證監會

受規管活動

下列為《證券及期貨條例》所界定的受規管活動:

牌照 受規管活動 例子
第1類 證券交易
  • 為客戶提供股票及股票期權的買賣/經紀服務
  • 為客戶買賣債券
  • 為客戶買入/沽出互惠基金及單位信託基金
  • 配售及包銷證券
第2類 期貨合約交易
  • 為客戶提供指數或商品期貨的買賣/經紀服務
  • 為客戶買入/沽出期貨合約
第3類 槓桿式外匯交易
  • 以孖展形式為客戶進行外匯交易買賣
第4類 就證券提供意見
  • 向客戶提供有關沽出/買入證券的投資意見
  • 發出有關證券的研究報告/分析
第5類 就期貨合約提供意見
  • 向客戶提供有關沽出/買入期貨合約的投資意見
  • 發出有關期貨合約的研究報告/分析
第6類 就機構融資提供意見
  • 為上市申請人擔任首次公開招股的保薦人
  • 就《公司收購、合併及股份購回守則》提供意見
  • 就《上市規則》的合規事宜為上市公司提供意見
第7類 提供自動化交易服務
  • 操作配對客戶買賣盤的電子交易平台
第8類 提供證券保證金融資
  • 為買入股票的客戶提供融資並以客戶的股票作為抵押品
第9類 提供資產管理
  • 以全權委託形式為客戶管理證券或期貨合約投資組合
  • 以全權委託形式管理基金
第10類 提供信貸評級服務
  • 就公司、債券及主權國的信用可靠性擬備報告

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