证监会

执法

《证券及期货条例》赋权证监会检控违规者及采取纪律处分,以打击证券及期货市场的失当行为及罪行。除了对上市公司及持牌人作出监察、调查及纪律处分外,我们亦会对包括投资者在内的其他市场参与者采取执法行动。我们可透过市场失当行为审裁处及法院打击市场失当行为,如有需要,亦会与本地及海外的执法机构合作进行各类调查。

本栏载有以下资料:

执法理念

说明本会为何采取执法行动,阐述执法原则。

纪律处分程序概览

这文件以十页的篇幅介绍证监会的纪律处分权力、调查程序、和解措施及其他相关事宜。

执法行动

  1. 执法消息──有关执法行动的新闻稿
  2. 《执法通讯》──本会出版的刊物,报道主要的执法行动
  3. 个别事宜

聆讯日期表

列出本会的刑事检控及民事申请个案的公开聆讯日期,以及证券及期货上诉审裁处的公开聆讯日期,内容每周更新。

你认识这些人士吗?

列出以下两类人士的名单:法院下令逮捕的人士;掌握了重要资料,相信能协助本会进行调查的人士。

免责声明 Disclaimer statement

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