證監會

《證券及期貨條例》第115條所指的"積極推廣"

問1:

《證券及期貨條例》第115條所指的“積極推廣”是甚麼意思?

答:

這可以包括多種情況,例如:指經常聯絡香港投資者及推廣其服務(包括銷售產品)的人士、進行以香港公眾投資者為對象的大眾傳媒計劃,及進行以香港投資者為對象的互聯網活動。

一般來說,任何人除非已在證監會註冊或獲發牌照,否則無論在香港境內或境外,均不得向香港公眾積極推廣任何如在香港提供,即會構成受規管活動的服務。在決定某人是否向公眾“積極推廣”其服務時,證監會將考慮到有關業務活動的整體性質,以及會顧及若干因素,當中包括(但不限於)以下各項:

  • 有關服務是否訂有詳細的推廣計劃;
  • 有關服務是否透過推廣途徑,例如直接郵遞、在本地報章刊登廣告、廣播或其他網上“推銷”科技,以進行廣泛的宣傳(相對於以被動方式,例如以“自行選擇”的形式取得有關服務);
  • 相關的推廣是否以有計劃的方式推行,以及是否根據計劃或程序進行,從而顯示出該項為持續服務而非單一推廣行動;
  • 有關服務在包裝上是否以香港公眾為對象,例如以中文書寫及以港元計值;及
  • 有關服務是否顧客主動尋求的。

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