证监会

监管行动

我们对持牌法团采取各式各样的监管措施,包括现场审查及非现场监察,监管重点为持牌法团的财务风险及业务操守。

现场审查

现场审查是本会监管持牌法团的主要措施之一,有助我们从宏观的角度了解公司的业务运作、风险管理和内部监控,以及评估该公司在遵守相关法例和规管规定方面的表现。现场审查分为四类,分别是例行视察、特别视察、主题视察及审慎查访。

非现场监察

 非现场监察的工作主要包括与持牌法团保持持续沟通,以了解其业务和风险,以及定期进行敏感度或压力测试,并对财务及非财务情报作出详尽的分析。我们亦会跟进外界对持牌法团的投诉及持牌法团自行呈报的违规事项,以及考虑持牌法团提出的后偿贷款申请和规则修改或宽免申请。

不遵守法例及规例

若发现持牌法团不遵守适用法例及规例、存在监控缺失或没有妥善管理财务风险,我们会将该等发现及/或关注事项通知该持牌法团,并要求该持牌法团采取迅速和有效的补救行动。

若发现重大的违规情况,本会可作出进一步查讯或调查,并在适当情况下采取纪律行动,包括谴责、撤销或暂时吊销牌照及罚款。

若发现某公司的内部监控差劣,及存在客户资产有可能被挪用的风险,我们可要求该公司外聘顾问,以审查该公司的内部监控或对客户的帐户结余及持仓进行资料确认程序,本会亦可能会施加适当的发牌条件。如有关情况对投资者的权益构成迫切风险,我们会迅速采取行动以保存客户资产,以及尽量控制可能引致的损害。有关行动包括发出通知以限制该公司经营业务或处理财产的方式1

与业界沟通

 

若本会认为应将监管过程中所发现的事宜告知业界,本会可发出报告、通函或编制常见问题以提醒业界注意某些法律或规管规定,及/或更有效地传达业界应符合的标准。

 有关报告年度内所进行的监管工作的详情,可参阅本会年报。

1 《证券及期货条例》第204至210条赋权证监会就任何持牌法团施加禁止或要求,以限制该公司经营业务或处理财产的方式。

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