S&F (Client Securities) Rules

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Content: Requirement for deposit or registration of client securities and securities collateral, Dealings with client securities and securities collateral, Treatment of client securities and securities collateral by intermediaries licensed or registered for dealing in securities and their associated entities, Repledging Limit, Penalties (CPT Points: 2) 證券及期貨(客戶證券)規則 內容: 存放或登記客戶證券及證券抵押品的規定、處理客戶證券及證券抵押品、獲發牌或獲註冊進行證券交易的中介人及 其有聯繫實體對待客戶證券及證券抵押品、再質押上限、核准穩妥保管客戶證券及證券抵押品的保管人、就沒有遵守本規則的某些條文作出報告、罰則

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