Page 59 - 期货和衍生品行业监管动态（2023年12月刊）

期货和衍生品行业监管动态

enforcement officers from the SFC, the Independent Commission Against Corruption

(ICAC), the Hong Kong Police Force and the Accounting and Financial Reporting

Council together with more than 90 enforcement officers from the CSRC and its

regional offices and the Mainland public security authorities. The event covered a wide

range of topics including cross-divisional collaboration on intelligence analysis and

investigation, as well as investigative methods and strategies for tackling listed

company fraud and disclosure offences, market manipulation and intermediary

misconduct.

“With the further deepening of mutual access of our capital markets, I envisage

that the enforcement units of both regulators will continue to deepen our cross-

boundary enforcement cooperation, promote new models for bilateral and multilateral

collaboration, and actively explore new cooperation pathways to combat cross-

boundary securities crimes. This will enable our enforcement cooperation to scale new

heights as we continue to work together to protect investor interests and promote the

healthy development of both markets,” said Mr Christopher Wilson, the SFC’s

Executive Director of Enforcement.

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

announcements/news/doc?refNo=23PR142

21. 香港证券及期货事务监察委员会在其《季度报告》中强调监管工作重点及市

场数据要求（2023 年 12 月 7 日）

香港证券及期货事务监察委员会（SFC）发布了最新的《季度报告》，写明

了 2023 年 7 月至 9 月季度的工作及财务摘要。

在资产管理方面，交易所交易基金（ETF）是一大亮点。香港上市 ETF 取得

162 亿元的强劲净资金流入，其日均成交额按季稳健增长 12%至 148 亿元。截至

9 月底，SFC 认可 ETF 共有 175 只，市值达 3,695 亿元。

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