证监会

监管方针

由于我们所规管的市场渐复杂和全球化,联系日益紧密,因此本会已改变监管方针,确保我们的工作具备成效。


前置式

本会的前置式监管方针强调及早采取具针对性及有系统的介入行动,以解决持续存在的问题和防止新的威胁对市场带来影响。本会将优先处理较严重的风险,以免损害投资者和破坏市场廉洁稳健。

全方位

我们所面对的挑战与本会的所有监管职能息息相关。我们采取全方位的策略,结合和运用所有监管措施以达致法定目标。我们在"一个证监会"的原则下汇聚各方专才,确保我们的监管行动已作出协调,且具针对性及富有成效。

以风险为本及全面性

本会在进行监察工作时,除了着重持牌人的胜任能力外,亦会持续进行主题检视,以便研究在对中介人进行例行视察时所发现的重点事项。我们对严重威胁投资者及市场的主要风险和个案,优先进行执法调查。此外,对于系统性问题,例如同一企业集团出现多项缺失,我们会采取全面的执法方针来处理。

合作

随着金融市场的联系日深,我们与本地、内地和海外监管同业及执法机关在监察、执法及市场发展措施方面,建立更紧密的合作关系。特别是,由于香港与内地市场的联系更为密切,双向资金流动不断增加,故两地监管机构之间的合作至关重要。

创新

创新和科技发展令金融市场彻底改变。本会对有助提升市场效率和投资者体验的创新活动,采取方便业界的规管方式。我们的目标是要确保在市场引入新科技的同时,本会的监管仍然有效,并能妥善管理对投资者或金融稳定性构成风险的任何事宜。对内方面,我们采用更先进的数据分析等新科技,以进行监管工作。


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