尊貴的客戶：
場外證券交易匯報制度推出安排
參照證券及期貨事務監察委員會（「證監會」）於2022年12月20日發出的通函，場外證券交易匯報制度於2023年9月25日推出。
在場外證券交易匯報制度下，偉祿亞太證券有限公司須就有關在聯交所上市的普通股及房地產投資基金（就場外證券交易匯報制度而言，統稱為“股份”）的以下活動，向證監會作出匯報：
(a) 當偉祿亞太證券有限公司（不論是作為主事人或代理人）為某項可徵收香港印花稅且沒有被聯交所記錄為自動對盤交易指令或無須向聯交所匯報為非自動對盤交易的交易進行股份轉移時，惟以下情況除外：
- 該項交易獲稅務局給予印花稅寬免（不論是全數或部分數額），或
- 股份轉移乃根據結構性產品或衍生工具的條款或因將預託證券轉換為股份（反之亦然）而進行；
(b) 當實體股票證書被存放於或提取自偉祿亞太證券有限公司（不論是作為主事人或代理人）時。
就此，偉祿亞太證券有限公司需要向您收集最新的客戶識別資訊，並向證監會提交一切不時要求索取的關於您的客戶識別信息。若有任何身份資料的改變或更新，請即通知我司並提供相關證明。
如有任何疑問，請於辦公時間內致電客戶服務熱線：(852)3755-5888或電郵至：cs@realordapsec.com.hk。
此致
偉祿亞太證券有限公司
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Dear Valued Customer,
Arrangements for the launch of the Over-the-counter Securities Transactions Reporting Regime
Reference is made to the circular issued by the Securities and Futures Commissions (“SFC”) dated 20 December 2022. The Over-the-counter Securities Transactions Reporting Regime (OTCR) will be launched on 25 September 2023.
Under the OTCR, Realord Asia Pacific Securities Limited is required to report to the SFC in below activities:
(a) when Realord Asia Pacific Securities Limited, whether as principal or agent, makes a transfer of shares in connection with a transaction not recorded by SEHK as an on-exchange order or required to be reported to SEHK as an off-exchange trade in respect of which stamp duty is chargeable in Hong Kong, except where
- the transaction is granted stamp duty relief (whether in full or in part) from the Inland Revenue Department, or
- the transfer of shares is made in accordance with the terms of a structured product or a derivative, or for the conversion of a depository receipt into shares or vice versa;
(b) when there is a deposit to or withdrawal from Realord Asia Pacific Securities Limited, whether as principal or agent, of physical share certificates.
Therefore, Realord Asia Pacific Securities Limited is required to collect up-to-date client identification information (“Client Identification Data” or “CID”) from you and provide to the SFC such CID relating to you as the SFC may request from time to time. In case of any update to your identification information, please notify us and provide relevant supporting documents.
Should you have any questions, please contact our customer service hotline at (852) 3755-5888 or Email to: cs@realordapsec.com.hk during office hours.
Yours faithfully,
Realord Asia Pacific Securities Limited
