申報責任人士及申報方式
Who must report & How to report | 負有申報責任人士：
（1）以代理人身分為主事人帶有關乎該須申報的持倉量的帳戶的人士（例如交易所參與者）
（2）就該須申報的持倉量以主事人身分行事的人士
申報方式：
負有申報責任的人士可選擇直接向交易所提交關於該須申報的持倉量的通知，或透過其代理人（例如交易所參與者）提交有關的通知（當後者同意代其提交通知）。
Notes：
（1）不論該人選擇透過哪一方向交易所提交通知，每名持有或控制須申報的持倉量的人士都有義務履行其申報責任。如上述任何一方已向交易所呈交關於須申報的持倉量的通知，則香港證監會認為另一方可無需向交易所提交關於同一個須申報的持倉量的通知。
（2）如任何人在多於一家商號持有或控制若幹持倉量，則在應用有關的訂明上限和申報規定時，該人有責任將該等持倉量合併計算。
（3）如任何人與多於一名代理人開立帳戶並持有或控制須申報的持倉量，該人必須負上全部責任，向交易所提交關於該等須申報的持倉量的通知。如該人打算透過有關的代理人向交易所提交關於該等須申報的持倉量的通知，便須向其中一名代理人提供其在其他代理人所持有的持倉量總數，以便該代理人代表其向交易所提交關於該等須申報的持倉量的通知。即使上述個別帳戶的持倉量未必超逾須申報水平，該人亦可以要求所有有關的代理人分別向交易所申報每個帳戶的持倉量。 | Who must report::
（1） a person （e.g. the Exchange Participant） acting as an agent for the principal to carry the account of the reportable position; or
（2） the person acting as principal for the reportable position.
How to report:
A person holding or controlling a reportable position can choose to submit the notice of the reportable position to the Exchange directly or through an Exchange Participant or its agent where the latter agrees to make the report on the person’s behalf.
Notes：
（1）No matter which party is chosen by the person to submit the notice to the Exchange, it is the responsibility of each person holding or controlling the reportable position to fulfill its obligations.If one of the above parties has submitted the notice of the reportable position to the Exchange, the SFC accepts that the other party will not be required to notify the Exchange of the same reportable position.
（2）If a person holds or controls positions in accounts at more than one firm, the person should have the obligation to aggregate positions for purposes of applying the prescribed limits and reporting requirements.
（3）In the event that a person holds or controls a reportable position in accounts at more than one agent, the person should have the sole responsibility to notify the Exchange of the reportable position. If the person decides to submit the notice of the reportable position to the Exchange through the agents, it should provide to one agent with its total positions held at other agents so that the agent can submit the notice of the reportable position to the Exchange on its behalf. |
申報時間 Deadline for reports submission | （1） 須在有關人士開始持有或控制該須申報的持倉量的日期後的一個營業日（就假期合約而言，則為下一個假期合約交易日）內提交；
（2） 如該人繼續持有或控制該須申報的持倉量，則須在如此持有或控制該持倉量的每一日後的一個營業日（就假期合約而言，則為下一個假期合約交易日）內提交。
注意：
一旦任何人持有或控制須申報的持倉量，即使其持倉量維持不變，該人仍須於每個申報日向交易所（視乎情況而定）呈交關於該持倉量的通知。 | （1） the day on which the person first holds or controls the reportable positions; and
（2） each succeeding day on which the person continues to hold or control the reportable positions.
Notes：
Once a person has held or controlled a reportable position, it will be required to file the notice of the reportable position to the exchange/regulator（as the case may be） on each reporting day even though his position remains unchanged. |
需申報持倉水平 Reportable thresholds | 具體標准參見 Cap571Y 《證券及期貨（合約限量及須申報的持倉量）規則》 附表1 期貨合約的訂明上限及須申報水平。
及查閱HKEX官方網站《大額未平倉合約及持倉限額》： https://www.hkex.com.hk/Services/Trading/Derivatives/Overview/Trading-Mechanism/Large-Open-Positions-and-Position-Limits?sc_lang=zh-HK#template | Reporting levels for futures contracts and stock options contracts are specified in Schedule 1 and Schedule 2 of the Securities and Futures （Contracts Limits and Reportable Positions） Rules respectively。
Or check by visiting the HKEX official Website： https://www.hkex.com.hk/Services/Trading/Derivatives/Overview/Trading-Mechanism/Large-Open-Positions-and-Position-Limits?sc_lang=zh-HK#template |
需報告資料 Information required | （1）有關的人在每一個有關合約期或期權系列持有或控制並組成須申報的持倉量的期貨合約或股票期權合約的數目；
（2）如須申報的持倉量包含由該人為任何其他人持有或控制的持倉量 （i）每名其他人的身分； （ii）在每一個有關合約期或期權系列該人為自己及為每個其他人持有或控制並組成須申報的持倉量的期貨合約或股票期權合約的數目。 （3）如須申報的持倉量是為一只或多於一只基金或一只或多於一只傘子基金的子基金持有或控制，需報告每只基金及子基金的名稱，及在每一個有關合約期或期權系列為他自己及每只基金及子基金持有或控制並組成須申報的持倉量的期貨合約或股票期權合約的數目。
期交所和聯交所亦要求交易所參與者及作出申報的人士提供額外的資料：
（i）須申報的持倉量的有關賬戶號碼、賬戶名稱和交易發起人（最終負責代表其他人發出交易指示的人士）的身分；
（ii）須申報的持倉量的性質（即關乎對沖、套戥或投資目的）；
（iii）賬戶類別（即屬於公司賬戶、客戶賬戶或莊家賬戶）
（請參閱交易所訂明的有關持倉量申報程序的詳情。） | （1） the number of futures contracts or stock options contracts held or controlled by the person which comprise the reportable position in each relevant contract period （including but not limited to contract month or contract week） or option series; and （2） where the reportable position is held or controlled for one or more persons（e.g. a client or clients）, 1）the identity of each other person，and 2）the number of futures contracts or stock options contracts held or controlled for his own account （if applicable） and for each other person which comprise the reportable position in each relevant contract period （including but not limited to contract month or contract week） or option series. （3） where the reportable position is held or controlled for one or more funds or sub-funds of one or more umbrella funds, the name of each fund and sub-fund （if applicable） and the number of futures contracts or stock options contracts held or controlled for his own account （if applicable） and for each fund and sub-fund （if applicable） which comprise the reportable position in each relevant contract period （including but not limited to contract month or contract week） or option series.
The HKFE and SEHK also request Exchange Participants and the person reporting to provide additional information other than those specified above such as
（i） the account number, account name and identity of the transaction originator（who is ultimately responsible for originating instructions for transactions on behalf of the other person） of a reportable position;
（ii） the nature of a reportable position （i.e. for hedging, arbitrage or trading purposes）; and
（iii） the account type （i.e. house account, client account or market maker account）.
（Please refer to the relevant position reporting procedures prescribed by the HKFE or SEHK for details.） |
合計倉位的規定 Aggregation requirements | 訂明上限適用於任何人持有或控制的所有持倉量，包括由該人為他自己持有的，及為其他人持有並受該人控制的持倉量（例如該人獲准行使酌情決定權以自行買賣或處置有關的持倉量，而無需依賴該持倉量的擁有人的日常指示）。
| The prescribed limits apply to all positions held or controlled by any person including positions held by the person for his own account and positions belonging to other persons but under the control of such person （where such person is allowed to exercise discretion to trade or dispose of the positions independently without the day-to-day direction of the owner of the positions）. |
