Page 57 - 期货和衍生品行业监管动态（2023年11月刊）
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期货和衍生品行业监管动态




                   Hong  Kong  Exchanges  and  Clearing  Limited  to  examine  how  to  implement  these

                   recommendations.”


                        The SFC also welcomes the measures proposed by the Chief Executive seeking to

                   strengthen Hong Kong’s offshore renminbi business, deepen financial cooperation in

                   the  Greater  Bay Area,  establish  a  new  platform  to  expand  fund  distribution  and  to

                   promote green and sustainable finance in Hong Kong.


                        “We  believe  deepening  mutual  market  access  between  Hong  Kong  and  the

                   Mainland and stepping up financial cooperation in the Greater Bay Area will further

                   cement  Hong  Kong’s  unique  role  in  connecting  international  investors  with  the

                   Mainland markets as well as promoting the continuing opening-up of the Mainland

                   capital market,” Mr Lui added.


                        The SFC will continue to work with the relevant Mainland and local authorities


                   on these initiatives to bring them to fruition.


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

                   announcements/news/doc?refNo=23PR123





                   19.  香港法院裁定两人无牌照开展业务的罪名不成立（2023 年 11 月 20 日）



                        香港东区裁判法院裁定，蔡易文（男）为持有香港证券及期货事务监察委员

                   会（SFC）牌照而经营资产管理业务的罪名不成立，以及马祐添（男）协助和教

                   唆蔡进行无牌活动的罪名不成立（注 1）。


                        SFC 指出，蔡从未获 SFC 发牌，却在 2010 年至 2019 年期间以委托方式操

                   作四名投资者或实体的期货帐户，以期分享利润，而马当时是灏天环球投资有限

                   公司（Glory Sky Global Markets Limited）的客户主任，负责处理上述其中三个帐

                   户，并在明知蔡并无获 SFC 发牌的情况下积极协助蔡进行无牌活动（注 2）。





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