證監會

監管理念

本會奉行以下原則以履行職責:

堅定公正

我們致力以堅決果斷、公平公正、具透明度及負責任的方式實施監管。除了堅定和果斷地對失當行為採取執法行動外,我們亦以更主動的方式監督上市公司的操守和活動,以保障投資者、促進市場發展,讓香港市場繼續繁榮興旺。

嚴控風險

我們會評定風險較高的範疇,然後針對這些範疇加強監管工作,同時亦鼓勵從業員培養守法循規的文化。鑑於市場情況和作業方式瞬息萬變,我們採取以原則為本的方針,訂立高層次的要求,再以詳細的守則、指引及規則加以說明。

夥伴關係

我們與監管對象建立穩固的合作夥伴關係,從而保障投資者及促進市場發展。透過與其他監管機構、中介人及投資者建立夥伴關係、衷誠合作,我們致力確保市場繼續穩健及蓬勃地發展。

落實監管理念

我們的行動反映了背後的監管理念:

  • 堅定不移 - 如有任何人士損害投資者的利益或破壞市場的廉潔穩健,我們會堅決採取適當的行動,不受當事人的個人情況或社會地位所影響。
  • 公平公正 - 以公正的程序制訂每項決策,恪守“自然公正”(natural justice)的法律原則,力求一視同仁。 
  • 貫徹一致 - 採取貫徹一致的決策和行動,同時亦會考慮每宗個案的具體情況。 
  • 開明協商 - 我們相信開放的溝通和協商有助提升監管效率和成效。

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