评估使用「沪港通」及「深港通」准备状况之检查清单.PDFVIP

評估使用 「滬港通」及 「深港通」準備狀況之檢查清單 Checklist for assessing readiness for the use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect 此檢查清單目的乃提供有意申請使用 「滬港通」及 「深港通」的交易所參與者及結算參與者（統稱 「參與者」）評估其運營準備狀況。因個別交易所參與者及結算參與者具有不同的運營模式，此檢 查清單並非詳盡無遺 。參與者應考慮其自身需要及運營模式以評估其使用「滬港通」及 「深港通」 之準備狀況。 This Checklist aims to provide guidance to Exchange Participants and Clearing Participants (together, “Participants”) who wish to apply for registration to use Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect to assess their operational readiness. As Participants have different operational models, this checklist is not exhaustive. Participants should consider their own needs and operational structure to assess their readiness in the use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect. 除非另有規定，在登記使用「滬港股票市場交易互聯互通機制」及「深港股票市場交易互聯互通機 制」之解釋說明文件的詞彙，當用於此檢查清單時具有相同意義。 Unless otherwise stated, capitalised terms used in this checklist have the same meanings as used in the Explanatory Notes for Registration for the Use of Shanghai-Hong Kong Stock Connect and Shenzhen-Hong Kong Stock Connect. 交易所參與者申請登記使用中華交易通 For Exchange Participants who apply for registration to use the Trading Link  申請及安裝中華通中央交易網關以使用中華交易通買賣中華通證券。 Apply for and install a China Connect Central Gateway for the trading of China Connect Securities through the use of the Trading Link.  確保所有相關系統及程序 （包括以下所列）就通過使用中華交易通買賣中華通證券已準備就 緒： Ensure that all relevant systems and procedures (including the following) are ready for the trading of China Connect Securities through the use of the Trading Link:  能輸入6 位數字股份代號； ability to input 6 digit stock codes;  禁止部分客戶買賣特定證券列表 ； restriction on the trading of certain China Connect Securities by certain clients;  禁止即日回轉交易及裸賣空中華通證券；