Ref: SFC Q&A

      CODE OF CONDUCT

近日多了客戶查詢, 要向客戶確認同意參與"高風險"衍生產品, 確認後才可以買賣有關產品.
但是甚麼才列入"高風險"呢 ? 一般是指期指及期權, 但窩輪又是否高風險呢? 目前沒有明確文件指示.

由客戶回應知道, 由用戶自行決定是最靈活的處理方法, 以下是 19/8/2011 更新之內容, 系統修改亦以此為準則

POP可以利用 以前管理"GEM" 股票的方法, 將 [G]改為[H], 代表HIGH RISK. 憑CONTRACT DATE 是否逾期作判斷.

POP會利用管理"GEM" 股票的方法, 在系統加入[H] 指標, 代表HIGH RISK. 憑CONTRACT DATE 是否逾期作判斷.

在STOCK MASTER有關股票加入[H]標記後, 資料匯入CAMS時, 前台就可以加以利用, 如客戶未有確認 (i.e. CONTRACT DATE : 27/09/10 ) 過期, 如果有 H 指標的股票
就可以拒絕進行買賣. 除非客戶經過審核, 才可以買賣較高風險的"引伸"產品



系統要修改的地方如下:-


19/05/2011 ---------------(231) STOCK MASTER ENTRY-----------------------------
                                                                               
                  STOCK NO :[0001 ]          STOCK CODE :[CHEUNG KONG    ]     
                 ISIN CODE :[            ]        GROUP :[     ]               
               MARKET CODE :[    ]             CURRENCY :[   ]                 
           MARKET FEE CODE :[  ]                                               
                STOCK NAME :[CHEUNG KONG (HOLDINGS) LIMITED               ]    
     TRADE SUSPENDED (Y/N) :[ ]            SUSPENDED ON :[  /  /    ]          
      CONTRACT STAMP (Y/N) :[Y]        START LISTING ON :[01/11/1972]          
      TYPE :[ ]    (G=GEM, B=BONDS, R=RIGHTS, L=LOAN STOCKS)   HIGH RISK [H] 'H' for high risk, blank for normal
         CCASS STOCK (y/N) :[Y]    START CCASS TRADE ON :[  /  /    ](d/m/y)   
                  LOT SIZE :[  1,000]          U. PRICE :[   103.1000]         
              MARGIN RATIO :[ 0.600]   (Negative means NO MARGIN)              
     ASSET GRADE (ABCDEFS) :[A]  0.85    Special Asset Ratio :[0.0000]         
WARRANT/RIGHTS EXPIRY DATE :[  /  /    ]     CDF : 1.0000     ELAR : 0.8500    
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  Query                                                                        
                                                                               

 將 GEM 改為 H (i.e. High Risk), [  ] 內容許 G-type, 但系統不作檢測, 因為舊客的系統內仍有大量標記 G 的股票.

 針對 HIGH RISK 股票, 可以用 [H] 標記, 目前是針對 WARRANT,衍生產品

為了方便用戶將所有WARRANT都標為 [H], 可以加入小工具, 由用戶自行輸入股票編號範圍, 並將HIGH RISK 標記為 [H].


然後在(A) CLIENT CONTROL , 將有關"GEM" 字樣, 改為 "HIGH RISK",

在系統內部, 原本檢視 [G] 的, 改為檢視 [H], 但要忽視 [G], (因為舊 DATA 仍有標記[G]的股票.


            (A) CLIENT CONTROL                     
---------------------------------------------------
                                                   
  0. EXIT to MAIN MENU                             
                                                   
  1. TOPMOST BALANCE CLIENT LIST                   
  2. "GEM" & MARGIN CONTRACT DATE SETUP            
  3. "GEM" & MARGIN CLIENT CONTRACT RENEWAL LIST   
  4. UPDATE NEW PIN FROM EXTERNAL SYSTEM           



將 "GEM" 改為 "HIGH RISK STOCK"

| (Windows ▓╙⌐·┼Θ)  (A2) "GEM" & MARGIN CONTRACT DATE SETUP              Share |
+------------------------------------------------------------------------------+
                                                                                
              CLIENT A/C NO : A1               STATUS : A  ACTIVE               
                                                                                
                CLIENT NAME : NAME OF A1                                        
                                                                                
                                                                                
                     RUNNER : C01                                               
                                                                                
              A/C OPEN DATE : 27/09/10    (dd/mm/yy)                            
                                                                                
        CONTRACT RENEW DATE :             (dd/mm/yy)                            
                                                                                
        "GEM" CONTRACT DATE : 27/09/10                                          
                                                                                
                                                                                
--------------------------------------------------------------------------------
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將 "GEM" 改為 "HIGH RISK STOCK"

-------- (A3) "GEM" & MARGIN CLIENT CONTRACT RENEWAL LIST ----
                                                              
         0. EXIT                                              
         1. "GEM" CONTRACT REPORT                             
         2. MARGIN CONTRACT RENEWAL LIST                      
                                                              
                                                              
         1. REPORT in CLIENT A/C NO Sequence                  
         2. REPORT in CLIENT NAME Sequence                    
         3. REPORT in RUNNER & CLIENT NAME Sequence           
         4. REPORT in RUNNER & CLIENT A/C NO Sequence         


在 CLIENT MASTER 加入 ALLOW HIGH RISK [N]   default [N], 及空白 代表不可以買賣已標記為HIGH RISK之產品, 祇有 [Y],才可以買賣HIGH RISK=[Y] 的產品.
                                                              

19/05/2011 -------------- (211) CLIENT MASTER ENTRY ---------------------------
                                                                                                                                               這段可以取消
             CLIENT A/C NO : A1              ALLOW HIGH RISK [N]                       (MARGIN  = Mxxxx, INTERNAL = Ixxxx)
             LOCATION (12) :                 VERIFIED ON [dd/mm/yyyy]                  (ACCOUNT = Axxxx,  RUNNER  = Cxxxx)
   CHARGE CCASS FEE (N=No) :   CBBC (Y/N) : N                  INDIVIDUAL      
CL NAME : NAME OF A1                                                           
CHQ NAME :                                                                      
 ADDR 1 : ADD1 OF A1                            ID / BR NO :                   
      2 : ADD2 OF A1                         TEL NO (Home) :                   
      3 :                                         (Office) :                   
             BANK :                               COMM RATE: 0.2500            
           A/C NO :                                MIN COMM: 100.00            
        COMM CODE : 01                          REBATE RATE: 0.1500            
               RUNNER CODE : C01                 MIN REBATE:  50.00            
 SEND CONFIRMATION (Y=Yes) :                       NET COMM:  50.00            
             INTEREST CODE :                    DB INT RATE:                   
              MARGIN RATIO :                    CR INT RATE:                   
      TRADING / LOAN LIMIT :              OVRSEA:    FAX NO:                   
RINT DIVIDEND CHEQUE (Y/N) :              ATTN :                               
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   Create Amend Delete Undel Search Filter Previous Next Top List Memo Exit    
   Query  Replicate Output         *GEM*                     (has footnote)    
                                                                               


如何使用有關設定

1. 在CAMS, 檢查STOCK MASTER,
           如果 HIGH RISK=[Y], 檢查客 ALLOW HIGH RISK [   ]
                如果 [Y], 可以進行交易
                如果是 [N], 檢查條件
                  A. REJECT
                  B. PASS TO OBTAIN APPROVAL

    
在修改CAMS之同時, 在CAMS CLIENT畫面加入 TSF  選擇, Click 一下, 就可以將 TSF 字樣加入"Broker Comment" 一欄,
當然, 對於未成交之指示, 可以更改, 或者取消


2. 在 SB/GSB 印出 ALLOW HIGH RISK 客戶名單
                 A. All client with [Y]
                 B. Print list by A/E
   目的是未有 cams 的用戶, 可以憑報表知道有關客戶, 是否獲批准買賣 HIGH RISK 產品

3. 在 M-7-5-4 加入標示, 用戶也可以看到有關客戶可否進行 HIGH RISK 產品


                                                                                                      ALLOW HIGH RISK <---- 有權買賣HIGH RISK 產品
CLIENT : A1                              RUNNER: C01          BRANCH:      *GEM*
  NAME : NAME OF A1                        NAME: NAME OF C01                    
    TELEPHONE :                                     STATUS : A ACTIVE           
TRADING LIMIT :                 0.00                                            
OUTSTANDING BALANCE :     297,425.60                                            
  AVAILABLE BALANCE :     297,425.60     UNSETTLED BALANCE :           0.00     
PAST DUE OVER 4 DAYS:      98,712.80                                            
CCY     Outstanding       Principal             T+1             T+2     Interest
HKD     -297,425.60     -297,425.60            0.00            0.00         0.00
                          NO.OF   CLOSING          MARKET    # BOARD            
STOCK                    SHARES     PRICE           VALUE       LOTS            
--------------------------------------------------------------------------------
#0005  HSBC HOLDINGS      4,800   139.30       668,640.00         12            
#0133  CHINA MERCHAN     10,000    21.40       214,000.00          5            
                                           --------------                       
                                   TOTAL:      882,640.00                       
                                                                                
                                                                      Unrealized
 Stock No & Code         Trade Qty           Cost   Market Value     Profit/Loss
#0005  HSBC HOLDINGS         4,800     397,425.60     668,640.00      271,214.40