證監會

法規執行部

法規執行部負責採取有效的監察及執法行動,以遏止市場的非法或失當行為,從而維持香港市場的廉潔穩健。

主要職責:

  • 依據《證券及期貨條例》執法
  • 對不誠實或違反規則的受規管中介人採取紀律處分
  • 監察香港的證券及衍生工具市場的交易活動,以及調查違規或失當行為
  • 查閱涉及失當行為的上市公司的簿冊和紀錄
  • 向財政司司長報告市場上涉嫌失當的行為
  • 與本地及海外監管機構合作進行本地及海外的調查工作

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