Page 57 - 期货和衍生品行业监管动态（2024年1月）

期货和衍生品行业监管动态

management oversight from 25 November 2015 to 2 March 2020. Wong is

currently not accredited to any licensed corporation.

2. CIFHKL was reprimanded and fined $100,000 by the SFC for its failures in

complying with AML/CFT and other regulatory requirements. Please refer

to the SFC’s press release published on 9 March 2023.

3. CSSs are trading software developed and/or designated by the clients that

enable them to conduct electronic trading through the internet, mobile

phones and other electronic channels.

4. The CSSs were connected to CIFHKL’s broker supplied system (BSS)

through application programming interface (a set of functions that allows

applications to access data and interact with external software components

or operating systems). BSSs are trading facilities developed by exchange

participants or vendors that enable the exchange participants to provide

electronic trading services to investors through the internet, mobile phones

and other electronic channels.

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

refNo=24PR2

16. 致持牌法团的通函：适用于非中央结算股票期权的保证金规定将延迟生效

（2024 年 1 月 15 日）

本通函旨在通知持牌法团，香港证券及期货事务监察委员会（SFC）将把适

用于非中央结算单一股票期权（non-centrally cleared single-stock options）、一篮

子股票期权（equity basket options）及股票指数期权（equity index options）（三

者统称“non-centrally cleared equity options”,“即非中央结算股票期权”）的保

证金规定（注 1）的生效日期，延迟两年至 2026 年 1 月 4 日，以便与国际最新

44