Page 41 - 期货和衍生品行业监管动态（2023年6月刊）

期货和衍生品行业监管动态

markets whilst safeguarding investor interests and managing market risks through our

robust regulation, vigilant supervision and resolute enforcement action,” said Ms Julia

Leung, the SFC’s Chief Executive Officer. “This will support Hong Kong’s long-term,
sustainable market growth which is integral to its continued success as a leading global

financial centre connecting China and the rest of the world.”

Cracking down on investment fraud and social media ramp and dump scams

remained the SFC’s enforcement priority. During the year, the SFC conducted joint

search operations with the Hong Kong Police Force and the Independent Commission

Against Corruption concerning ramp and dump syndicates, arrested suspected

fraudsters and froze the proceeds of their schemes. The SFC also launched a

consultation on proposals to amend the Securities and Futures Ordinance (SFO) to

facilitate more effective enforcement action (Note 6).

For the first time, this year’s report details the SFC’s sustainability efforts with

reference to the TCFD Recommendations (Note 7) and its commitment to achieve

carbon neutrality before 2050. In August 2022, the SFC published its Agenda for Green

and Sustainable Finance, a strategic roadmap to develop Hong Kong as a regional and
global sustainable finance hub by focusing on corporate disclosures, asset management,

environmental, social and governance funds and carbon markets.

Key statistics for the period from 1 April 2022 to 31 March 2023 include:

 The number of licensees and registrants stood at 48,294 and the SFC received

7,384 new individual and corporate licence applications. Type 9 (asset

management) and Type 4 (advising on securities) regulated activities

accounted for 44% and 35% of the new licensed corporation applications

approved during the year.

 The SFC authorised 175 collective investment schemes, bringing the total

number to 2,939 as of end-March 2023, of which 913 were domiciled in Hong

Kong. Sixty-nine open-ended fund companies were registered during the year,

bringing the total to 131.

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