證監會

監管方針

證監會對中介人採取成效為本的監管方針,重點監察其業務操守及財政穩健程度。具體而言,我們致力:

    • 確保投資者獲得適當程度的保障,而不致窒礙市場發展;
    • 建立並維持與國際標準相符的完善規管制度,並確保準則的制訂過程公開透明,以助制訂平衡的規管準則;及
    • 落實與風險水平相稱及以風險為本的監管,從而對風險較高或影響力較大的持牌法團施以較大的監管力度,並著重處理一些可能對投資者及整體市場造成重大影響的事宜。

證監會的規管方針建基於以下原則:中介人對其業務活動負有主要責任,而中介人的高級管理層有責任妥善管理公司的業務活動和當中涉及的風險。

如欲深入了解本會的角色、監管方針和理念,請參閱《中介人規管架構》,以及詳述監管工作細節的《對中介人的監管方針》。

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