证监会

监管措施

我们采取不同类型的措施以履行监管职责,当中包括具评估、监察、预防、制裁或补救性质的监管措施。

    • 辨识及评估风险

      例子:发牌科采取若干措施来评定哪些牌照申请人或会为投资者带来不能接受的风险;中介机构监察科要求持牌公司每月提交财政资源申报表,并按一套指标来评估持牌公司的财务风险。
       
    • 监察或追踪已确定的风险

      例子:中介机构监察科进行非现场监察及现场视察,以确定中介人是否有失当行为。法规执行部每天监察证券及期货市场的交易活动,以搜集有关市场失当行为的证据。

    • 防范或限制风险

      例子:投资者教育中心1经常推行教育活动,让投资者更加了解本身的权益及认识保障自己的措施。

    • 打击失当行为及处理投资损失的制裁或补救措施 

      例子:如证实中介人作出失当行为,我们可能会实施纪律制裁。另外,若有投资者因中介机构倒闭而蒙受损失,投资者赔偿计划可发挥补救作用。

1 2012年11月开始运作的投资者教育中心属教育机构,主要职责是加强公众对零售金融产品及服务的认识,当中涵盖证券、银行及其他金融产品。该中心于2016年4月推出一个全新的金融理财教育平台「钱家有道」,免费提供相关的资讯、教育资源及计划。欲了解更多,请登入www.thechinfamily.hk

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.

3.8571 s