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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。

 
 

最后更新日期: 2017年9月29日

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