证监会

监管理念

本会奉行以下原则以履行职责:

坚定公正

我们致力以坚决果断、公平公正、具透明度及负责任的方式实施监管。除了坚定和果断地对失当行为采取执法行动外,我们亦以更主动的方式监督上市公司的操守和活动,以保障投资者、促进市场发展,让香港市场继续繁荣兴旺。

严控风险

我们会评定风险较高的范畴,然后针对这些范畴加强监管工作,同时亦鼓励从业员培养守法循规的文化。鉴于市场情况和作业方式瞬息万变,我们采取以原则为本的方针,订立高层次的要求,再以详细的守则、指引及规则加以说明。

伙伴关系

我们与监管对象建立稳固的合作伙伴关系,从而保障投资者及促进市场发展。透过与其他监管机构、中介人及投资者建立伙伴关系、衷诚合作,我们致力确保市场继续稳健及蓬勃地发展。

落实监管理念

我们的行动反映了背后的监管理念:

  • 坚定不移 - 如有任何人士损害投资者的利益或破坏市场的廉洁稳健,我们会坚决采取适当的行动,不受当事人的个人情况或社会地位所影响。
  • 公平公正 - 以公正的程序制订每项决策,恪守“自然公正”(natural justice)的法律原则,力求一视同仁。 
  • 贯彻一致 - 采取贯彻一致的决策和行动,同时亦会考虑每宗个案的具体情况。 
  • 开明协商 - 我们相信开放的沟通和协商有助提升监管效率和成效。

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。

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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.

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