Page 61 - 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

1. 该指引将于 2024 年 2 月 25 日生效。

2. SFC 在其网站上定期更新一份可疑虚拟资产交易平台的专门名单，以提

高投资者的意识，协助他们识别在香港经营的可疑虚拟资产交易平台。

SFC Highlights Key Regulatory Work and Market Data in Quarterly Report

(2023/12/7)

The Securities and Futures Commission (SFC) today published its latest Quarterly

Report to provide operational and financial highlights for the quarter from July to

September 2023.

On asset management, exchange-traded funds (ETFs) were a bright spot. Strong

net inflows of $16.2 billion to Hong Kong-listed ETFs were recorded, while their

average daily turnover (ADT) saw healthy growth (12%) from a quarter ago to $14.8

billion. A total of 175 SFC-authorised ETFs had a market capitalisation of $369.5

billion as at end-September.

Turnover of Mainland-Hong Kong ETF Connect also reported robust growth, as

southbound trading recorded ADT of $3.6 billion and accounted for a 15% share of the

ADT for eligible Hong Kong ETFs in the quarter. This share of eligible ETFs’ ADT

doubled on a six-month basis (ie, from end-March).

Apart from strong ETF data, the number of open-ended fund companies (OFCs)

saw encouraging growth of 87% year-on-year to 187, as the SFC registered 36 new

OFCs in the quarter.

Hong Kong-domiciled funds recorded net inflows ($11.7 billion) for another

quarter. The growth of SFC-authorised ESG funds also persisted, with their total

number and AUM up 7.2% and 1.8% respectively from the prior quarter.

For the listing market, the SFC processed 39 new listing applications in the quarter,

including four from pre-profit biotech companies. To further deepen mutual market

access, regulators agreed to enhance Stock Connect by introducing block trading, as

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