Page 38 - 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

fraudulent activities in securities transactions and illegal short selling. In a separate case

involving a large-scale ramp and dump syndicate, 10 more suspects were charged with

criminal offences, including key members and an alleged ringleader.

During the quarter, the SFC announced its commitment to carbon neutrality by

2050, in line with the HKSAR Government’s climate strategy, with an interim target to

reduce 50% of its total carbon emissions by 2030.

Key figures for the quarter include:

 There were 48,165 licensees and registrants, including 3,245 licensed

corporations. Among the licensed corporations approved during the quarter,

Type 9 (asset management) regulated activity (RA) accounted for 51% and

Type 4 (advising on securities) for 37%.

 The SFC processed 50 new listing applications, including five from pre-profit

biotech companies and one from a specialist technology company.

 The SFC authorised 28 unit trusts and mutual funds (including 12 Hong Kong-

domiciled funds) and 47 unlisted structured investment products for public

offering in Hong Kong. It registered 21 (Note 2) new open-ended fund

companies (OFC).

 It conducted in-depth inspections of 51 licensed corporations to review their

compliance with regulatory requirements.

 The SFC made 1,227 requests for trading and account records triggered by

untoward price and turnover movements.

 It issued section 179 directions (Note 3) to request information in 16 cases, as

part of its ongoing review of corporate disclosures.

 Three corporations and two individuals were disciplined, which resulted in

total fines of $9.2 million.

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