證監會

執法

《證券及期貨條例》賦權證監會檢控違規者及採取紀律處分,以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、調查及紀律處分外,我們亦會對包括投資者在內的其他市場參與者採取執法行動。我們可透過市場失當行為審裁處及法院打擊市場失當行為,如有需要,亦會與本地及海外的執法機構合作進行各類調查。

本欄載有以下資料:

執法理念

說明本會為何採取執法行動,闡述執法原則。

紀律處分程序概覽

這文件以十頁的篇幅介紹證監會的紀律處分權力、調查程序、和解措施及其他相關事宜。

執法行動

  1. 執法消息──有關執法行動的新聞稿
  2. 《執法通訊》──本會出版的刊物,報道主要的執法行動
  3. 個別事宜

聆訊日期表

列出本會的刑事檢控及民事申請個案的公開聆訊日期,以及證券及期貨上訴審裁處的公開聆訊日期,內容每周更新。

你認識這些人士嗎?

列出以下兩類人士的名單:法院下令逮捕的人士;掌握了重要資料,相信能協助本會進行調查的人士。

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