作者milktea1 (Mike)
看板Foreign_Inv
标题[请益] 美券商海外分公司客户,SIPC不保障之法源
时间Sat Jan 20 14:53:31 2024
最近在做相关研究,以了解SIPC的保障范围,是否有包含券商外国客户.
目前查到以下法源:
https://www.govinfo.gov/content/pkg/COMPS-1886/uslm/COMPS-1886.xml
搜寻关键字:Excluded persons
(C) Excluded persons.—The term “customer” does not include any person, to
the extent that—
(i) the claim of such person arises out of transactions with a foreign
subsidiary of a member of SIPC; or
(ii) such person has a claim for cash or securities which by contract,
agreement, or understanding, or by operation of law, is part of the capital
of the debtor, or is subordinated to the claims of any or all creditors of
the debtor, notwithstanding that some ground exists for declaring such
contract, agreement, or understanding void or voidable in a suit between the
claimant and the debtor.
---
请问红色部分该翻译为:
1.该人的求偿部位,是因透过 SIPC 成员的外国子公司进行交易而产生
or
2.该人的求偿部位,是因与 SIPC 成员的外国子公司进行交易而产生
---
还请熟悉美国法律英文的网友指教,感谢~~
--
※ 发信站: 批踢踢实业坊(ptt.cc), 来自: 114.24.88.109 (台湾)
※ 文章网址: https://webptt.com/cn.aspx?n=bbs/Foreign_Inv/M.1705733613.A.B40.html
1F：→ maplefff: 就美国券商在国外透过子公司实体进行海外业务 01/20 16:19
2F：→ maplefff: 跟母公司没关系的意思啊 01/20 16:19
3F：→ maplefff: 子公司不是SIPC成员，没资格求偿 01/20 16:20
4F：→ peter98: 去爬文...去年3-5月才大战过一次... 01/20 20:38