证监会

证监会监管沙盒

下列通函与在香港进行受规管活动的金融科技业务相关。

关于公布证监会监管沙盒的通函(2017年9月29日)

厘清《胜任能力的指引》内适用于负责人员的"相关行业经验"规定的通函(2017年9月29日)

证监会监管沙盒(简称沙盒)设立的目的,是为合资格企业1在将金融科技全面应用于其业务之前,提供一个受限制的监管环境,进行《证券及期货条例》下的受规管活动。沙盒让合资格企业在发牌制度下,透过与证监会进行紧密的沟通并受到严谨的监督,能够有效率地识别及处理与其受规管活动相关的风险及关注事项。

资格要求

持牌法团及拟进行《证券及期货条例》下受规管活动的初创企业均可进入沙盒。合资格企业必须是获发牌的适当人选,使用创新科技,及真诚和认真致力于利用金融科技来进行受规管活动。该等企业的成立或活动亦应为投资者带来更多及更优质的产品和服务,以及令香港的金融服务业界受惠。

发牌条件

证监会可向合资格企业施加发牌条件,包括限制企业可服务的客户类别或每名客户的最高风险承担,以便限制该企业的受规管活动的业务范围及界线。在某些情况下,发牌条件可能要求企业制订适当的投资者赔偿计划,或定期接受证监会的监督性审核。证监会对在沙盒内营运的合资格企业所进行的监察及监督可能较为严谨。

查询

证监会预期,大多数申请《证券及期货条例》下的法团牌照的公司,包括利用金融科技进行受规管活动(如机械理财顾问)的企业,会循一般申请程序申领牌照,而无须进入沙盒。

证监会如认为某法团申请人应进入沙盒试行营运,便会与该申请人讨论。

1定义见"资格要求"一节。

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。

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