Page 34 - 期货和衍生品行业监管动态（2023年8月刊）

期货和衍生品行业监管动态

The SFC will proceed with the proposal to broaden the scope of the SFO’s insider

dealing provisions. The scope of the insider dealing provisions of the SFO will be

broadened to cover: (i) insider dealing perpetrated in Hong Kong with respect to

securities listed on overseas stock markets or their derivatives; and (ii) insider dealing

perpetrated outside of Hong Kong, if it involves any securities listed on a recognised

stock market, ie, a stock market operated by The Stock Exchange of Hong Kong

Limited, or their derivatives. The industry will have the opportunity to review the draft

amendments during the legislative process.

Considering the complex implementation issues raised by the respondents to the

consultation, the SFC concluded that, pending further review, it will put on hold the

other two proposed amendments, which concern the professional investor exemption

and injunctions and other orders. However, the SFC will continue to monitor market

developments and consider a full range of options to ensure investors are adequately

protected. Such options may include enhancing the SFC’s disciplinary powers and other

parts of the legal and regulatory framework.

Note:

1. The consultation began on 10 June 2022 and ended on 12 August 2022. The

SFC received 27 written submissions, including from industry associations,

law firms, professional bodies and individuals.

https://apps.sfc.hk/edistributionWeb/gateway/EN/news-and-

announcements/news/doc?refNo=23PR88

8. 香港证券及期货事务监察委员会发表季度报告（2023 年 8 月 23 日）

香港证券及期货事务监察委员会（SFC）发表最新的《季度报告》，概述 2023

年 4 月至 6 月期间的工作重点。

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