Page 9 - 期货和衍生品行业监管动态（2025年11月）
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期货和衍生品行业监管动态
MAS and UK FCA Announces Partnership on AI-in-Finance (2025/11/12)..........41
中国香港................................................................................................................................44
20. 香港证券及期货事务监察委员会首次就在社交媒体群聊中未经许可有偿提供
投资建议的金融网红处以监禁（2025 年 11 月 7 日）......................................................44
SFC Secures First Custodial Sentence Against Finfluencer for Provision of Paid
Investment Advice on Social Media Chat Group without Licence (2025/11/7)...............45
境内资讯................................................................................................................................47
中国人民银行 the People’s Bank of China..................................................................47
1. 中国人民银行、国家金融监督管理总局、中国证券监督管理委员会发布《金融
机构客户尽职调查和客户身份资料及交易记录保存管理办法》（2025 年 11 月 28 日）
......................................................................................................................................... 47
The People’s Bank of China, the National Financial Regulatory Administration,
and the China Securities Regulatory Commission Issues the Administrative Measures
for Customer Due Diligence and Recordkeeping of Customer Identity Information and
Transaction Records by Financial Institutions (2025/11/28)...............................................47
金融监管机构 Financial Regulatory............................................................................47
2. 中国证监会同意铂、钯期货和期权注册（2025 年 11 月 7 日）....................... 47
China Securities Regulatory Commission Agrees to Register Platinum and
Palladium Futures and Options (2025/11/7)....................................................................... 47
3. 中国证监会关于就《关于修改〈证券期货行政执法当事人承诺制度实施规定〉
的决定（征求意见稿）》公开征求意见的通知（2025 年 11 月 28 日）....................... 48
Notice of the China Securities Regulatory Commission on Soliciting Public
Comments on the Decision on Amending the Provisions on the Implementation of the
Regime of Commitment by the Parties involved in the Administrative Enforcement in
4
