Page 40 - 期货和衍生品行业监管动态（2023年6月刊）
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期货和衍生品行业监管动态
管理，以及指标和目标。
SFC Publishes Annual Report 2022-23（2023/6/21）
The Securities and Futures Commission (SFC) today published its Annual Report
2022-23, which sets out its achievements in the past year as well as its vision for
nurturing high-quality market growth and upholding world-class regulation to advance
Hong Kong’s position as a leading international financial centre.
Highlights of the year included the introduction of Swap Connect, which
commenced with northbound access in May 2023 (Note 1) and the launch of a new
listing regime for specialist technology companies with limited or no revenue or profit
track record (Note 2). The investor identification regime for Hong Kong’s securities
market, which took effect in March 2023, strengthened the SFC’s market surveillance
capabilities. In addition, the Hong Kong Dollar-Renminbi (RMB) Dual Counter Model
for the secondary market trading of a first batch of stocks was launched on 19 June
2023 (Note 3).
During the year, the SFC consulted the public on the regulatory requirements for
the new licensing regime for virtual asset trading platforms (Note 4) as well as on
legislation for implementing a paperless securities market in Hong Kong. A separate
consultation set out proposed risk management guidelines for licensed persons dealing
in futures contracts to help them better manage business-related risks. The SFC also
concluded a consultation (Note 5) to prepare for the new regime to bring depositaries
of SFC-authorised collective investment schemes under its direct supervision.
“ We are committed to strengthening market resilience and integrity and
expanding the breadth and depth of our financial markets as a premier gateway to
Mainland China,” said Mr Tim Lui, the SFC’s Chairman. “This means deepening
mutual market access with the Mainland and ensuring our financial industry and
infrastructure are well prepared for any challenges which may arise.”
“We strive to promote sustainable and responsible development of our financial
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