中證網訊（記者 黃靈(ling)靈(ling)）12月17日，深交所表示，為(wei)進一(yi)步優化互聯互通機制，規范深股(gu)通股(gu)票交易行(xing)為(wei)，擬(ni)對《深港通業(ye)務實(shi)施(shi)辦(ban)法》進行(xing)修改，向社會公(gong)開(kai)征求意見。

　　修訂(ding)內(nei)容包(bao)括(kuo)：一是補充規(gui)定深(shen)股通投(tou)資(zi)(zi)者(zhe)(zhe)不包(bao)括(kuo)內(nei)地投(tou)資(zi)(zi)者(zhe)(zhe)。新增1條(tiao)作為第(di)三十二條(tiao)，明確規(gui)定“深(shen)股通投(tou)資(zi)(zi)者(zhe)(zhe)不包(bao)括(kuo)內(nei)地投(tou)資(zi)(zi)者(zhe)(zhe)。聯(lian)交(jiao)所(suo)證券交(jiao)易服務公司應當(dang)采取(qu)適(shi)當(dang)方(fang)式(shi)，要求聯(lian)交(jiao)所(suo)參與者(zhe)(zhe)遵守前(qian)款規(gui)定，并要求聯(lian)交(jiao)所(suo)參與者(zhe)(zhe)敦促(cu) 其客戶遵守前(qian)款規(gui)定”。后續條(tiao)文(wen)順序(xu)作相(xiang)應調整，內(nei)容不變。

　　二是明(ming)(ming)確內(nei)地(di)(di)投(tou)(tou)資者(zhe)的(de)(de)(de)范(fan)圍和界定(ding)標準(zhun)。首(shou)先，明(ming)(ming)確“內(nei)地(di)(di)投(tou)(tou)資者(zhe)指持有中(zhong)(zhong)國(guo)內(nei)地(di)(di)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)的(de)(de)(de)中(zhong)(zhong)國(guo)公(gong)民(min)和在中(zhong)(zhong)國(guo)內(nei)地(di)(di)注冊的(de)(de)(de)法(fa)人(ren)(ren)及非(fei)法(fa)人(ren)(ren)組(zu)織，不(bu)包括取得境(jing)外(wai)永(yong)久(jiu)居留(liu)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)的(de)(de)(de)中(zhong)(zhong)國(guo)公(gong)民(min)。內(nei)地(di)(di)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)包括境(jing)內(nei)居民(min)戶口(kou)簿、居民(min)身(shen)份證(zheng)(zheng)(zheng)(zheng)、中(zhong)(zhong)華人(ren)(ren)民(min)共(gong)和國(guo)護(hu)照、往來港澳通(tong)(tong)行證(zheng)(zheng)(zheng)(zheng)。境(jing)外(wai)永(yong)久(jiu)居留(liu)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)包括但不(bu)限于境(jing)外(wai)國(guo)家和地(di)(di)區頒發的(de)(de)(de)永(yong)久(jiu)居民(min)卡、永(yong)久(jiu)居民(min)簽(qian)證(zheng)(zheng)(zheng)(zheng)等(deng)。”其(qi)次，規定(ding)內(nei)地(di)(di)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)不(bu)包括前往港澳通(tong)(tong)行證(zheng)(zheng)(zheng)(zheng)。內(nei)地(di)(di)注冊法(fa)人(ren)(ren)和非(fei)法(fa)人(ren)(ren)組(zu)織在境(jing)外(wai)設立的(de)(de)(de)分支機構(gou)或子(zi)公(gong)司可使(shi)用在境(jing)外(wai)取得的(de)(de)(de)身(shen)份證(zheng)(zheng)(zheng)(zheng)明(ming)(ming)文(wen)(wen)件(jian)(如(ru)商業登(deng)記證(zheng)(zheng)(zheng)(zheng)等(deng))開通(tong)(tong)深股通(tong)(tong)交易權(quan)限。另外(wai)，明(ming)(ming)確如(ru)聯(lian)名賬戶的(de)(de)(de)投(tou)(tou)資者(zhe)中(zhong)(zhong)有任(ren)一方屬內(nei)地(di)(di)投(tou)(tou)資者(zhe)，該聯(lian)名賬戶按(an)內(nei)地(di)(di)投(tou)(tou)資者(zhe)賬戶規范(fan)。

　　對于過渡(du)安排，深交(jiao)所(suo)表示，《實施辦法(fa)》自(zi)施行之日起，聯交(jiao)所(suo)參與者不得(de)再為(wei)內地投資者新開通深股(gu)通交(jiao)易權(quan)限。

　　對《實施辦法》施行前(qian)已開通(tong)(tong)(tong)(tong)(tong)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)權限的(de)(de)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)，設置一年過(guo)渡期(qi)。過(guo)渡期(qi)內，存量(liang)(liang)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)可(ke)繼續(xu)通(tong)(tong)(tong)(tong)(tong)過(guo)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)買(mai)賣深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)股(gu)(gu)(gu)(gu)(gu)票。過(guo)渡期(qi)結束后，存量(liang)(liang)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)不得再(zai)通(tong)(tong)(tong)(tong)(tong)過(guo)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)主動買(mai)入深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)股(gu)(gu)(gu)(gu)(gu)票，因公司行為(wei)(如以(yi)股(gu)(gu)(gu)(gu)(gu)票形式分(fen)派股(gu)(gu)(gu)(gu)(gu)息(xi)、配股(gu)(gu)(gu)(gu)(gu)等)等被動取得深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)股(gu)(gu)(gu)(gu)(gu)票情形除外，所持(chi)有深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)股(gu)(gu)(gu)(gu)(gu)票可(ke)繼續(xu)賣出;無(wu)持(chi)股(gu)(gu)(gu)(gu)(gu)存量(liang)(liang)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)交(jiao)(jiao)(jiao)(jiao)易(yi)權限應當由聯交(jiao)(jiao)(jiao)(jiao)所參(can)與(yu)者(zhe)(zhe)(zhe)注(zhu)銷。另外，如聯交(jiao)(jiao)(jiao)(jiao)所參(can)與(yu)者(zhe)(zhe)(zhe)倒閉或不能(neng)提供深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)交(jiao)(jiao)(jiao)(jiao)易(yi)服務，導(dao)致存量(liang)(liang)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)無(wu)法參(can)與(yu)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)交(jiao)(jiao)(jiao)(jiao)易(yi)，在符合上(shang)述規定的(de)(de)前(qian)提下，此類存量(liang)(liang)內地(di)投(tou)(tou)資(zi)者(zhe)(zhe)(zhe)可(ke)轉至其(qi)他聯交(jiao)(jiao)(jiao)(jiao)所參(can)與(yu)者(zhe)(zhe)(zhe)開通(tong)(tong)(tong)(tong)(tong)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)交(jiao)(jiao)(jiao)(jiao)易(yi)權限，繼續(xu)參(can)與(yu)深(shen)(shen)(shen)(shen)股(gu)(gu)(gu)(gu)(gu)通(tong)(tong)(tong)(tong)(tong)交(jiao)(jiao)(jiao)(jiao)易(yi)。