證監會

監管措施

我們採取不同類型的措施以履行監管職責,當中包括具評估、監察、預防、制裁或補救性質的監管措施。

    • 辨識及評估風險

      例子:發牌科採取若干措施來評定哪些牌照申請人或會為投資者帶來不能接受的風險;中介機構監察科要求持牌公司每月提交財政資源申報表,並按一套指標來評估持牌公司的財務風險。
       
    • 監察或追蹤已確定的風險

      例子:中介機構監察科進行非現場監察及現場視察,以確定中介人是否有失當行為。法規執行部每天監察證券及期貨市場的交易活動,以搜集有關市場失當行為的證據。

    • 防範或限制風險

      例子:投資者教育中心1經常推行教育活動,讓投資者更加了解本身的權益及認識保障自己的措施。

    • 打擊失當行為及處理投資損失的制裁或補救措施 

      例子:如證實中介人作出失當行為,我們可能會實施紀律制裁。另外,若有投資者因中介機構倒閉而蒙受損失,投資者賠償計劃可發揮補救作用。

1 2012年11月開始運作的投資者教育中心屬教育機構,主要職責是加強公眾對零售金融產品及服務的認識,當中涵蓋證券、銀行及其他金融產品。該中心於2016年4月推出一個全新的金融理財教育平台「錢家有道」,免費提供相關的資訊、教育資源及計劃。欲了解更多,請登入www.thechinfamily.hk

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