證監會

監管職能

監管工作涉及廣泛的層面,需要不同範疇的專才分工合作。機械齒輪相互緊扣推動機器運作,同樣地,我們以專業的團隊精神履行以下的監管職能,以應付日趨複雜的證券及期貨市場:

監管架構

我們釐定及執行適當的資格準則,確保所有獲發牌的公司和人士都適合進行受規管活動,並會持續監察所有持牌公司及人士,以確定他們財政狀況穩健及守法循規。另外又對持牌人進行非現場監察及實地視察,並對涉嫌行為失當的持牌人作出調查。為協助持牌人了解最新的監管準則,我們持續向業界提供指引。

詳情請按此瀏覽

《證券及期貨條例》賦權證監會打擊證券及期貨市場的失當行為及罪行。除了對上市公司及持牌人作出監察、調查及紀律處分,我們亦對其他違規的市場參與者採取執法行動。如有需要,我們會與本地及海外的執法機構合作進行各類調查。

詳情請按此瀏覽

我們監察交易所、結算所及另類交易平台等市場營運機構的表現。為優化香港市場的運作,以及確保業界能與國際發展趨勢同步並進,我們不時引進新規則,並在有需要時修訂現行法規。

詳情請按此瀏覽

我們監察香港聯合交易所有限公司(聯交所)執行上市規則及其他方面的表現。在雙重存檔制度下,我們與聯交所一起審批上市申請,並致力確保上市公司適時披露重要消息。如有公眾公司計劃進行收購、合併或私有化活動,我們致力確保投資者得到公平的對待。

詳情請按此瀏覽

我們不會預先判斷個別產品是否適合投資者,亦不會評定產品的優劣,但我們規定,所有零售投資產品均須在銷售文件及推廣材料刊載充分而準確的資料,讓投資者作出有根據的決定。此外,投資產品必須符合本會的產品守則內所有適用的的結構規定及發行商資格規定。

詳情請按此瀏覽

免责声明 Disclaimer statement

香港证券及期货事务监察委员会(简称证监会)于本网站免费提供一套繁简字体转换软件(该软件)。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任,亦不会就其品质及性能作出任何担保;尤其是在无损前述的一般性的原则下,证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。

证监会明确陈述,本会并无核准或认可本网站内容的简体中文版,以及对于本网站内容的简体中文版不承担任何责任或法律责任(不论是何种及如何引致的责任或法律责任)。证监会同时明确陈述,本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的,当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性,证监会不承担任何责任或法律责任。在任何情况下,使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容,并且应该在依赖本网站内容的简体中文版或根据其内容行事之前,就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。

如果你将证监会网站的简体中文版的内容或网址传送予第三者,你承诺会将本免责声明同时传送予该第三者,并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。

The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.

3.4770 s