證監會

中介機構

 哪些公司或人士要向證券及期貨事務監察委員會(證監會)領牌或註冊? 

任何公司或人士如在香港的證券、期貨和非銀行零售槓桿式外匯市場從事交易業務或就上述產品向投資者提供意見,均須向本會領牌或註册。持牌人士、公司及註冊機構須遵守本港法例及證監會規則。受規管活動載於《證券及期貨條例》附表5。詳情請瀏覽本會網站的“受規管活動”一欄。

 我如何可得知經紀行或客戶主任是否持有牌照? 

如要核實在香港從事規管證券、期貨或槓桿式外匯活動的經紀行或客戶主任的註冊或持牌狀況,請查看本會的《持牌人及註冊機構的公眾紀錄册》。紀錄冊載有證監會持牌人及持牌公司的詳情,包括牌照紀錄和公開紀律處分行動。

如要了解關於經紀行及客戶主任的監管,請參閱錢家有道網站的“選擇經紀行”部分。

 我的經紀行是否有責任通知我要符合保證金要求? 

你的經紀行未必會向你發出追繳保證金通知,或通知你戶口內持有的證券價值已跌至低於特定的借貸比例。因此,你的經紀行或會在沒有諮詢你的情況下,出售你部分或全部證券。關於追收保證金的詳情,請參閱錢家有道網站的“孖展交易”部分。

 財經分析員、評論員及專欄作家需要獲證監會發牌嗎? 

任何人士透過下列途徑就證券或期貨合約提供意見,或發出相關的分析或報道,便無須遵守證監會的發牌規定:

  • 普遍地提供予公眾閱覽的報章、雜誌、書籍或其他刊物;或
  • 電視廣播或電台廣播(不論是否需付收看費)。

詳情請參閱《發牌手册》第1.3.17部。

 黃金或本地倫敦金買賣是否由證監會監管? 

不是。證監會主要負責監管香港的證券、期貨及非銀行零售槓桿式外匯市場。現貨貴金屬買賣並不受證監會監管。

免责声明 Disclaimer statement

香港证券及期货事务监察委员会(简称证监会)于本网站免费提供一套繁简字体转换软件(该软件)。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任,亦不会就其品质及性能作出任何担保;尤其是在无损前述的一般性的原则下,证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。

证监会明确陈述,本会并无核准或认可本网站内容的简体中文版,以及对于本网站内容的简体中文版不承担任何责任或法律责任(不论是何种及如何引致的责任或法律责任)。证监会同时明确陈述,本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的,当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性,证监会不承担任何责任或法律责任。在任何情况下,使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容,并且应该在依赖本网站内容的简体中文版或根据其内容行事之前,就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。

如果你将证监会网站的简体中文版的内容或网址传送予第三者,你承诺会将本免责声明同时传送予该第三者,并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。

The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.

4.0037 s