证监会

《证券及期货条例》第115条所指的"积极推广"

问1:

《证券及期货条例》第115条所指的“积极推广”是什么意思?

答:

这可以包括多种情况,例如:指经常联络香港投资者及推广其服务(包括销售产品)的人士、进行以香港公众投资者为对象的大众传媒计划,及进行以香港投资者为对象的互联网活动。

一般来说,任何人除非已在证监会注册或获发牌照,否则无论在香港境内或境外,均不得向香港公众积极推广任何如在香港提供,即会构成受规管活动的服务。在决定某人是否向公众“积极推广”其服务时,证监会将考虑到有关业务活动的整体性质,以及会顾及若干因素,当中包括(但不限于)以下各项:

  • 有关服务是否订有详细的推广计划;
  • 有关服务是否透过推广途径,例如直接邮递、在本地报章刊登广告、广播或其他网上“推销”科技,以进行广泛的宣传(相对于以被动方式,例如以“自行选择”的形式取得有关服务);
  • 相关的推广是否以有计划的方式推行,以及是否根据计划或程序进行,从而显示出该项为持续服务而非单一推广行动;
  • 有关服务在包装上是否以香港公众为对象,例如以中文书写及以港元计值;及
  • 有关服务是否顾客主动寻求的。

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.

3.7737 s