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.