月23日結束。作爲一家美國金融機構，須對上述兩個地區之客戶的交易進行限制。

2. 我現在不生活在盧甘斯克人民共和國或頓涅茨克人民共和國。 我居住在其它地區。爲什麽我的賬戶還會被限制？

IBKR系根據賬戶記錄和手頭掌握的信息實施限制。 如您目前居住在盧甘斯克人民共和國和頓涅茨克人民共和國以外的地區，請更新您登記的地址幷提交相關文件證明您的地址（如水電賬單）。 我們會審核您提供的信息，再考慮是否移除限制。

3. 有哪些限制？

針對個人/聯名賬戶客戶

自2022年3月23日起，除非美國制裁取消或獲得美國海外資産控制辦公室（OFAC）的授權，否則來自盧甘斯克人民共和國和頓涅茨克人民共和國的客戶無法進行任何交易或頭寸轉帳。您無法存款，但可以出于個人（而非商業）目的從自己賬戶取款。取款前，我們會需要您對此進行確認。

針對機構客戶

現在由于緩衝期已結束，機構和信托賬戶不得再進行交易、轉帳或取款。  

4. 我需要做什麽才能移除限制？

如果您已經搬離盧甘斯克人民共和國或頓涅茨克人民共和國，但尚未對賬戶信息進行相應的更新，請更新登記的地址幷提供相關地址證明文件以證明您已經不在盧甘斯克人民共和國或頓涅茨克人民共和國居住。 我們會對信息進行審核幷告知您是否可以移除限制。

或者，您也可以聯繫美國財政部海外資産控制辦公室（OFAC），在其網站上申請特種許可證。 （OFAC許可證申請頁面）

赫爾松和扎波羅熱地區

針對IBIE和IBCE：

2022年10月，由于俄羅斯在烏克蘭的持續軍事行動，歐盟宣布對俄羅斯進行進一步制裁。 其中包括對烏克蘭赫爾松和扎波羅熱地區的個人和實體實施限制，與2014年的克裏米亞制裁和2022年2月對盧甘斯克和頓涅茨克地區的制裁類似。由于新的歐盟制裁，盈透證券愛爾蘭（“IBIE”）和盈透證券中歐（“IBCE”）不能再與赫爾松和扎波羅熱地區的任何個人或實體保持業務往來。 

 

 E. 在受制裁銀行持有賬戶的客戶

  美國、英國和歐盟對數家俄羅斯銀行實施了制裁，對涉及該等銀行的交易予以了禁止。

1.      有哪些制裁？

根據制裁，客戶不得從受制裁的銀行發起存款，也不得取款到受制裁的銀行。 該等制裁有一定緩衝期，現已結束。

2.      哪些銀行受到了該等制裁的影響？

以下俄羅斯銀行及其分支機構或受到美國、英國和/或歐盟的制裁，或脫離SWIFT體系，或兩者兼有。 因此，IBKR無法支持涉及該等銀行的存款或取款。

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

以下銀行還受到英國制裁，適用于所有盈透證券（英國）有限公司（IBUK）的客戶：

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

IBUK的客戶目前不得從該等受制裁的銀行發起存款，也不得取款到該等受制裁的銀行。

3.      如果我通過其中一家受制裁的銀行轉帳資金，我是否需要關閉我的IBKR賬戶？

上述針對銀行的制裁幷沒有要求您關閉您的IBKR賬戶。 IBKR只是無法處理涉及受制裁銀行的存款或取款。

4.      可以添加新的銀行指令嗎？

可以，您可隨時添加新的銀行指令（在未受制裁之銀行開立的賬戶）。請注意，IBKR一直對某些特定模式的存取款活動設有限制，該等限制仍然有效。 有關該等限制的更多信息，請點擊此處。

 

F. 對俄羅斯或白俄羅斯國民、公民和/或居民造成影響的限制

某些制裁只對俄羅斯或白俄羅斯國民、公民和/或居民造成影響。 

莫斯科證券交易所（MOEX)

1.      我是俄羅斯公民。我還可以在莫斯科證券交易所交易我持有的未受制裁俄羅斯股票嗎？

IBKR是一家外國經紀商，已被俄羅斯政府禁止在莫斯科證券交易所交易。 因此，您將無法通過您的IBKR賬戶在莫斯科證券交易所交易。

 歐盟證券限制

1.      我是俄羅斯（或白俄羅斯）國民或居民。爲什麽我不能在歐盟的交易所交易？

歐盟實施了制裁，禁止2022年4月12日之後發行的歐元計價證券（包括公司行動所得）賣出或轉帳給俄羅斯或白俄羅斯國民（這兩個國家所有沒有居住在歐盟的公民）或位于俄羅斯或白俄羅斯的人士或實體。 

根據該等制裁，IBKR已對俄羅斯和白俄羅斯國民和居民，以及位于俄羅斯或白俄羅斯境內或由俄羅斯或白俄羅斯國民或居民所擁有的實體實施了限制， 禁止其就歐盟證券開立新倉位（多頭或空頭）。 

市場數據限制

1.      我是俄羅斯居民。爲什麽我看不到NYSE和Nasdaq的市場數據？

由于俄羅斯對烏克蘭的持續軍事行動，NYSE和Nasdaq已暫停向位于俄羅斯的個人和實體提供市場數據服務。IBKR不知道NYSE和Nasdaq何時會恢復該等服務。  

 

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：

爲加强對市場的監察、維護市場誠信，香港證券及期貨事務監察委員會（簡稱“香港證監會“）引入了香港投資者識別碼制度（“HKIDR”）。

該制度實施後，所有在香港聯合交易所有限公司（簡稱“聯交所”）進行的證券交易以及按規定須向聯交所匯報的場外交易均必須附加上一個客戶識別編碼，並向聯交所提交對應識別信息。

更多信息，請參考香港證監會 網站。

合規要求：

為遵守香港投資者識別碼制度，所有相關持牌法團和註册機構均須爲其每名能交易聯交所證券的客戶編配一個券商客戶編碼（“BCAN”）。

自2023年3月20日起，註册機構須向聯交所提交客戶識別信息（“CID”）和對應券商客戶編碼。所有聯交所證券委托單均須附加上券商客戶編碼，以便聯交所和香港證監會確定最終受益人。

哪些客戶識別信息會提交給聯交所？

在香港投資者識別碼制度下，對於任何有聯交所交易許可的客戶，都必須向聯交所提供以下識別信息。

個人客戶及受托人	公司客戶及受托人
證件上顯示的全名	證件上顯示的全名
證件的簽發國家或地區	證件的簽發國家或地區
證件類型（按優先級排列）： 1-      香港身份證（香港居民須提供） 2-      國民身份證明文件（包含客戶的中/英文姓名） 3-      護照	證件類型（按優先級排列）： 1-      法律實體識別編碼 2-      公司註册/成立證明
證件號碼	證件號碼

 

客戶如何選擇不將自己的客戶識別信息提交給聯交所？

在香港投資者識別碼制度下，客戶可以通過申請移除相關交易許可選擇不要共享其客戶識別信息。交易許可移除後，現有倉位可以繼續持有或平倉，平倉時委托單無需附加上客戶的券商客戶編碼，也無需向交易所提交客戶識別信息。

但是，在交易許可移除前，客戶必須先平倉所有空頭倉位和會産生空頭倉位的股票期權，因爲該等倉位的補進平倉會需要提交券商客戶編碼和客戶識別信息。

哪些交易許可會受到影響？

新制度涉及所有在聯交所上市和買賣的證券，以下交易許可會受到影響：

• 香港股票
• 香港股票賣空
• 香港股票期權
• 香港債券
• 香港認股權證

有關措施會對現有盈透證券客戶造成什麽影響？

• 爲對香港投資者識別碼制度進行準備，所有在盈透證券香港有限公司持有賬戶並開通了上方任一交易許可的個人，如果想在新規定下繼續保留其交易許可，則將需要在客戶端中進行確認。
• 未能在2023年3月9日前完成確認的客戶，其受影響的交易許可將被移除，以免其身份信息在違背其意願的情况下被共享。如交易許可被移除，客戶可隨時在客戶端中通過設置 > 賬戶設置 > 交易許可 菜單選項申請重新添加許可。
• 申請移除交易許可的客戶如還持有未平倉的空頭股票倉位，或會産生空頭股票倉位的股票期權，將需要在通知的截止時間前平倉，以避免該等倉位被按現行市價代其平倉。多頭倉位可繼續持有或平倉，平倉時無需向聯交所提交客戶識別信息。
• 香港客戶協議與披露均已更新，納入了香港投資者識別碼制度的相關要求：
  • 香港客戶協議
  • 香港風險披露
  • 香港客戶確認書

免責聲明：

以上信息僅爲方便使用之目的提供。IBKR不對信息的準確性或完整性進行任何保證。香港投資者識別碼制度可能還會有後續調整，客戶應直接訪問香港證監會網站瞭解更多信息： https://www.sfc.hk/TC/Rules-and-standards/Investor-Identification-and-OTC-Securities-Transactions-Reporting