證監會

中介人

為確保香港的證券及期貨業秉持最高標準,我們規定只有符合相關資格準則的人士及公司,方可晉身業界,而且他們必須遵守《證券及期貨條例》及為規管中介人而制訂的相關附屬規定。本會的使命是促進香港證券及期貨市場的廉潔穩健,因此肩負發牌及監察中介人職能的中介機構部在當中扮演著重要角色。

中介機構部由發牌科及中介機構監察科組成,並因應市場的主要界別劃分成多個專責團隊。此架構模式一方面有助我們對背景相近的持牌人積極主動地進行監察和監管,另一方面可讓具相關專門知識的團隊專注處理前瞻性風險和關乎特定主題的問題。我們採取的監管方針亦兼顧到本港市場的發展趨勢,包括與中國內地的金融聯繫日益緊密和與世界各地的互動交流日增。此外,我們亦與香港、內地及其他海外監管機構緊密合作。詳情請參閱《對中介人的監管方針》

如要查閱更多有關中介人的發牌及監管事宜,請點擊以下連結:

› 發牌事宜

› 監管事宜

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