执法

执法

《证券及期货条例》赋权证监会采取纪律处分及检控违规者,以打击证券及期货市场的罪行及失当行为。我们对违规者采取坚决果断的纪律行动,致力推动市场的公平运作及保障广大投资者。除了对上市公司及持牌人作出监督、视察及纪律处分外,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。如有需要,我们会与本地及海外的执法机构合作进行各类调查。

除了透过刑事检控、市场失当行为审裁处的法律程序以及原讼法庭的民事法律程序外,我们亦会对中介人采取纪律行动,藉以达到以下效果:

  • 惩罚 – 就失当行为公正地惩处违规者。
  • 阻吓 – 防止违规者再犯,并警告其他市场参与者切勿作出类似的失当行为。
  • 纠正 – 确保违规者及其同谋须就不法行为所引致的后果作出补救。

本栏载有以下资料:

纪律处分程序概览

介绍证监会的纪律处分权力,并讲解调查及纪律处分程序

执法行动

  • 执法消息及统计数据
  • 目前生效的冷淡对待令及取消资格令

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?

法院下令逮捕的人士,或本会相信掌握了与我们当前的调查工作有关的重要资料的人士


 

最后更新日期: 2020年3月6日

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